Performance Management Framework 2026 to 2027

Contents

Introduction and purpose of this document

This document sets out the principles and features of our Performance Management Framework for the 2026 to 2027 funding year (1 August to 31 July) for Devon and Torbay Combined County Authority (DTCCA) area funded Adult Skills Fund (ASF) delivery. These are in line with the DTCCA ASF Funding and Performance Management Rules for 2026 to 2027 and both documents should be read together. We may make changes to these principles and features during the funding year.

This document applies to all Providers who receive DTCCA funded ASF for the 2026 to 2027 funding year (1 August 2026 to 31 July 2027).

This Performance Management Framework does not apply to:

  • apprenticeships
  • advanced Learner Loans
  • skills Bootcamps
  • provision delivered to residents of areas outside DTCCA administrative area.

This document forms part of the terms and conditions of funding and must be read in conjunction with your Grant Funding Agreement or/ and Contract for Services.

The Performance Management Framework will be reviewed at least annually to ensure accuracy and will be published on the DTCCA website. Amendments may be made in year should the need arise. Providers are recommended to check the website to ensure the latest version of the framework is being used.

Understanding our terminology

The term ‘we’ or ‘us’ refers to The Devon and Torbay Combined County Authority (DTCCA).

When we refer to ‘you’ or ‘Providers’, this includes colleges, higher education institutions, training organisations, local authorities and employers who receive funding from us to deliver adult skills education and training to DTCCA residents.

When we refer to ‘Grant Providers’ this means the organisation that is responsible for ASF delivery as detailed in a Grant Funding Agreement.

When we refer to ‘Contract for Services Providers’ this means the organisation that is responsible for ASF delivery as detailed in a Contract for Services.

Contacting us

If you have any questions after reading this document, or if there’s anything else you need help with, you can contact SkillsFunding@devon.gov.uk

Supporting Documents

This Performance Management Framework is designed to be read in conjunction with the following DTCCA documents and forms part of the Provider’s Terms and Conditions:

Providers should also read the Department for Education’s (DfE) Specification for the Individualised Learner Record (ILR) for 2026 to 2027 in conjunction with this document.

Providers must operate within the terms and conditions of these documents. Failure to do so will constitute a breach of a Provider’s Grant Funding Agreement / Contract for Services with the DTCCA

The supporting documents will be reviewed and updated as required to ensure that they reflect the strategic direction of the DTCCA. Providers are advised to check the supporting documents published on the DTCCA’s website to ensure that they are using the most up to date version of the documents.

Governance

The DTCCA is the accountable body responsible for commissioning devolved ASF provision within Devon and Torbay.

The DTCCA will use labour market intelligence, the DTCCA Skills and Future Workforce Plan, the Greater Devon Local Skills Improvement Plan (LSIP), stakeholder engagement and other relevant data sources to identify priority skills gaps, learner needs and geographic areas of need. Funding will be directed to support these identified priorities.

The DTCCA will review Provider performance against agreed Delivery Plans to ensure funded provision remains aligned with local strategic priorities and delivers the intended outcomes for residents, employers and communities. This includes monitoring delivery performance, identifying emerging risks and taking appropriate action where required.

The DTCCA will work collaboratively with Providers, local authorities and other stakeholders to support a joined-up skills system that responds to local employer and resident needs. This may include local forums, good practice networks and the sharing of delivery and progression data to inform local planning and continuous improvement.

Through its performance management arrangements, the DTCCA will work with Providers throughout the funding year to maximise the impact of Adult Skills Fund investment, ensuring provision continues to respond to emerging skills needs, supports priority learner groups, and contributes to the objectives of the DTCCA Skills and Future Workforce Plan.

Financial due diligence

Providers who have secured an ASF funding contract with the DTCCA will be subject to its risk-based financial due diligence and financial health assessment. The DTCCA will test financial health at least annually to gain some assurance that Providers are financially resilient.

Provider assurance and compliance

Providers must submit all information requested by the DTCCA by the stated deadlines. This may include policies relating to: Governance; Safeguarding; Prevent; Compliments and Complaints; Health and Safety; Equality, Diversity and Inclusion, Recruitment, Professional Development, and Assessment. Alongside policies, Providers should submit copies of employers’ and public liability insurance certificates. Furthermore, Providers should produce appropriate Schemes of Work and Session Plans when requested.

