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CHAPTER 2 - EMA PROCESSES

Introduction

2.1 This chapter describes the processes and delivery mechanisms for promoting and administering the EMA in the EAs, schools and colleges involved in the research. In this chapter each element will be considered in turn for the 5 EA areas and the 6 colleges. The content is based on the 37 interviews with stakeholders. These were:

• EMA co-ordinators and guidance staff in schools
• bursary officers in FE Colleges
• EA contacts with overall management responsibility for EMA in their local authority
• policy officers with responsibility for student support and a statistician in the Scottish Funding Council ( SFC)

Table 2.1: Breakdown of the Number of Stakeholders and Establishments

2.2 The chapter will look in turn at each EA area and the FE Colleges as a whole and consider:

• EMA Promotion and Awareness-raising
• Application Process, EMA Guidance & Payments
• Monitoring, Reporting and Management of the EMA

Clackmannanshire

2.3 Clackmannanshire is a small local authority with 3 secondary schools, one special school and one independent school. It has 620 pupils aged 16+ studying in its schools.

EMA Promotion and Awareness-Raising

2.4 The promotion of the EMA takes place at the school and local authority level. Advertisements are placed in the local press during June and information about the EMA features in a publication about financial support, produced jointly with the Benefits Section, distributed to all parents.

2.5 At a school level, information about the EMA is outlined in the school handbook and posters are on display around the school. At the end of S4, pupils are told about the EMA and the eligibility criteria and this is reinforced in S5 and S6.

Application Process, EMA Guidance and Payments

2.6 In the 2006/7 academic year, 221 pupils aged 16+ applied for an EMA and 90% (200) applicants were successful.

2.7 Application forms are distributed by the school to all pupils at the end of S4 and S5. This process will change this year with the EA having the resources to post applications to every pupil in S4 and S5.

2.8 The team of 3 that administer the EMA are also responsible for administering free school meals ( FSM), the clothing grant and providing general administrative support for schools. Once the EMA forms are received, incomplete applications are followed up by letter and telephone until the correct information is secured. Letters are then sent to all pupils about the status of their application and a list of successful EMA applicants is sent to the school.

2.9 At this stage the school completes a learning agreement with each pupil and this is countersigned by a parent and a member of staff. A copy of the learning agreement is returned to the EA which authorises payment.

2.10 With regard to bonus payments, the EA sends a list of EMA recipients to the school and the school identifies (by a cross or a tick) which pupils should receive the bonus payment. The EA rarely questions the pupil selection as it is considered that the schools are best place to reach that decision.

2.11 In 2006/7, 164 pupils were eligible for the January bonus and 146 (89%) received it.

Monitoring, Reporting and Management

2.12 Prior to the introduction of the EMA, the EA established an EMA working group and held a series of meetings with schools to look at how the EMA pilot had progressed and agree approaches with regard to:

• attendance
• lateness
• the content of the learning agreement
• the bonus payment criteria
• how the process should work in the school and with the EA

2.13 This led to the production of guidance that was signed off by all four schools and has resulted in a consistent approach across the schools.

2.14 Communication with the schools was very regular and they informed the EA about changes in the circumstances as they occurred. The schools recorded attendance electronically using the SEEMIS¹⁶ system and had discretion around attendance issues, in keeping with the guidance

Dundee

2.15 There are 10 secondary schools one special school and one independent school in Dundee and 1119 pupils aged over 16 within these schools.

EMA Promotion and Awareness-Raising

2.16 The EA provides information about the EMA on the Education homepage of the Council website and sends posters and leaflets to schools in May. The schools display the EA supplied materials and some produce their own posters to detail specific conditions attached to the EMA in their school. Others rely on conveying information during assembly, PSE sessions with the guidance teachers, induction sessions for S5 and S6 and booklets distributed to pupils when choosing their subjects.

Application Process, EMA Guidance and Payments

2.17 Application forms are sent to all schools for distribution at the end of the summer term. In the 2006/7 academic year, 896 applications were received and 70% (623) were successful.

2.18 There is a team of 4 people who administer the EMA and process payments - this is the bulk of their work but they also deal with some additional aspects of the Education department.

2.19 Parents or pupils are contacted to request information if an application is incomplete, e.g. home address had changed or parental income details were insufficient, and then successful applicants and the school are informed. The pupils have to complete the learning agreement and send it back to the Education Department. The team currently do not have the resources to follow up on outstanding learning agreements and 42 unsuccessful applicants are due to this circumstance but it is likely that these pupils have left school.

