Principles of funding of Element 3, Top-Up Funding for High Level Need

The education or training provided supports the young person to acquire the skills required to achieve their outcomes as identified in their Education, Health and Care Assessment and Plan.

Funding will be considered where a young person has severe, complex and enduring special educational needs where Element 3 High Level Need resources are required to enable the young person to complete the identified programme of learning to achieve those outcomes.

When Staffordshire County Council allocates resources, this will be in addition to the provider utilising Element 1 and 2 funding allocated to them from the Education & Skills Funding Agency. The High Need Funding Guidance published by Education and Skills Funding Agency for the appropriate year should be referred to.

• High Need Operational Guide 2021 to 22
  
• High Need Operational Guide 2022 to 23

Providers are expected to work with other support services and providers to identify the most cost effective method of delivering the support required. 

Funding will follow the individual learner, therefore, should a learner cease their learning programme, the provider must notify ‘the Council’ (SENDAPS and S&E Team) within timescales set out in the Colleges High Needs Agreement - 2 weeks of the leaving date in order for contracts and payments to be amended accordingly.

Where learners are no longer resident in Staffordshire, all appropriate information will be transferred to the new responsible Local Authority and a variation made to any contract. 

All costs for support are required to be appropriately evidenced and available for audit by the Local Authority.

Information on the transition support provided by our Sensory and Autism Outreach Teams can be found here: -

• Vision Impairment Team
  
  
• Hearing Impairment Team
  
  
• Autism Outreach Team

Where a young person has sensory needs our Sensory Team offer equipment rental and other services to providers within the county – please see further details at link below:-

• Application for high level need funding - further education providers and specialist Post 16 institutions
  

• Provision in FE Colleges for Post-16 Students with a Sensory Impairment

ASSIST provides support for people over 16 years of age who have hearing or vision loss, are deafblind, or who have an autism spectrum condition that can be purchased by a Post 16 education provider.

Guidance on supporting the needs of children and young people with physical need or disability – includes information regarding equipment 

The section entitled Access Funding for Specialist Equipment - Staffordshire County Council Specialist Equipment Pathway (Not Sensory) in particular, provides information on how equipment can be sourced cost effectively provided an appropriate physio/OT has made recommendations. Consideration should always be given as to whether equipment funded by Staffordshire County Council can be transferred for use by the new education provider. 

The SEND Key Worker will review a young person’s Education Health and Care Plan or as a result of an Education Health and Care Needs Assessment issue a new Education Health and Care Plan and will consult with the nearest appropriate providers along with those that the young person/parents have expressed a preference for. 

When requested the Provider will ascertain if an appropriate programme can be offered to the young person to support the achievement of identified outcomes to help them to reach their goals/aspirations and to meet their Special Educational Need.  The provider records this on the Formal Consultation Report Form and the costs of providing support for the programme are detailed on the Funding Appendix.

The Provider will supply a copy of the Formal Consultation Report and Funding Appendix to the SEND Key Worker within the specified timescales. On review of this the SEND Decision Making Group will agree which provider to be named in the Education Health and Care Plan and agree funding levels and a final plan is issued.  Consulted providers will be advised accordingly.

Where a provider has offered a place to a young person where it is felt that high needs support is required and they are not named in the Education Health and Care Plan, the provider should contact the SEND Key Worker - to advise of the offer of a place.

Having identified which learners will be progressing to a further programme in the following academic year, providers should update the New and Continuing Learners Forms (which will be supplied to all providers) advising of the programme that will be followed and whether support costs will remain the same.

The Skills and Employability Team review the funding appendices and make any queries they feel necessary of the provider.  

Funding Agreements are drafted and issued when queries have been resolved, the preference being for this to happen between June and September, but it is recognised that often Further Education colleges prefer to use the first half term to determine class sizes and that support is appropriate before finalising costs.  There is a requirement to provide termly attendance information for High Need Students, along with information on progress, outcomes and destinations. 

