London ESF Provider Briefing

1
(No Transcript)
2
LSC ESF Programme Provider Overview
Welcome
3
Agenda

• Programme context
• Relationship management, contract and data
• Quality Management
• ESF Cross-cutting themes
• Sources of Information Next Steps

4
2007 2010 ESF Context
01
5
2007 2010 ESF Context

• National Operational Programme
• Reduced funding - 2billion down from 4bn
• Objectives Convergence/phasing in/Regional
  competitiveness replacing Objective 1, 2 3
• Community Initiatives none

6
2007 2010 ESF Context

• National Programme Operational Programme
• Measures - none
• Regional Development Plans - replaced by Regional
  ESF Frameworks
• Delivery co-financing except in exceptional
  circumstances, no alternative bids or national
  programmes

7
2007 2010 ESF Context

• National Programme Operational Programme
• Co-financing organisation' 28 rather than 75,
  Regional LSC replacing local LSC DWP Delivery
  Directorate replacing Jobcentre Plus
• Tendering contract costs replacing actual costs

8
2007 - 2013

• National Programme Operational Programme
• Priority 1 Extending Employment Opportunities
• 1.1 Improving the employability skills of the
  unemployed and economically inactive
• 1.2 Employability and skills activities targeted
  at young people who are not in education,
  employment or training (NEET) or at risk of
  becoming NEET
• 1.3 Community Grants

9
2007 - 2013

• National Programme Operational Programme
• Priority 2 Developing a Skilled Adaptable
  Workforce
• 2.1 Increasing the number of employees with
  improved basic skills levels
• 2.2 Increasing the number of Employees with
  improved level 2 skills
• 2.3 increasing the number of employees with
  improved level 3 4 skills

10
2007 2010 ESF Context

• National Programme Operational Programme
• Match cash only and the source of Match must be
  Open and Competitive Tendered (OCT)
• Managing Authority DWP/ESFD with regional
  presence

11
2007 2010 ESF Context

• London Strategic Direction
• London Governance within London, ESF comes
  under the strategic direction of the Mayor
• Responsible for the Regional ESF Framework
• Chair of the ESF Regional Committee

12
2007 2010 ESF Context

• London Strategic Direction
• Regional ESF committee responsible for reviewing
  ESF Framework
• Alignment with London strategies including LSEB,
  LEST 2012, and CSP

13
2007 2010 ESF Context

• London Operation
• Four London approved Co-financers
• London Councils operates ESF under 1.1 only
• London Development Agency operates ESF under 1.1
  2.1
• Learning Skills Council operates ESF under
  1.1,1.2 2.1,2.2,2.3
• Department for Work and Pensions (Jobcentre Plus)
  operates ESF under 1.1

14
2007 2010 ESF Context

• London Operation
• Joint working between Co-financers to maximize
  impact, ESF will not duplicate or displace other
  mainstream activity or ESF activity between the
  co-financers
• Development of a Joint London ESF communications
  plan

15
ESF Relationships
3 EC Regulations
EC
Operational Programme and Guidance Notes
DWP/ESFD
Delegated Authority
GOs 9 Regions
Co-financers (CFOs) e.g. LSC/LDA
GO Agreement
LSC Agreement
Providers
Employers Learners
16
Compliance Probity

• Probity from the top down
• All activity properly procured
• Every penny must be accounted for
• All activity must be eligible align to
  priorities

17
Changes to LSC

• Impact on ESF Provision
• Subject to consultation
• From LSC GO Contracts will be novated to Skills
  Funding Agency
• Provider contracts will be novated to Skills
  Funding Agency (managed on behalf of Local
  Authorities and Young Peoples Learning Agency)

18
ESF Programme Eligibility
02
19
ProgrammeEligibility

• In order to be eligible for ESF all participants
  must have the right to work in the UK
• This must be confirmed by the Project and
  recorded at the start of the programme
• Some documents are sufficient to demonstrate this
  on their own, this includes
• Passport showing the participant is a British
  citizen
• Document that shows that the participant is a
  national of the European Economic area country