We expect that information is provided in full. Failure to meet deadlines may result in the withholding of payment and/or result in a serious breach of the Grant Funding Agreement / Contract for Services.

Funding agreement types

We have commissioned ASF provision through two routes as stated in the DTCCA ASF Strategic Skills Strategy:

  • Route 1: Grant allocation
  • Route 2: Contracts awarded through a procurement exercise from the Skills for Growth Open Framework

The principles guiding how the DTCCA intends to work with Providers delivering under the two types of agreements will remain consistent, open, transparent, and collaborative, underpinned by an agreed 12-month delivery plan.

The DTCCA Grant Funding Agreements and Contracts for Services remain separate. If Providers hold both funding arrangements, funds cannot transfer between the two, nor can funds transfer between the DTCCA ASF and any other funding streams Providers receive.

Providers cannot move funds from any Free Courses for Jobs allocation to Accredited Learning or Tailored Learning, or from Accredited Learning to Tailored Learning nor between any other funding streams you may have received from the DTCCA. Subject to agreement, Providers may move funds from Tailored Learning to Level 2 and below Accredited Learning.

Providers are required to submit accurate, timely Individualised Learner Records (ILR) and Earnings Adjustment Statement (EAS) data via the DFE on a monthly basis post R01 as stated by the DfE’s ILR data collection timetable. This information will be used to support our payment and performance management processes.

All learners funded by the Devon and Torbay ASF and FCFJ must be a resident in Devon and Torbay. Learners outside Devon and Torbay will not be funded by the DTCCA. Postcodes that are eligible under the DTCCA administrative area can be found here, where labelled ‘DTCCA’ in the area postcode column.

Performance and partnership

The DTCCA will develop relationships and ways to work collaboratively with Providers to enable Devon and Torbay Learners, particularly those in low-paid or insecure work, to gain skills which will lead them to meaningful, sustained and relevant employment or to enable them to progress to further learning and/or access the training and development opportunities they need to thrive.

The DTCCA aims to strengthen both new and existing relationships, and to develop ways of working with Grant Providers and Contract for Services Providers, recognising the value of collaborative partnerships and place-based delivery in achieving high quality outcomes.

The DTCCA aims to support unemployed individuals in gaining and sustaining employment, unlocking progression opportunities, and enhancing career adaptability through skills development, particularly for those in low-paid or insecure work.

The DTCCA is committed to making learning more inclusive for disadvantaged residents and improving the region’s resilience by identifying and delivering the skills required for the future.

Transparent communication between the DTCCA and Providers will underpin ASF partnerships to ensure that the residents of Devon and Torbay receive good value for money.

The DTCCA will achieve consistency of service across Providers through:

Performance management

The DTCCA is committed to support the delivery and successful performance of the ASF. Provider management and support will be conducted by the ASF Team and other DTCCA officers as appropriate.

The performance management principles will apply across all Providers. Although some processes will differ depending on whether the Provider holds a Grant Funding Agreement or Contract for Services, our approach to performance management will be the same across all Providers.

All Providers will be required to agree an annual Delivery Plan setting out expected delivery, outcomes and key performance indicators. Delivery Plans form the basis of performance management activity and may only be amended with prior written approval from the DTCCA.

Performance will be monitored through a risk-based approach, with the frequency and level of scrutiny determined by a Provider’s performance, compliance record and risk profile.

  • Monitoring activities may include:
  • Performance Management Meetings
  • Quarterly reviews against Delivery Plans
  • Analysis of ILR and delivery data
  • Desktop compliance checks
  • Quality assurance reviews
  • On-site monitoring visits
  • Financial and compliance audits
  • Learner feedback and progression monitoring
  • Annual evaluation activity.

The DTCCA will hold regular Performance Management Meetings with Providers. These meetings will review progress against agreed Delivery Plans, performance targets, compliance requirements and data quality.

Agenda items may include:

  • Performance against agreed performance targets
  • Delivery against profile and forecasts
  • Compliance with the DTCCA ASF Funding and Performance Management Rules
  • Accuracy and timeliness of data returns
  • Quality of provision and learner outcomes
  • Learner feedback
  • Careers information, advice and guidance
  • Equality, diversity and inclusion
  • Safeguarding, Prevent and learner welfare
  • Subcontracting arrangements (where applicable)
  • Audit findings and action plans
  • Regulatory inspections and improvement actions.

The DTCCA reserves the right to increase the frequency of Performance Management Meetings where performance, compliance concerns or risk ratings indicate additional oversight is required.