2.20 The schools have used the learning agreements in different ways. Some have incorporated into an upper school conduct agreement and EMA recipients and their parents sign up to:

• satisfactory attendance
• a quota of at least five subjects
• career aspirations
• punctuality
• progress targets
• other school rules and regulations

2.21 The EA does not issue guidance and the schools have established their own guidelines (based on original Scottish Executive guidance) that builds in other elements/rules that link to the school. However there is general consistency in that attendance is the key element for the weekly allowance and bonus payments are related to progress, conduct and achievement.

2.22 In January 2007, 479 pupils (77%) received the EMA bonus.

Monitoring, Reporting and Management

2.23 Currently, the attendance information is completed on paper ¹⁷ and submitted weekly. The EA monitored attendance and the schools monitored progress and behaviour. Termly progress reports and information from guidance teachers were used by the schools to decide on the bonus recipients and the schools informed the EA of the pupils who should receive the bonus.

2.24 Management and decision making about the EMA varied. In one school, a minimum number of five subjects were specified; if a pupil dropped a subject (but is still doing 21.5+ hours) then he/she was aware that their EMA will be stopped. In another, if a pupil's behaviour was of concern then their EMA could be stopped and they could be put on a two-week monitoring sheet that must be signed by each teacher to record their behaviour. At the end of the two weeks the EMA payments were reinstated if a pupil's behaviour was deemed satisfactory.

2.25 Schools contacted the EMA team in writing to inform them if a payment should be stopped due to these circumstances and when the payment should be reinstated.

Glasgow

2.26 Glasgow has 29 secondary schools, 12 secondary special schools and 6 independent schools providing education to 4124 pupils aged 16+.

EMA Promotion and Awareness-Raising

2.27 In previous years, the Education department promoted the EMA through advertisements on the radio, on buses and within the press. Since the changes in funding for the administration of the EMA, the marketing has been restricted to newspaper advertisements in June/July and advertising on the Education pages of the Council's website.

2.28 The schools use a range of different methods to raise awareness of the EMA which include:

• assemblies
• guidance teachers
• S4 options evenings
• induction for S5 and S6
• school handbooks
• parents' evenings for S4 and S5

Application Process, EMA Guidance and Payments

2.29 In the Glasgow schools involved in the research, the EMA application forms were distributed to pupils in S4, S5 and S6 and also made available from the school office and these were supplemented with summarised guidance produced by the EA. The largest number of EMA applications were received by this EA - 2953 and 81% (2386) were successful.

2.30 The completed forms were returned to the Grant Section of the EA. The seven-strong team administered the EMA, FSM, clothing grants and other bursaries. Additional information was sought for incomplete applications and if there was no response after three months, the application was withdrawn.

2.31 Successful EMA recipients were sent a learning agreement which they complete with their guidance teachers and return it to the EA. Schools followed their own guidance (built around the general Scottish Executive guidelines that have been produced) with regard to attendance, behaviour and adherence to the learning agreement.

2.32 Although decisions about bonus payments are based on the overall adherence to the Learning Agreement (includes attendance, behaviour, achievement and attitude), the discretion offered to schools led to variations between schools and staff commented that local interpretation has resulted in inconsistencies. For example the attendance criterion varied between 90-96% across these schools.

2.33 In Glasgow 1518 (63%) pupils received the January bonus.

Monitoring, Reporting and Management

2.34 As part of the EMA pilot, the EA developed a bespoke recording and monitoring system that could administer the EMA. Schools informed the EA about changes in circumstances as they occurred and many schools monitored the information on the 'Click and Go' element of the SEEMIS system which offered electronic registration by teachers and can be accessed by the EA.

2.35 The EA sent a list of EMA recipients to each school and they identified (by a cross or a tick) which pupils should receive the bonus payment. For those non-bonus recipients the school provided a reason for non-payment. The decision was normally informed by the guidance and subject teachers. The EA rarely questioned the decisions as schools were considered best placed to make decisions about their pupils.

Inverclyde

2.36 Inverclyde has 8 secondary schools, 2 special schools and one independent school with 1,220 pupils over the age of 16 in these schools.

EMA Promotion and Awareness-raising

2.37 The EA promotes the EMA by visiting each school in June and talking to S5 and S6 pupils. Leaflets are sent to all age eligible pupils and their parents. The schools considered EMA awareness amongst pupils to be high (through word of mouth) and it is further promoted by guidance teachers.

Application Process, EMA Guidance and Payments

2.38 The EA sent out an application form to every age eligible pupil in May/June of each year. Applications were processed by a team of 4 who also have wider responsibilities for supporting schools. 710 applications were received and 95% (675) were successful. Applicants of incomplete forms were contacted to secure outstanding information and sometimes the schools assisted with this element. Incomplete applications were often due to omitted original documentation, e.g. birth certificates.