20
ProgrammeEligibility

• Some documents can be used in combination to
  demonstrate eligibility, e.g.
• Document from previous employer, Inland Revenue,
  DWP, Jobcentreplus stating the participants
  permanent National Insurance Number
• PLUS full birth or adoption certificate issued in
  United Kingdom, certificate of registration
  stating that the holder is a British Citizen,
  letter issued by Home Office/UK Border Agency
  which indicates the person named can stay
  indefinitely in the United Kingdom

21
ProgrammeEligibility

• Not exhaustive check Home Office and UK Border
  Agency website regularly
• record the evidence reference number, type of
  document seen
• complete declaration, sign and date both
  participant and project staff
• FAILURE TO DEMONSTRATE ELIGIBLITY WILL RESULT IN
  FUNDS BEING RECOVERED

22
ProgrammeEligibility - Adult

• To be eligible for Adult activity participants
  must be of working age and either Unemployed or
  Economically Inactive
• Unemployed - not in paid employment and
  available to start work and looking for work
• Economically inactive must be of working age,
  not employed, not self employed and not actively
  seeking work

23
ProgrammeEligibility - Adult

• All Participants must complete ESF short record
  or Individual Learning record using the correct
  Employment Status code under question E12
• Unemployed 04
• Economically inactive 06
• Any other code will be ineligible
• The split of unemployed/economically inactive
  must meet that within the contract

24
ProgrammeEligibility - Youth

• To be eligible for activity under Youth all
  participants must be aged 14 19 and NEET or at
  risk of becoming NEET
• NEET are not in
• Full time education either in a school, FE
  institution or a HE institution or
• Workbased learning (including apprenticeships,
  Entry to Employment and NVQ learning or
• Other education or training or
• Employment

25
ProgrammeEligibility - Youth

• Participants who are 14 and 15 cannot be NEET
  because they can not legally leave school
• However, they maybe at risk of becoming NEET
  when they leave school
• To be eligible they must be identified by
  Connexions as needing support or intensive
  support

26
ProgrammeEligibility - Youth

• All Participants must complete ESF short record
  or Individual Learning record using the correct
  Employment Status code under question E12
• NEET 07
• At risk 07 (in full time education or training)
• Supplementary evidence must be available for any
  at risk participants. Must be from an
  organisation external to the project

27
ProgrammeEligibility EmployerResponsiveness

• All Participants must be employed 8 hours or more
  per week. Includes
• Employees (people who work for a company and have
  their National Insurance paid directly from their
  wages) and
• Self employed people (people who work for
  themselves and generally pay their National
  Insurance themselves)

28
ProgrammeEligibility EmployerResponsiveness

• All Participants must complete ESF short record
  or Individual Learning record using the correct
  Employment Status code under question E12
• Employed 01
• Self Employed 03
• Any other code will be ineligible

29
Eligibility

• Individuals and employers must meet ESF
  eligibility criteria and the contract
• Contract eligibility criteria is a subset of
  national programme criteria
• Funds will have to be repaid for ineligible
  learners

30
Eligibility Appendix
31
ProgrammeEligibility Spend

• Payment is against the contract deliverables
• ESF should not be used to fund any item over
  1,000
• Participants maybe be eligible for support via
  TfLs free Oyster card for under 18s in full
  time education, Education Maintenance Allowance,
  Care to Learn, Adult learning grant, etc. ESF
  must not duplicate.

32
ProgrammeEligibility Partners

• Must be confirmed prior to the drafting of the
  contract
• A Service level agreement in place within one
  month of contract signing
• No changes to partners without written approval
  by LSC

33
LSC Contract - Marketing Publicity
03
34
ESF Marketing Communications

• Participant and public awareness of ESF and LSC
  support
• Use of 2007 2013 ESF logo by ESF provider and
  delivery Partners
• LSC has to produce an ESF communications plan

35
ESF Marketing Communications

• Display ESF Plaque as a general rule the plaque
  should be displayed where ever delivery takes
  place, or, where an ECA auditor may visit!
• Use the LSC and ESF logo on all information and
  publicity materials, including websites,
  e-communications, correspondence and literature
  used by particpants, advertisements, press
  releases and other media targeted materials.