The DTCCA will operate a risk-based approach to funding management and may review, reprofile or redistribute funding during the funding year to ensure the best use of public funds and to respond to changing learner demand.

Providers are expected to notify the DTCCA as soon as possible where they:

  • Are not meeting profiled delivery
  • Are experiencing significantly higher demand than forecast
  • Identify increased learner withdrawals
  • Identify lower than expected achievement rates
  • Experience staffing or capacity issues
  • Become aware of any issue that may affect delivery or compliance.

Where underperformance is identified, the DTCCA may review Delivery Plans, financial forecast and payment plans, recover overpayments where appropriate, and reallocate funding in accordance with the terms of the relevant Grant Funding Agreement or Contract for Services.

Providers must notify the DTCCA immediately of any material change to their organisational, financial or operational circumstances.

The DTCCA reserves the right to undertake additional financial, compliance or quality assurance reviews where concerns are identified. Where evidence of underperformance, non-compliance or risk is identified by the DTCCA, the Department for Work and Pensions (DWP), the Department for Education (DfE), or other relevant authorities, the DTCCA will work with the Provider to implement proportionate interventions aimed at:

  • Protecting learners
  • Safeguarding public funds
  • Resolving financial, quality or compliance concerns promptly.

Performance management activity will also be used to assess how effectively provision aligns with current and emerging skills needs across Devon and Torbay. Evidence gathered through monitoring and evaluation will inform future commissioning decisions, service improvements and the potential need for additional provision or providers.

Providers are expected to work transparently and collaboratively with the DTCCA at all times. Full details of provider responsibilities and reporting requirements are set out in the relevant Grant Funding Agreement or Contract for Services and in this DTCCA ASF Performance Management Framework.

Data

Providers must have the capacity and capability for accurate data and evidence collection, management and reporting and must be able to comply with both the Authority’s and the DfE’s data submission requirements, including, but not limited to, the Individualised Learner Record (ILR), Earnings Adjustment Statement (EAS) and all associated evidence, with prompt recording of changes to learner data e.g. withdrawals from learning.

If a Provider does not have a Management Information System (MIS) capable of generating an XML file, then the ILR Learner Entry Tool should be used to create an ILR file for upload to the ‘submit learner data portal’.

Providers are required to submit an accurate and complete ILR each month following the first enrolment. ILR files cannot be submitted to the DTCCA and must be submitted to the DfE via Submit Learner Data.

Learner data for both ASF and FCFJ must be entered in the same file with all codes being entered correctly, including but not limited to the funding model field, source of funding, and contract codes, to denote the funding stream learners are being funded through. This data must be uploaded monthly as an XML file. Each file overwrites all previously submitted records which means that Providers cannot split the data into separate files and upload each file.

The first ILR and EAS return is R01 and this will contain new starts from 1 August 2026 and should be submitted in line with the 2026/27 DfE ILR specification. For return dates see Data Collection Timetable 2026 to 2027 guidance.

Providers should refer to the ILR technical documents, guidance and requirements to assist them with submitting the data correctly and in the format required by the DfE. The DfE will validate this data in line with their validation rules prior to it being forwarded to the DTCCA.

Providers must ensure that all documentation relating to the enrolment of Devon and Torbay Learners, and the record of learning activity is completed accurately.

If any data fails the validation checks, then the learner record and all associated records for that learner will be rejected. Rejected records are not loaded into the national ILR database and so are not forwarded to the DTCCA; as such the data will not generate funding. Rejected records generate a rule violation report which the Provider receives.

This rule violation report details the errors that caused the upload to be rejected. This can only be corrected by submitting another ILR file to overwrite the file containing errors as once a file is submitted it cannot be deleted. It is the responsibility of the Provider to correct inaccurate ILR and EAS data.

As part of our assurance work, we will be monitoring the data Providers submit to the DfE from the ILR and the EAS via regular desktop compliance checks allowing us to identify possible errors in the devolved ASF funding claimed for Devon and Torbay Learners by Providers, which might require further investigation.

Data recorded on the ILR return will continue to be used to calculate funding earned by Providers and will enable the DTCCA, as part of its performance management arrangements, to compare actual volumes and earnings against the Delivery Plan agreed as part of Providers’ Grant Funding Agreement and/or Contract for Services.

