Provider Support Manual 2021 to 2022

Funding model 36: recording changes

Apprentice changes employer during the apprenticeship

If there is a change to the apprentice’s employer during their programme, then you must record a new Learner Employment Status record to reflect this.
A new Apprenticeship contract type FAM record must be added if the new employer has a different apprenticeship contract type to the previous employer, for example if the apprentice has changed from an employer who is funded through a contract for services with the employer, to an employer who is funded through a contract for services with the ESFA that does not have an account on the apprenticeship service, then a new FAM record with ACT2 must be recorded.
There should be no changes made to the learning aims.
You must record a new price record on the programme aim; this price must reflect the cost of the remaining amount of the programme to be delivered with the new employer. This residual cost must be recording using AFinCode = 3 for training and AFinCode = 4 for assessment, as applicable.
Further information is available for administering changes of circumstance. Refer to Apprenticeship funding rules for employer-providers on GOV.UK.

Apprentice is made redundant (redundancy)

If an apprentice is made redundant, you must record this in a new Learner Employment Status record with Employment status code 11 or 12, as applicable. While the apprentice is eligible to continue their programme, an Apprenticeship contract FAM type of ACT1 or ACT2 corresponding to the most recent employment period must remain in place without an end date in order to receive payment. If a new employer is found for the apprentice, then a new apprenticeship contract FAM type and a new negotiated price record must be recorded for the start of the period of learning with the new employer.
For full guidance regarding funding eligibility for redundant apprentices, please see the apprenticeship funding rules: https://www.gov.uk/guidance/apprenticeship-funding-rules

If an apprentice becomes unemployed and is not eligible to continue their programme, they must be withdrawn from the apprenticeship.

Changes in negotiated price during the programme (TNP)

If a new price for training and/or assessment is negotiated at any point during the apprenticeship programme, then this must be recorded in a new price record (AFinType = TNP). You must record the date that the new price applies from in the AFinDate field.
If the previous price record for the programme was a total price (code 1 or 2), then the new price should also be a total price (code 1 or 2), unless the employer has changed. If the previous price was a residual price (code 3 or 4), then the new price must also be a residual price (code 3 of 4).

Example:
An apprentice starts an apprenticeship standard programme on 1 August 2019 (AfinDate). A training price of £13,000 (AFinAmount) is agreed prior to the start of the programme. An end point assessment price of £2,000 (AFinAmount) is later agreed on 1 February 2020 (AfinDate).
Recorded as:
  • TNP 1 01/08/2019 13000
  • TNP 2 01/08/2019 3250
The assessment price is later re-negotiated (for example to include additional costs or further assessment). A new end point assessment price of £3,000 (AFinAmount) is agreed to apply from 1 July 2020 (AFinDate).
The financial details for the programme are updated to:
  • TNP 1 01/08/2019 13000
  • TNP 2 01/02/2020 2000
  • TNP 2 01/07/2020 3000
See the section about changes in employer above for details about when you might record a residual price.
Where a price needs to change due to a data entry error, this must be amended on the original record before the R14 hard close deadline.
The latest price records, based on the financial record date, are used in the funding calculation, see the apprenticeship technical funding guide for further details.

Withdrawal from the apprenticeship programme

The programme aim and component learning aims should be closed.
The Date applies to for the latest Apprenticeship contract type FAM records (on the programme aim and any English or maths aims) must be set to the Learning actual end date of the aim.
Where applicable, employer co-investment should be reconciled to the date of withdrawal. Any employer payments for training and/or assessment that has not been delivered by the withdrawal date should be repaid to the employer. You must record repayments made to the employer with AFinType = PMR and AFinCode = 3.
If the apprentice withdraws without completing a single episode of learning, then they must not be included in the ILR.

Transfers to a different apprenticeship with the same provider

If the apprentice changes to a new framework, standard or pathway you must:
  • Close the programme aim and any learning aims that the apprentice is no longer continuing with. Refer to the Closing aims in guidance for recording a learner transfer to a new learning aim within the same provider. Update the Date applies to for any Apprenticeship contract type FAM Record on these aims.
  • If applicable, record repayments of employer co-investment using AFinType = PMR and AFinCode = 3.
Create a new programme aim, and new learning aims if required. Record the new framework/standard/pathway as applicable. Refer to guidance below for recording new aims when an apprentice transfers to a different apprenticeship programme.
At least one price record must be returned on the new programme aim using AFinType = TNP.
If the apprentice is continuing with any of their existing component aims as part of the new programme, then these learning aims do not need to be closed. The learning start and planned end dates for these aims should not be amended. These continuing aims should be updated as follows:
  • For framework programmes: The Framework code and Apprenticeship pathway fields should be amended to the new framework/pathway.
  • For standard programmes: The Apprenticeship standard code should be amended to the new standard.