36
ESF Marketing Communications

• Logos and Guidance
• The LSC logo is available from
• https//brand.lsc.gov.uk/privacy.asp
• The logo and guidance is available from
• http//esf.gov.uk/publicity/esf_logo.asp
• Subject to Audit

37
ESF Marketing Communications

• Recruitment of Participants.
• Marketing and Communications Template
• Campaign Resource Website
• Field Marketing

38
ESF Marketing Communications

• To maximise impact
• LSC will issue press releases to the regions
  media
• Providers will receive support to carry out their
  own PR activity
• Project Detail will be included on LSC ESF
  webpage and Projects Directory operated
  Nationally by ESFD

39
ESF Case studies

• LSC required to submit Case studies to ESFD
• Likely to thematic case studies four times a
  year
• Themes will circulated in advance and template
  developed

40
ESF LSC Contract structure
04
41
ESF LSC Contractstructure

• The LSC is procuring outputs
• This is not a grant

42
Contract Sections

• Private providers (Conditions of Funding)
• -Main Contract Terms Conditions
• -Schedule 1 Service Description
• -Schedule 2 Payment Terms
• -Schedule 3 Special Conditions
• Local authorities (Grant)
• -Main Contract Terms Conditions
• -One schedule
• FE colleges (Financial Memorandum)
• -FM pt2
• -One schedule

43
Delivery Plan Appendix

• Service Specification
• Service Clarification
• Non conformance
• Target Groups
• Contracted Outputs
• Sector/geographic Volumes
• Qualifications
• Special Monitoring Requirements
• Partners

44
Common Appendices

• Delivery Plan (objectives to be delivered
  summary of specification)
• Eligibility Table (who you can work with)
• Delivery Profile (what you are delivering and
  when, and the related payments)
• Outputs (what to collect to demonstrate delivery)

45
Profile Appendix
46
Evidence

• Defined in the contract
• Must be kept for all outputs
• Plan how this will be managed
• by output for ease of audit
• by participant to fit with accrediting body
• by claim
• Create standard evidence folder

47
Outputs Appendix
48
Contract Change

• Contract change is different to clarification
• All change and clarification must be agreed in
  writing by LSC
• All changes must have a contract variation
• Changes must not materially alter the delivery
  away from the specification

49
LSC Contract - Conditions of Payment
05
50
Monthly Cycle
This Month
Claims on 5th working day for last month
Learner data by 4th working day for last month
New contracts and reprofiles signed by 4th
working day
Payment 18th working day for this month
51
Payment Information

• All payments made on condition that services
  delivered in accordance with the full contract
• Payment on outputs not actual cost no invoices!
• Payment on contract profile, reconciled against
  actual performance
• Payment on 18th working day by BACS

52
Issues Affecting Payment

• No or wrong evidence
• Ineligible learners
• No or incomplete data
• Poor performance or future delivery at risk
• Not notifying the LSC of service changes
• Not notifying the LSC of deliverables changes
• Not using the funds for the intended purpose
• Double funding
• Owing UK Government or EC money

53
Contracts

• Contract allows for 10 underperformance before
  reprofiling may be instigated by the LSC
• Under performance over 10 for a prolonged period
  will be deemed as putting the service at risk and
  funds may be removed from the contract
• Ability to grow contracts if
• they are performing
• there is budget available
• Up to a maximum amount, currently 211,000 euros'

54
LSC Contract - Monitoring
06
55
LSC Monitoring Visits

• Regular reviews with LSC contact
• Review performance of last period
• Look forward and address risks
• Address any issues and answer questions
• Review Evidence
• Document meetings

56
Evidence Checking

• At meetings, review sample of evidence from
  previous period/last claim
• Ensures correct evidence is being collected and
  identifies problems early
• Is a contract management activity and does not
  replace official LSC audits