The data gathered through the ILR will enable the DfE to generate occupancy reports for both Providers and the DTCCA. These will confirm that the learning aim is valid, run the funding calculation and confirm the actual funding earned. It will also be used to monitor progress against payment profiles.

Providers are expected to regularly review their software systems and processes to check for data accuracy.

The EAS is a comma separated value (CSV) data collection that is the mechanism for all Providers to claim funding for eligible activity that cannot be recorded through the ILR.

This eligible activity typically includes, but is not limited to: Excess Learning Support Funding (learning support funding that exceeds the fixed monthly rate up to £19,000) to meet the cost of putting in place a reasonable adjustment, as set out in the Equality Act 2010, for learners who have an identified learning difficulty and/or disability, to achieve their learning goal and Learner Support Funding which is available to provide financial support for individuals with a specific financial hardship preventing them from taking part/continuing in learning.

The EAS is not a mandatory return unless a Provider is making a claim for one or more of the following categories:

  • Excess Learning Support
  • The King’s Trust Programme
  • Learner Support: 19+ Hardship
  • Learner Support: 20+ Childcare 
  • Learner Support: Care to Learn top up for 19-year-olds 
  • Learner Support: Residential Access Fund
  • Learner Support: IT Devices and Connectivity Costs
  • Learner Support: Administration Expenditure.

Where Providers make an EAS claim, Providers must submit an EAS file to the DTCCA monthly, alongside their ILR return. Providers must not wait until the final funding claim point to supply this data. Once an EAS claim has been submitted, Providers must continue to submit EAS data in all subsequent returns for the remainder of the academic year. The EAS is a cumulative return, and each file must include the totality of claims made to date. If an EAS return is submitted with previously claimed data removed, the DTCCA may recover any payments associated with that data. If EAS data is not included in your final R14 ILR return, it will not be paid.

There is no standard EAS template provided by the DTCCA. Providers must use the standard format as defined by the DfE and ensure all claims are accurate, clearly evidenced and aligned with the DTCCA rules.

A Provider must retain full supporting evidence for each EAS claim, including:

  • Learner eligibility and needs assessment
  • Description of support provided, or cost incurred, with receipts and invoices
  • Dates of activity and related documentation
  • Authorisation or agreement (where required)

All EAS claims are subject to performance management, monitoring and audit. Claims without sufficient evidence or which fall outside of published rules may be rejected and may lead to funding recovery.

Payments and reporting

Providers will be given, in advance of the start of the Grant Funding Agreement and/or Contract for Services, an agreed Financial Forecast and Payment Plan based on the Providers’ agreed Delivery Plan. Providers will be advised in writing in advance of any necessary in year changes.

Grant Funding Agreements and Contracts for Services are both paid monthly but through different funding methodologies which can be found in the DTCCA ASF Funding and Performance Management Rules for 2026 to 2027

The DTCCA reserves the right to cease payments, should Providers be in breach of their Grant Funding Agreement / Contract for Services.

Following confirmation of that month’s ILR, Contract for Services Providers will need to submit an invoice with the correct purchase order details and payments will be made a month in arrears. Failure to quote a valid purchase order will result in the invoice being rejected.

Payment will be subject to verification of ILR and EAS data, compliance with the DTCCA ASF Funding and Performance Management Rules for 2026 to 2027, the DTCCA ASF Funding Rates and Formula for 2026 to 2027, the DTCCA ASF Performance Management Framework, and contractual / grant funding agreement terms.

The DTCCA will implement at a minimum 2 key reconciliation points, mid-academic year and at the end of the academic delivery year, to recover funds or make payments against actual delivery that Providers have submitted and evidenced through their ILR, EAS and funding claims.

The DTCCA reserves the right to increase the number of reconciliation points throughout the academic year depending on the risk profile and performance of the Provider.

Providers will need to submit ILR compliant learner data, EAS data, evidence of delivery, progression data and achievement certificates (where and when applicable), and where applicable learner and learning support evidence (including learner support plans). If data is incorrect, incomplete, or late, payment can be delayed or reduced.

Over-delivery and / or delivery towards non-approved DfE qualifications will not be funded unless an appropriate Business Case has been submitted to and approved by the DTCCA.

Overperformance may be rewarded if additional funds are available (subject to contract /grant funding caps and performance reviews). At no stage will the cumulative payments be made to a Provider that would breaches their maximum contract value.

