EPCRA
The Skills Funding Agency’s position on Electronic Records was outlined in a briefing note issued on 9 June 2011 with Update 61. During 2009/10 and 2010/11, the LSC and Skills Funding Agency undertook a pilot study using Paperless Systems Frameworks and Electronic Records with a view to providing certification for such systems. Following evaluation of the pilot it has been concluded that this approach will not be adopted and the Agency will not provide certification for paperless systems. Information on this page relates to the pilot and is not being taken forward by the Skills Funding Agency.
The Electronic Platforms Control Risk Assessment (EPCRA) document has been developed by the Provider Financial Assurance Team (NOPFA). Its purpose is to provide a working document for auditors to gather information about contracted employers’ I.T. environments, to inform an audit risk assessment.
As well as informing auditors, the EPCRA is a useful self assessment tool as its design is based on recognised standards.
The current version has evolved for use by employers contracting with the National Employer Service (NES). It will be used as the key assessment document for the electronic records provider pilot as the principles will be the same.
Going through the pilot will enable the EPCRA to be further developed for general provider use. To inform this, feedback from providers during the pilot is welcomed.
Electronic Platforms Control Risk Assessment form
Published July 2010
Paperless Systems Framework
The LSC has developed and successfully piloted a Paperless Systems Framework for large employers, which means that subject to satisfactory operation and control of an electronic system they are not required to keep paper-based records for LSC purposes. This option has been available to all NES contracted employers since April 2009.
An Electronic Records project has been established to further develop and test the Paperless Systems Framework to enable it to be used with providers who are not employers. A pilot group of 16 providers is assisting the LSC in this project. Click on the link for the update on progress report.
The Electronic Records project includes an assessment of the risks associated with electronic signatures and has concluded that the risks are the same as for ‘wet’ signatures, as long as a satisfactory cryptographic system is in place. However a full paperless system will potentially remove the requirement for any signatures (other than for ESF funding). Requirements in relation to electronic records will be included in the funding guidance for 2010/11 and further support documentation for providers and auditors is being developed as part of the project.
Current advice from the ESF Managing Authority team at DWP is that there are no circumstances where electronic signatures are acceptable for audit purposes. We are continuing to make the case that if LSC auditors are prepared to place reliance on a providers’ electronic systems for LSC audit purposes we would hope that this would be acceptable for ESF purposes. We will reflect the outcomes of our discussions with regard to ESF requirements in the funding guidance and support documentation being developed for 2010/11.