57
LSC CommunicationsPath
LSC Regional Teams
LSC Area Office /Skills
GLA/ESFD
Provider
58
Access

• You will need to be prepared to provide access to
  the contract and records to a number of
  organisations.
• LSC Partnership team
• LSC auditors
• ESFD auditors
• EC auditors
• Ofsted

59
LSC Audit

• At least once in the lifetime of the contract
• Assesses the providers systems and use of funds
  looks at output evidence, eligibility and
  publicity
• Errors over 5 require 100 check by the provider
  and re-audit
• Errors addressed through extra evidence or cash
  recovery

60
Retention of Documents

• All evidence and ILRs to be kept until 2020
• We can be audited up to that point and funds
  would be at risk if documentation was not
  available
• Start thinking about an archive strategy now
• Retention can be paper or electronic

61
Freedom of Information

• ESF contracts come under the Freedom of
  Information Act
• The LSC will disclose information about the
  contract if asked
• If the provider wants information to be exempt,
  this is at their cost

62
Data Collection
07
63
Data Collection

• The LSC must get data on every participant
• The data must come through the standard systems
• Data must be correct and be of quality
• Lack of data will affect payments and would be a
  serious breach of the contract

64
Learner Record

• All learners must have a signed SR/ILR. This can
  be through Provider Online or Batch
• Information will be collated from two sources
• ESF CMA system
• Statement of Activity
• Full Training on ESF SR/ILR will take place 29th
  September 6th October

65
Common Data Errors

• All data must be of good quality and complete
• Common problems encountered
• Not known's
• Wrong dossier number
• Ineligible learners
• No learner records
• No multiple aims
• A47 code completion

66
Data Protection

• Abide by the Data Protection Act
• Data is collected on ILR
• Data is shared and ILR has statement of this
  intent

67
Learner Health, Safety and Welfare
08
68
Health Safety

• Responsibilities for learner health, safety and
• welfare
• Funded organisation
• LSC
• Safeguarding vulnerable learners
• Safe Learner Blueprint
• Further information

69
Responsibilities for learner H,S W Funded
organisation

• Overall responsibility for all learning as well
  as the health, safety and welfare of all learner
• LSC Health and Safety Standards
• Contractual requirements (schedule 3)
• RIDDOR reportable learner incident reports via
  LIR to london-learnerincidents_at_lsc.gov.uk
• Communication with learners and employers /
  partners

70
Responsibilities for learner H,S W LSC

• Raise standards of learner health, safety and
• welfare
• HS Seeking Assurance
• Quality Assure learner incident reports
• Ensure Safe Learner Blueprint is applied
• Liaise with Partnership, Contracts other
  Regional
• HS Teams

71
Safeguardingvulnerable learners

• Includes all Education providers of post-16
• learning and skills, as well as those covering
• young people
• Do you have vulnerable learners and who comes
• into contact with them?
• Learners may need to be CRB checked
• Safeguarding policy
• http//www.niace.org.uk/Publications/S/SaferPracti
  ce_Handbook.pdf

72
Safe Learner Blueprint

• Research and consultation by the LSC
• A template to assist funded organisations in
• developing safe learners
• Provider Inputs
• Environment, initial assessment, learning
  plan, supervision, information instruction
  and training, re-assessment
• Learner Outputs (Aim)
• Hazard awareness, understanding, confidence,
  contribution, behaviours

73
Summary

• Responsibility for learner HS lies with the
  funded
• organisation
• Our role is to help you in raising the standard
  of
• learner health, safety and welfare
• Further information
• Your HS competent person
• http//www.safelearner.info
• LSC Learner HS publications
• LSC Learner HS team
• HSE website (www.hse.gov.uk)

74
ESF Quality Management
9
75
ESF Quality Management

• Quality Improvement
• Incorporated into providers own business cycle.
• Self-assessment
• The chief purpose of self-assessment is to
  support the providers own work on quality
  improvement and to measure progress against its
  own mission and goals.