2.39 The learning agreements were completed in the school and returned to the EA. All schools were provided with the Scottish Executive guidance and interpret it appropriately for their local situation and school standards. Schools seek guidance from the EA if they have specific queries and there was also an appeals procedure laid out by the EA.

2.40 If payments were likely to be stopped then a pupil was interviewed and given the opportunity to improve/change actions or behaviour. Pupils were also informed if payments were going to be missed due to absences.

2.41 The bonus payments decisions rested with the school and were based on the attendance, appropriate behaviour and attitude and completion of course work.

2.42 The January bonus was paid to 421 pupils, which equates to 63% of EMA recipients.

Monitoring, Reporting and Management

2.43 All schools adopted the same system to monitor the EMA. Guidance staff made the decisions and then school administrators recorded the information weekly on SEEMIS, which the EA then accessed. This not only recorded attendance information but also indicated whether or not EMA payments should be made.

2.44 Schools applied EMA guidance in a way that complemented their school ethos and the pastoral and behaviour management systems in operation within the school. This approach relied on consistency in application amongst the guidance teachers who decided on EMA and bonus payments.

North Lanarkshire

2.45 This EA covers a large geographical area and is responsible for 32 publicly funded secondary schools and no independent schools and 5024 pupils aged 16+.

EMA Promotion and Awareness-Raising

2.46 There is extensive marketing of the EMA. DVDs have been produced that feature EMA recipients. These are played on the plasma screens in dining areas. Posters and mail shots are developed for school use and the EMA is advertised in the local press. EA-driven awareness-raising starts in May, prior to exams. Schools use the EA produced materials and also inform pupils about the EMA during PSE classes, assemblies, Options Evenings for S4 and S5, induction days for summer returnees and within school handbooks.

Application Process, EMA Guidance and Payments

2.47 A team of 7 staff worked on the administration and monitoring of the EMA, 1838 applications were received and 91% (1675) of applicants are in receipt of the allowance in this current academic year.

2.48 An EMA working group was established when the allowance was introduced and this still convened when needed to update information and review guidance. Annual information events were held for school staff and a toolkit has been produced that provides detailed guidance for teachers. The schools became involved in the process when they completed the learning agreements with pupils.

2.49 All 8 schools listed the same conditions for the weekly payments, for example attendance and punctuality levels. These were strictly adhered to and there was no noticeable local variation.

2.50 Stakeholders in schools viewed the toolkit as a valuable source of guidance but felt that there was scope for more flexibility to allow for special circumstances. Bonus payments were based on progress (assessed by teachers) and behaviour as well as attendance. Schools had more discretion with regard to behaviour but were conscious of the EA's rigorous monitoring and were careful to follow EA guidance closely.

2.51 887 pupils received the bonus in January 2007, which equated to 53% of EMA recipients.

Monitoring, Reporting and Management

2.52 Similar to schools in other areas, the SEEMIS system was used to monitor aspects of attendance and punctuality that related to the EMA. In all the schools, a depute head teacher ( DHT) co-ordinated the EMA and was supported by administrative staff who completed the relevant information in SEEMIS and collated progress information against the learning agreement from teaching staff.

2.53 All schools commented on the significant amount of time and resource that was spent administering and monitoring the EMA " the EMA is a non-teaching duty with a huge amount of time attached". In some schools it was felt that there was not sufficient time or any additional resource to deal with this.

2.54 The EA acknowledged the schools role in identifying the EMA bonus recipients. However if spot checks revealed that the guidance has not been applied rigorously, or could be open to interpretation, then the EA would attempt to retrieve money back from the pupils. Schools had pupils who had experienced this and therefore they were aware of potential claw back when they reached decisions about EMA and bonus payments.

FE Colleges

EMA Promotion and Awareness-Raising

2.55 There are currently 39 colleges making EMA payments and funding for EMA recipients is paid from the SFC directly to colleges. As a result, the promotion and marketing of the EMA differs between colleges. This is not driven by, or connected to EA-level activity. In most cases the colleges target new and prospective students and incorporate EMA information alongside the details of other financial support within handbooks and college application packs. In addition the individual colleges employ a number of other awareness raising activities including:

• advertisements in local papers
• advice sessions on financing their course
• college newsletters
• one-to-one meetings with bursary officers

Application Process, EMA Guidance and Payments

2.56 Across the 6 colleges, 2453 students were in receipt of the EMA. In most establishments, when students are age-eligible for the EMA and the bursary, the bursary officers tend to decide which one is financially more advantageous for the students to apply for.

2.57 The bursary is available to students aged over 18 on a full time college course. It is means tested for parent, personal and dependent income. If parental income is less than £22,600, bursary students could receive £65 per week. Additional elements are paid if a student lives away from home, supports themselves or has childcare responsibilities.