Alongside verification of ILR and EAS submissions, Providers must report outputs to the DTCCA on:

  • Learner starts and completions
  • Learner retention and learner dropouts
  • Learner qualification achievements and level of achievement
  • Proportion of learners from priority groups
  • Learner travel time to provision
  • Employer engagement and satisfaction metrics
  • Employer co-funding
  • Progression into employment or further learning, including: 
  • Progression from Level 2 to Level 3
  • Wage uplift post-training
  • Progression to Apprenticeships / Higher Technical Qualifications
  • Completion of additional social value activities outlined in the application for funding
  • Care leaver commitments. 

Providers will also be monitored and reviewed according to the below performance profile:

Performance areaIndicator/OutputTargetTarget date
Learner RecruitmentNumber of new enrolments≥ 50% of profiled target31st December 2026
Learner RecruitmentNumber of new enrolments≥ 90% of profiled target31st March 2027 
Qualification Achievement% of learners achieving a qualification≥ 30% of profiled target31st December 2026
Qualification Achievement% of learners achieving a qualification≥ 60% of profiled target31st March 2027
Qualification Achievement% of learners achieving a qualification≥ 79% achievement rate30th June 2027
Progression% of learners progressing to further learning or employment≥ 50%30th June 2027
Retention% of learners completing the course they enrolled on≥ 90%Monitored quarterly until 30th June 2027
Outreach and InclusionProportion of learners from priority groups≥ 30% (e.g., care experienced young people 19 to 25 years old)30th June 2027

Yearly programme evaluations of ASF and FCFJ will be conducted. The evaluation will be embedded from programme inception to ensure the evaluation process is built into the programme design and operations.

Quality of provision

Quality measurement is a priority for the DTCCA to ensure that Providers are delivering good quality learning for DTCCA residents.

Provision may only be delivered face-to-face or through a blended approach. At least 50% of the provision will be delivered face-to-face (measured through Guided Learning Hours). Guided Learning Hours must correspond with the course hours specified on the DfE approved Find a Learning Aim.

Providers must ensure that training and qualifications are delivered to a high standard, in line with DCC’s and the DTCCA’s requirements, the Ofsted Education Inspection Framework (EIF), ASF and FCFJ Funding and Performance Management Rules and assurance guidance according to the DfE/DWP rules.

The DTCCA intends to work closely with the DfE/DWP and Ofsted in the measurement of quality and any necessary improvement of learning throughout the duration of Grant Funding Agreements and/or Contract for Services to support good practice.

The DTCCA will meet regularly with the DfE and DWP, and may share any necessary performance management information, including the implementation of Action Plans, to triangulate quality monitoring work.

All Providers must submit their annual Self-Assessment Report (SAR) of their provision once per academic year at a minimum.

All Providers must make available on request their Quality Improvement Plan (QIP) with actions and completed actions.

The DTCCA may request copies of teaching timetables, delivery schedules and other relevant delivery information as part of its quality assurance, performance management and compliance activities. Providers are expected to make such information available upon request to support effective oversight of provision and ensure delivery remains aligned with agreed plans and funding requirements.

ASF and FCFJ fall under the remit of Ofsted. Alongside this, Providers have quality assurance responsibilities to:

Curriculum and Delivery Quality

  • Deliver education and training services that are either face-to-face or blended learning.
  • Lead on all aspects of training administration including, where applicable, venue booking for off-site training and production of learning materials,  and ensure that any facilities including rooms, training centres etc. are appropriate and suitable for the training being delivered.
  • Deliver high quality skills and training and teaching provision mapped to Assessment Objectives approved specifications and ASF and FCFJ learning aims.
  • Operate consistent and effective teaching, learning, and assessment practices.
  • Ensure equality of opportunity for those who may be from more disadvantaged backgrounds and/or who are not in education, employment or training (NEET).
  • Support learners with special educational needs and disability (SEND/ALD) or additional needs.
  • Provide appropriate information, advice and guidance as learners complete their courses.
  • Determine suitability and eligibility of learners to the relevant programme(s) through a robust and transparent onboarding process which should include initial assessment where required.

Internal and External Quality Assurance

  • Undertake regular internal verification of assessment decisions.
  • Implement actions to address underperformance or inconsistent practice.
  • Employ suitably qualified and trained staff who have been appropriately vetted including, where appropriate, enhanced Disclosing and Barring Service (DBS) check.
  • Ensure management structure is of sufficient size, is organised appropriately, and is supported by administrative systems and any other infrastructure necessary to effectively manage and deliver the provision from the implementation phase of the contract.