76
ESF Quality Management

• Self-Assessment Report
• Contractual Requirement
• Used by OFSTED
• Common Inspection Framework
• How well do learners achieve?
• How effective are teaching, training and
  learning?
• How well do programmes and activities meet the
  needs and interests of learners?
• How well are learners guided and supported?
• How effective are leadership and management in
  raising achievement and supporting all learners?

77
ESF Quality Management
78
ESF Quality Management

• Managing the process
• Gathering evidence
• Making judgments

79
ESF Quality Management

• Actions
• Start working on a Self-Assessment Report.
• Upload onto Provider Gateway by the end of
  December.
• Familiarize yourself with Framework for
  Excellence ESF providers will be in scope from
  2010.

80
ESF Quality Management

• Useful links
• http//www.qia.org.uk
• http//excellence.qia.org.uk
• http//www.ofsted.gov.uk
• https//ffe.lsc.gov.uk

81
ESF CROSS- CUTTING THEMES
10
82
SUSTAINABLE DEVELOPMENT

• Process that seeks to ensure a better quality of
  life for everyone, now and for future generations
  to come
• Recognises that social, economic and
  environmental issues are interdependent and
  therefore activity in one of these areas should
  not be pursued in isolation but with
  consideration for each of the other areas as well

83
SUSTAINABLE DEVELOPMENT

• Three ways in which the ESF programme will seek
  to integrate sustainable development
• By developing awareness and understanding of
  sustainable development and integrating activity
  related to it within both co-financing and
  delivery organisations
• By integrating sustainable development, at an
  appropriate level, into ESF course content to
  increase participants general level of awareness
  and understanding of sustainable development and
  why it is relevant to them and their area of
  work
• By supporting the delivery of a range of projects
  that will develop the capacity and knowledge base
  of the environment sector.

84
DIVERSITY

• A key cross-cutting theme for ESF has always been
  Diversity
• The 2007-2013 programme seeks to build on
  experience from 2000 2006
• ESF London Framework states that in order for
  cross-cutting themes to have maximum impact they
  need to be aligned to national policies and key
  regional strategies

85
DIVERSITY

• Specific actions under the 2007 -2013 programme
  include
• Improving the impact of ESF on women, black and
  ethnic minority communities and disabled people
• Recognising the need for a fine grained
  approach
• Acknowledging and utilising existing good
  practice in equalities work throughout the
  management and delivery of ESF
• Improving equalities performance in the
  management and delivery of ESF

86
Health

• London has an additional cross-cutting theme of
  Health.
• This is built around the Mayors Health
  Inequalities Strategy for London (HIS) and seeks
  to maximise the impact that ESF provision has on
  tackling barriers to work and reducing workless
  which improves the general health of London
• Discussion currently underway on how best to
  implement Health, however activities will
  include
• Awareness raising workshop for ESF Providers
• Written guidance for ESF Providers

87
Next Steps
11
88
Next steps

• Further events on the LSC systems and process for
  current LSC providers taking place late September
• Event for Providers new to the LSC taking place
  15th October
• Training on ILR/SR and using iPOL taking place
  29th September and 6th October. Two sessions
  each day with space for two people per
  organisation recommended that the person
  responsible for data attends

89
Third Sector support

• LVSTC have been contracted until December 2008 to
  provide support to Third sector organisations
  delivering ESF
• Support includes
• One to one surgeries at your premises or at LVSTC
  headquarters
• Workshops and seminars on a range of related ESF
  subjects
• Publications including briefing notes
• Information and guidance about ESF opportunities
• Partnership, organisational and project
  development

90
Next steps

• Event in October on Health cross-cutting theme
• ESF Fact sheets available soon!

91
Useful Websites

• SOURCES OF INFORMATION
• London Regional LSC ESF web pages
• www.lsc.gov.uk/london/esf
• European Social Fund Division
• www.esf.gov.uk

92
Useful Websites

• Companies House
• National Statistics
• LSC
• ESF Division (DWP)
• DfES
• DTI
• QCA