2.58 The EMA recipients involved in this research were under 18 years old and most would move over to the bursary at aged 18 because of the higher weekly allowance. There were some exceptions where this was not the case, such as where a student's family was in receipt of certain benefits and the bursary could be regarded as additional income and impacted on their family's benefit. In these cases the student would remain on the EMA (which is not included within income calculations when assessing eligibility criteria for certain benefits).

2.59 The applications are processed by the bursary teams. Conditions attached to EMA fortnightly payments relied heavily on weekly attendance (100%) which was recorded by tutors and lecturers. The bonus payments reflected tutor/lecturer feedback and 80% overall attendance. Colleges employed different systems and had varying degrees of positive experiences of managing the EMA process and payments.

2.60 In some colleges, EMA students carried attendance cards that were signed off by tutors; in others there was a reliance on tutors to submit the information. The systems seemed to work best where there were agreed protocols in place. For example, in one college they established a working group made up of bursary staff, business support managers and lecturers to highlight roles and responsibilities within the EMA process and to agree methods for collating and recording the required information. This has spread the administrative burden and resulted in timely responses from lecturers and reduced potential delays. Most colleges commented on the additional administrative work that was required of lecturers or tutors and the challenges that sometimes posed.

2.61 Fortnightly payments were made into the students' accounts if they have satisfactorily met the EMA allowance criteria. Most students also received a separate travel allowance to contribute towards their travel expenses and this was paid monthly.

2.62 The colleges use their own guidance which is based on the interpretation of the Scottish Executive Guidelines. The SFC provided advice if colleges had any queries.

2.63 The January bonus was received by 1565 students in these colleges - this represented 64% of potential recipients.

Monitoring, Reporting and Management

2.64 The individual colleges operated different systems to manage the EMA. Most used the TeQuios software package which eased the processing of EMA payments. The software is designed to track a wide range of financial payments to students including bursary payments, childcare payments and EMAs.

2.65 All colleges commented on the reporting requirements and process for claiming EMA money from the SFC. The monthly claim to the SFC to refund fortnightly EMA payments sometimes proved difficult to reconcile and this system had recently been reviewed. The Scottish Executive's requirements for annual audits on a financial year basis involved collating information and data over 2 academic years which was a further challenge. However efforts continued to be made by all stakeholders to try and make the process as easy and uncomplicated as possible.

Summary of Key Points

• In the absence of a national marketing campaign, a range of promotional activities were employed to raise awareness of the EMA amongst school pupils - these varied normally as a result of the available financial and human resources and the existence of local opportunities for promotion.
• The bulk of the promotion took place in the summer term, due to the practicalities of producing and processing applications in time for the new academic year. It also reflected the fact that the EMA was not viewed as a NEET prevention tool, therefore the allowance was regarded as an element for consideration once the decision to take on had been made rather than a factor in post-16 decision making
• In colleges, EMA information was incorporated into key documents, e.g. application packs, college diaries, relating to accessing courses and advertised amongst the other forms of financial assistance available to students. This ensured that consideration of the EMA was central to the application for a college education
• The Scottish Executive's guidance on EMAs has been diversely interpreted across the areas and the individual EAs that provided supplementary guidance could also be translated differently across schools in their locality. Comprehensive direction from the EAs led to greater certainty amongst establishments, more consistency across schools but less flexibility to recognise local circumstances. Less instruction from the EA sometimes resulted in uncertainty, inconsistency but the ability for the EMA procedure to complement existing school systems and ethos
• Therefore, the various monitoring systems, the amount of control exhibited by the EA, the levels of discretion in schools, the different application of guidelines and the subjectivity involved in reaching bonus payment decisions, the EMA was applied differently between EAs, within schools in the same EA and between FE Colleges. This is highlighted by the success rates for bonus payments across the 5 areas varying between 53%-89%. So for individual students, receiving a weekly or bonus payment could be 'easier' to achieve in one area compared to another.
• The monitoring systems and the management of the EMA also varied and were often dictated by the IT systems in operation. In schools it was usually the SEEMIS software package and colleges often used TeQuios. The methods and protocols for communicating between staff and reporting adherence to EMA 'conditions' linked into the systems in operation and the culture within each establishment
• In all establishments the EMA is very process driven and considered by many as an additional administrative burden. There were no clear activities at the EA or establishment level to examine the impact of the EMA on aspects like attendance and attainment
• There were some examples of effective practice for promoting the EMA and disseminating information, e.g. pupils remembered the DVDs that played in their schools informing them of the EMA, where local EMA working groups had been established, staff in schools and colleges had clarity about roles and responsibilities and greater ownership of the process

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