Safeguarding, Prevent, and Learner Welfare

  • Operate effective Safeguarding and Prevent Policies and Procedures  to protect its learners.
  • Ensure staff are aware of relevant industry standards to maintain learner safeguarding.
  • Train staff on equality, diversity, inclusion, and British values.
  • Ensure a safe, inclusive learning environment—both physically and online.
  • Ensure that staff qualifications and experience remain suitable and applicable for the delivery of services under the Grant Funding Agreement / Contract for Services.

Continuous Improvement

  • Analyse learner feedback, retention, achievement and success (RAS) data and progression outcomes.
  • Reflect on internal Quality Assurance findings,External Quality Assurance reports, and QIPs ensuring any actions are acted on and followed-up.
  • Maintain Staff development and Continued Professional Development activity logs.
  • Implement corrective actions where standards are not met.

Data

  • Ensure that all relevant information and data (electronic and physical) is collected, held and maintained in a secure and confidential manner and in accordance with any individual Grant Funding Agreement / Contract for Services obligations.
  • Ensure that appropriate security standards, controls and measures are in place, such as access to premises.

All Providers will be expected to ensure that high-quality Careers, Information, and Guidance (CIAG) is embedded across all ASF and FCFJ delivery, as both a gateway to learning and progression to further learning and employment.

Providers must also submit data, reports and information on request on an ad hoc basis to assist with Freedom of Information (FOI) requests, Parliamentary Questions (PQs) or other committee requests.

Providers may also be required to provide information for case studies for the duration of their contract, which will evidence benefits of the relevant programme and wider framework.

Providers will be subject to visits from the DTCCA, which will be conducted a minimum of once a year for each Provider. The aims of these visits are to:

  • Understand the impact of the DTCCA’s adult skills provision and its alignment with the ASF commissioning strategy and the DTCCA’s wider Skills and Future Workforce Plan
  • Explore progression routes and cohesive progression pathways
  • Gain a deeper understanding of the intent and impact of provision
  • Engage with learners to gather their feedback and experiences
  • Talk to tutors to understand their perspective
  • Gather case studies that highlight successes and areas for improvement.

Where the provision and delivery of ASF and FCFJ have been assessed to be under breach of a Grant Funding Agreement and/or Contract for Services, and/or the quality of provision and delivery are assessed to be in need of improvement, the DTCCA will discuss the issues with the Provider and agree a Provider Action Plan. However, in cases of serious and statutory breaches such as may be found within Safeguarding or Health and Safety the DTCCA reserves the right to take immediate remedial action.

The Provider Action Plan is intended to be designed collaboratively between the DTCCA and the Provider. It is envisaged the Provider Action Plan will be supportive and  should seek to mitigate an area of risk or to improve the quality or performance in accordance with the DTCCA.

The Provider Action Plan will specify in reasonable detail the additional measures to be taken by the DTCCA and/or Provider and the expected timescales of rectification or improvement (as the case may be) in monitoring the performance of the provision and delivery of ASF and FCFJ.

The Provider will be required to adhere to a Provider Action Plan to improve the quality of their delivery and provision. The DTCCA will discuss expectations around the implementation of the Provider Action Plan and will arrange monitoring and reviewing steps to observe progress.

The DTCCA reserves the right to withhold payment of the grant and / or contract until the necessary actions have been taken by the Provider to the satisfaction of the DTCCA, as detailed in the Provider Action Plan. 

If a Provider (acting reasonably) objects to any of the specified measures on the grounds that they are excessive, they must notify the DTCCA in writing within 5 Working Days of the receipt of the Provider Action Plan of the measures objected to (and of any Variation necessary).

The measures to be taken by a Provider and/or the DTCCA (as the case may be) will be agreed between the parties or, in the absence of agreement within 10 Working Days of the DTCCA’s receipt of the Provider’s objection, determined pursuant to the Dispute Resolution Procedure.

Audit and assurance

The DTCCA is required to maintain and operate appropriate assurance arrangements for the management, monitoring and oversight of Adult Skills Fund provision. These arrangements support the DTCCA in meeting its obligations under devolution, funding, audit and accountability requirements, and in demonstrating that public funds have been used appropriately, effectively and in accordance with applicable funding rules and contractual requirements.