Payments will be made on a termly in advance basis, unless otherwise agreed with a provider in at commencement of Autumn, Spring and Summer term on receipt of a signed funding agreement, invoice and attendance returns for the previous term.

A reconciliation exercise will be undertaken at the end of the academic year to allow for amendments to the actual costs to be considered and information submitted on outcomes, destinations and confirmation that annual reviews due have been undertaken.

Termly meetings are held with providers with more significant numbers of learners.  Topics for discussion at each are:

Autumn

• Finalising High Need learners for current year
• Advising of any prospective learners for next academic year
• Any issues with current learners
• Identification of those learners approaching 25

Spring

• Any issues with current learners, including attendance
• Advising of prospective learners for next academic year
• Progress with annual reviews

Summer

• New applicants for following year.
• Any issues with current learners.
• Those progressing to another programme in following year.
• Learners likely to be leaving provider at end of academic year

A flowchart of the process can be downloaded here.

Learners new to institution

EHCP Needs Assessment

• Where applicable draft EHCP produced
• Consultation with providers
• Provider response to SENDAPS on Consultation Response and Costing Forms.
• Decision Making Group name provider and issue final EHCP
• Skills and Employability
• Team Review Costs and make any queries with provider
• Funding Agreement Issued
• Provider advises Host Local Authority of total High Need learners for each Local Authority
• Host Local Authority agree any additional funding due to provider exceeding E2 allocation.
• Invoices submitted with attendance records for previous term.
• Invoices paid.  Discuss action for those with poor attendance.
• Variations to contract made for starts/leavers
• Provider completes Reconciliation form
• Review reconciliation form and make payment adjustments where necessary.

Annual Review undertaken

• Amended draft EHCP produced where necessary.
• Consultation with providers
• Provider response to SENDAPS on Consultation Response and Costing forms
• Decision Making Group name provider and issue final EHCP
• Skills and Employability Team Review Costs and make any queries with provider
• Funding Agreement Issued
• Provider advises Host Local Authority of total High Need learners for each Local Authority
• Host Local Authority agree any additional funding due to provider exceeding E2 allocation.
• Invoices submitted with attendance records for previous term.
• Invoices paid.  Discuss action for those with poor attendance.
• Variations to contract made for starts/leavers
• Provider completes Reconciliation form
• Review reconciliation form and make payment adjustments where necessary.

Annual Review undertaken

• Amended draft EHCP produced where necessary.
• Consultation with providers
• Provider response to SENDAPS on Consultation Response and Costing forms
• Decision Making Group name provider and issue final EHCP
• Skills and Employability Team Review Costs and make any queries with provider
• Funding Agreement Issued
• Provider advises Host Local Authority of total High Need learners for each Local Authority
• Host Local Authority agree any additional funding due to provider exceeding E2 allocation.
• Invoices submitted with attendance records for previous term.
• Invoices paid.  Discuss action for those with poor attendance.
• Variations to contract made for starts/leavers
• Provider completes Reconciliation form
• Review reconciliation form and make payment adjustments where necessary.

Direct application from learner where no consultation received

• Contact SENDAPS to request a copy of EHCP and consultatoin.
• Consultation with providers
• Provider response to SENDAPS on Consultation Response and Costings Forms
• Decision Making Group name provider and issue final EHCP.
• Skills and Employability Team review costs and make any queries with provider
• Funding Agreement Issued
• Provider advises Host Local Authority of total High Need learners for each Local Authority
• Host Local Authority agree any additional funding due to provider exceeding E2 allocation.
• Invoices submitted with attendance records for previous term.
• Invoices paid.  Discuss action for those with poor attendance.
• Variations to contract made for starts/leavers
• Provider completes Reconciliation form
• Review reconciliation form and make payment adjustments where necessary.