Recording new aims when an apprentice transfers to a different apprenticeship programme

Learning start date
  • Programme aim: Date on which the apprentice starts the new programme
  • Component aim: Date on which the apprentice starts the new learning aim
Original learning start date
  • Programme aim: Data not returned
  • Component aim: Data not returned
Learning planned end date
  • Programme aim: Planned end date for the new programme
  • Component aim: Planned end date for the new aim
Framework code
  • Programme aim: New framework code (framework programmes only
  • Component aim: New framework code (if applicable)
Apprenticeship pathway
  • Programme aim: New apprenticeship pathway code (framework programmes only)
  • Component aim: New apprenticeship pathway code (if applicable)
Apprenticeship standard code
  • Programme aim: New apprenticeship standard code (standard programmes only)
  • Component aim: New apprenticeship standard code (if applicable)
If the apprentice is continuing on the same framework but has changed pathway, the Learning Delivery FAM type and code EEF2 (Eligibility for enhanced apprenticeship funding) may need to be recorded

Transfers to a different provider on the same or a different apprenticeship

The original provider closes the ILR records for the apprentice and records any repayment of co-investment as applicable using PMR records.
The new provider will create new learning aims for the apprentice with new start dates and planned end dates as applicable. The new provider must record the new price for the programme using AFinType = TNP and AFinCode 1 and 2 as applicable, the Apprenticeship contract type FAM must also be recorded.

Progression from one apprenticeship framework level to another

If an apprentice progresses from an Intermediate-level Apprenticeship framework to an Advanced-level Apprenticeship framework, two programme aims would be recorded:
  • One closed and completed programme aim for the Intermediate-level Apprenticeship, and
  • One open and current programme aim for the Advanced-level Apprenticeship.
The Learning start date for the new programme aim must not overlap with the Learning actual end date for the completed programme aim.

Apprentice takes an agreed break in learning

If the apprentice is taking an agreed break in learning and intends to return, for example for economic reasons, long term sickness, maternity leave or religious trips, then the programme and component aims must be closed. Refer to guidance for recording an agreed break in learning.
The Date applies to for the latest Apprenticeship contract type FAM records (on the programme aim and any English or maths aims) must be set to the Learning actual end date of the aim.
Record any repayments of employer co-investment, if applicable, using AFinType = PMR and AFinCode = 3.
You must not record a break in learning unless the employer and apprentice have agreed this, the apprentice is intending to return to learning at a later point, and you have evidence supporting this.
When the apprentice returns, a new programme aim and new component learning aim(s) are recorded. Refer to guidance below for recording new aims when an apprentice returns from an agreed break in learning. The original learning aims on the ILR must not be reopened.
Record the price details as required using AFinType = TNP and the applicable codes. The price recorded on the new programme aim should be the same as the price prior to the break in learning unless you and the employer have negotiated a new price for the programme.
You must continue to return all aims and financial records for the apprenticeship, including the records prior to the break in learning, until the apprenticeship is completed or the apprentice withdraws from the programme.
If an apprentice does not return from an agreed break in learning, then the learning aims must be updated to indicate that the apprentice has withdrawn. Refer to guidance for recording learner absence or withdrawal.

Recording new aims when an apprentice returns from an agreed break in learning

Learning start date
  • Programme aim: Date on which the apprentice restarts the programme after the break
  • Component aim: Date on which the apprentice restarts the learning aim after the break
Original learning start date
  • Programme aim: Date on which the apprentice originally started the programme
  • Component aim: Date on which the apprentice originally started the learning aim
Learning planned end date
  • Programme aim: New planned end date for the programme
  • Component aim: New planned end date for the learning aim
Funding adjustment for prior learning
  • Programme aim: Not Returned
  • Component aim: Proportion of the aim still to be delivered (English and maths aims only)

Learning Delivery FAM

Restart indicator
  • Programme aim: Use code RES1
  • Component aim: Use code RES1
Eligibility for enhanced apprenticeship funding
  • Programme aim: Relevant code, if applicable
  • Component aim: Relevant code, if applicable
Apprenticeship contract type
  • Programme aim: Relevant code
  • Component aim: Relevant code (English and maths aims only)
Date applies from *
  • Programme aim: Programme start date (ACT record only)
  • Component aim: Learning aim start date (ACT records only)
Date applies to *
  • Programme aim: Not returned
  • Component aim: Not returned
* The Date applies from and Date applies to fields are also recorded for Learning support funding records, if applicable, refer to guidance about recording Learning support funding.
If an apprentice on an apprenticeship framework programme has already completed the competency and/or knowledge aims of an apprenticeship programme prior to a break in learning, then these should continue to be returned as part of the ILR records.
You must continue to report an apprentice on a break in learning in your ILR records until either the apprentice returns and restarts their learning, or you report the apprentice as having withdrawn.
If the apprentice was on a learning aim prior to their break that is no longer valid when they return (for example, the certification date has passed), then you cannot class this as a break in learning. This limits the length of time that a learner can have as a break in learning.