As part of the DTCCA’s approach to monitoring the performance of learning organisations, our Finance and external Audit colleagues will undertake audit and assurance activities to ensure that the funding is deployed in the way it was intended. This includes finance activities and internal audits.

The focus of the internal audit activities will be to provide assurance that Providers:

  • Operate systems, processes and internal controls support the submission of timely and robust data to the DfE and the DTCCA
  • Deliver provision in line with statutory and contractual requirements and evidence exists to support the funding claims
  • Deliver provision in line with the data they have submitted
  • Undertake corrective or preventative action where appropriate to rectify any issues identified during the audit activity.

All Providers will be reviewed periodically by the DTCCA, and more frequently if concerns have been raised through performance management and audit checks.

If Auditors identify any errors which they deem to be material, the DTCCA reserves the right at its absolute discretion to require the Provider to carry out a 100% audit of all or part of the Funded Activity and/or recover from the Provider an amount based on the error rate identified.

The DTCCA reserves the right to conduct any audit of activity carried out by the Provider directly or indirectly relating to its Funded Activity, including review of accounts and any related documentation.

Providers must keep all Learner Records and all other documents relating to Funded Activity, including but not restricted to:

  • Evidence of Careers Education, Information, Advice and Guidance (CEIAG)
  • Evidence of Initial Assessment
  • Individual Learning Plans and any other associated learner documentation
  • Evidence of learning (GLH) which may include samples or photographic evidence of learners’ work
  • Evidence of planning:  schemes of work and session plans
  • Evidence of learner outcomes and achievement
  • Invoices
  • Receipts
  • Accounts and any other relevant documents relating to the expenditure of the funding for a period of at least six years following receipt of any monies to which they relate.

The DTCCA has the right to review, at the DTCCA’s reasonable request, Providers accounts and records that relate to the expenditure of the funding and has the right to take copies of such accounts and records.

Providers must provide the DTCCA with a copy of their annual accounts within six months (or such lesser period as the DTCCA may reasonably require) of the end of the relevant Financial Year in respect of each year in which funding is paid.

Providers must comply with and facilitate the DTCCA’s compliance with all statutory requirements regarding accounts, audit or examination of accounts, annual reports, and annual returns applicable to itself and the DTCCA.

If allegations or information are received by the DTCCA under our Whistleblowing Policy, that relate to concerns regarding a Provider’s financial management and/or governance, the matter will be investigated in line with our Anti-Fraud and Corruption Policy and any agreed joint working protocols with any other affected partner organisations, including the DfE, other Combined Authorities and Ofsted.

Feedback from learners

Learner Views are important to the DTCCA. It is important that all learners can express their views to the authority to help the DTCCA assess the impact of the funding. This also applies to employers and any other key stakeholders.

The aim is to develop a genuine culture of inclusivity within which the views of learners of all abilities and backgrounds are valued. The learner’s voice is an integral and effective part of the quality improvement arrangements.

Activities which may be considered as supporting this aim include, but are not limited to:

  • Productive and well-considered data produced through learner surveys and other feedback which lead to a range of improvements for learners
  • The use of Individual Learning Plans, online classroom interaction (e.g. Google Classroom) or Learning Diaries to record meaningful learner feedback throughout their programme of study.
  • Learner involvement and enrichment activities which are particularly productive in increasing learners’ social confidence and in the development of applicable, vocationally related skills
  • Productive use of employer feedback to ensure that learners’ work-related experiences are responsive to local needs
  • Wider varieties of effective strategies, including comprehensive learner surveys, to capture the voice of all learners.

Providers must give all learners the opportunity to provide feedback via learner focus groups, compliments and complaints received and use this to inform improvements to the overall programme.

The DTCCA may request learner case studies as part of its quality assurance, performance management, monitoring or promotional activities. Providers must supply such information within a reasonable timeframe and ensure that appropriate learner consent has been obtained where personal information, images or identifiable details are included. The DTCCA may use approved case studies to share best practice, promote programme impact and support reporting requirements.

Feedback from employers

Providers funded through the DTCCA ASF will be required to collect feedback from those Employers who have benefitted from ASF investment in their workforce, focusing on filling skills gaps and developing skills for progression.

Feedback from providers

An annual evaluation of provision will be undertaken to understand the impact of devolved funding of the ASF in the DTCCA administrative area. The DTCCA wants to understand if the arrangements have led to improved outcomes for learners.

Providers are required to contribute to the DTCCA annual ASF evaluation.

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