Continuing Learners at institution

• Annual Review undertaken
• Closure of plan where appropriate or
• Amended draft EHCP produced where necessary
• Provider undertake transition reviews for progressing learners
• Provider inform SENDAPS of learners expected to leave or
• Closure of plan where appropriate or
• Consultation with providers
• Providers reponse to SENDAPS on Consultation Response and Costing forms
• Decision Making Group name provider and issue final EHCP.
• Skills and Employability Team review costs and make any queries with provider
• Provider inform Skills and Employability Team of continuing learners and any chane in costs.
• Funding Agreement Issued
• Provider advises Host Local Authority of total High Need learners for each Local Authority
• Host Local Authority agree any additional funding due to provider exceeding E2 allocation.
• Invoices submitted with attendance records for previous term.
• Invoices paid.  Discuss action for those with poor attendance.
• Variations to contract made for starts/leavers
• Provider completes Reconciliation form
• Review reconciliation form and make payment adjustments where necessary.

Please note that where Staffordshire County Council allocates resources, this will be in addition to the provider utilising Element 1 and 2 of the High Needs Funding allocated to them from the Education and Skills Funding Agency.

Providers should ensure that only those learners where a contract for Element 3 has been issued by the local authority are included as High Need Learners in the ILR record.

Information contained in any requests should be evidenced by information that can be obtained from the providers’ own records or that of previous education establishments or associated professionals working with the young person. 

 Levels of support should in most cases be identified via the Education, Health and Care Plan.  Any support provided where additional funding is being requested should be evidenced by information from the providers application of the graduated response toolkit - Plan, Do, Assess, Review or from specialist support services.

Staffordshire County Council will review funding requests against needs identified within Education, Health and Care Plans and advise of any queries as a result.

Funding Appendix

In order to provide the support identified in the Formal Consultation Report please indicate the type of support that will be required, the level of support (usually in hours, with staff/student ratios), the duration for which it is proposed and the estimated cost.  

We accept that the cost of support staff will include on costs, however all costs related to the programme delivered, i.e. premises, usual equipment required as part of programme, management costs, accreditation and examination costs are expected to be included with the programme element (Element 1) of funding provided by the Education Skills Funding Agency.

If awarded funding is not being used to support the individual pupil for whom it was given and at the level agreed, then funding will be withdrawn retrospectively and with immediate effect.  It is expected that any reduction in the cost of providing support is notified to the Skills and Employability Team.  A reconciliation exercise will be undertaken at the end of the academic year.

 A contribution towards the total cost of support will be required from the providers Element 2 funding provided by the Education Funding Agency and so the form automatically deducts a contribution of £6,000 from the total costs.

If the providers data management system is able to produce a report with the information required on this form included then this will be acceptable provided it includes all the information in the form.

Where a provider submits the total costs of a programme and support, a deduction for Element 1 and 2 funding provided by the Education & Skills Funding Agency will be made to the cost.

Where a continuing learner’s support costs have changed for the next academic year please submit an updated Funding Appendix alongside the Continuing Learners Form

For new starters:

• If not named in EHCP or don’t have a copy, contact the relevant district team
• Consultation and costs form should be submitted to SEND Keyworkers within timescales

Changes in levels of support required due to change in young persons needs:

• Call an early annual review, inviting all relevant parties, ensure that evidence to support the change in needs is submitted alongside Annual Review report
• Advise Skills & Employability Team of any change in costs if changes made to Education Health and Care Plan

Changes in support levels not associated with above following contracting:

• Advise Skills & Employability Team providing details of and reasons for change

For continuing learners:

• Advise Skills & Employability Team at Termly meetings
• Provide details on New and Continuing Learners Form
• Where change in costs provide updated Funding Appendix

• Skills and Employability Team
• SEND Keyworkers & Family Practitioner Lead Contacts

Please ensure that all personal information regarding learners is uploaded to sharepoint (where you have access) or encrypted before sending via email to the Skills & Employability or SEND Assessment and Planning Service.

Should you have any questions with regard to the process please do not hesitate to get in touch with the Skills and Employability Team via the team email address: sfl@staffordshire.gov.uk