SITS:Vision

Annual Conference@ the Hilton Deansgate Hotel, Manchester

Gary Williams – Business Development Director

Electronic Evidence12 -13 July 2011

Electronic Evidence:Key issues to be aware of

SFA Guidance Note 7 (April 2011):

Providers must retain a robust and reliable form of evidence to support funding claims including evidence of learner existence, eligibility, and achievement.

From 1 August 2011, providers will be able to hold evidence in electronic format. This may include holding data on electronic platforms and in scanned format, including learner signatures.

(Paragraph 80)

Supplemented with SFA Briefing Note on Electronic Records dated 9th June 2011

What’s new?

An option from 1st August 2011

Covers ‘holding of evidence to support funding claims’

‘a provider is expected to have in place

demonstrable procedures and policies to enable it to

confirm learner existence and eligibility, including

physical confirmation of existence and evidence in

support of eligibility as necessary’.

What’s new?

Must still comply with 2011/12 Learner Eligibility and Contribution Rules:

The what and how of compliance will need to be stored as well as being satisfied that the processes used provide adequate assurance Need to comply with data protection legislation

Key Elements(2)

Not a requirement

Not ‘all’ or ‘nothing’

Three options and all are perfectly

acceptable to SFA:

Some None all

Key Features

Funding requirements for 2011/12

• It is the provider’s responsibility:

to meet the minimum requirements for evidence;

and that these are sufficient for audit purposes.

• Stipulate that the Agency will not be prescriptive

on how providers meet the minimum requirements.

• Briefing note confirms that these broad principles

are also applicable to the use of electronic records.

Funding requirements for 2011/12

• It is the responsibility of the provider to establish adequate procedures that will ensure the completeness, accuracy and security of data for electronic records.

• Providers must be able to demonstrate that the procedures are operating satisfactorily, if required to do so by the Agency

What are the potential benefits?

Archiving

Document and records management

Complete on-line enrolment

More customer friendly

Cost reduction

Streamlined business processes

What are the potential pitfalls?

Lack of robust evidence to support existence, eligibility, learning and achievement

■ An electronic signature is not enough!■ ‘Digital’ signatures to authenticate the learner■ Need to comply with DS Regulations

Reliance on existing systems and procedures

Needs investment of time and money to secure

downstream efficiencies

An example

Summary

• Available from 1st August 2011

• Archiving and records storage and management are easy end of the spectrum

• Learning & Achievement is relatively straight forward and exists for most learner options now

Overview

• Developments needed around learner existence and eligibility

• Need to comply with guidance (Funding and Eligibility) irrespective of manual or electronic data capture, storage and management

Questions and discussion