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APPRENTICESHIP PROGRAMME DOCUMENTATION – Emerging
Good Practice
Rebecca Rhodes, Senior Associate, UVAC
December 2017
Agenda
THE LEARNER JOURNEY - DOCUMENTATION
GOOD PRACTICE AND PITFALLS
DOCUMENTS & EVIDENCE
Document Trailenquiries eligibility needs analysis formal documents reviews evaluation
TO RECRUITMENT DOCUMENTATION
Document Trail – Enquiries logging enquiries eligibility declarations and signatures specification
TO RECRUITMENT DOCUMENTATION
The Initial Employer Contact
% employers who successfully spoke to a provider
All
HEIs
Unsuccessful calls
Not getting through
Not receiving a call back
Responder unable to help
Not all training providers are actively seeking out crucial information on the employers’ business so that
they can tailor their answer to their needs
HEI providers were less likely to ask about the size and scope of the
programme and in-house training materials, as well
as the employers business area
Did the training provider ask questions to find out more …?
% all who spoke to training provider
Internal & External Enquiries ChecklistGood Practice
• Basic data collection at first point of contact - size; sector; ownership; issues, job roles, levy/non-levy
• Single point of contact with a generic email box
• All enquiries logged and progress tracked on a CRM
• CRM provides monthly ( or more frequent ) pipeline reports to Schools/ Course Leaders
• Quickly ‘Triage’ into either email response, BDM call, or face to face
• Use the checklist to ensure that people consistently explain specific key facts to the employer / prospective apprentice e.g. funding
• Prospective apprentice and employers referred to apprenticeship open days or employer events (run ‘regularly’)
• Only works well where people on the phone collect and give the right information
Evidence
• Employer checklist is indicative evidence of explaining costs, factors affecting costs, contribution, commitment required e.g. Wages, 20 %,
Not all training providers are fully explaining how they can assist employers
HEI providers explained less
frequently how they can help employers,
particularly with recruiting and reviewing the
progress of the apprentice
Did the training provider ask questions to find out more …?
% all who spoke to training provider
The costs and expectations associated with hiring an apprentice are often unaddressed
Document Trail – Employer logging enquiries eligibility declarations and signatures specification
TO RECRUITMENT DOCUMENTATION
Employer Eligibility Checklist Good Practice
• Collecting evidence early - but this only works if its thorough
• Eligibility checklist emailed to the employer to complete and supply evidence and sign; i.e. before the contract. (but repeated in the contract & commitment statement)
• Any confirmation of 90/10 % or full funded contingent on receipt of evidence-no commitments made without evidence …
• ….likewise advice on setting up the levy account offered early before further engagement
• Probe the ownership and structure -still lots of employers unaware they are paying the levy
• This declaration acts as a two way checklist – for Business or Apprenticeship team to cover specifics e.g. funding
Evidence & Declaration • Evidence likely to affect funding or access to
apprenticeships:
– Ownership [NB connected company], State Aid
– Locations (s), Size for incentives
– 20% off the job, Apprenticeship agreement
– Funding - levy or non levy
• 211.8. Copies of any state aid declarations for the AGE grant and waiving of the employer contribution for small employers.
• 211.9. Confirmation of eligibility for where the employer contribution is waived including evidence from the employer that they had an average of 49 or fewer employees with a contract of employment in the 365 days before the apprentice was recruited.
• 211.11. A copy of the written apprenticeship agreement or confirmation that the employer has been told about their legal duty for an apprenticeship agreement.
• 211.5. Written confirmation from the employer that the apprentice will be allowed to complete the apprenticeship [incl 20%] within their working hours including English and maths.
Employer Training Needs Analysis
Apprenticeship Manager
7%
Business Development
93%
Lead
Apprenticeship Manager Business Development
Typically :• Paper-based review • Carried out before the contract is
signed - in early meetings• Often takes multiple meetings to
finalise• Not always included in
commitment statement • Some discussed in the tri-partite
review • Some reviewed annually or at the
end of the apprenticeship
Employer Training Needs Analysis
Good Practice
• Used as a diagnostic about the apprenticeship programme, with a checklist of key questions and a declaration
• Online Get key JDs to make match easier
• Staff by level
• Keep the discussion going links - invite to consultation or open day
Headings
• Business Challenges
• Skills challenges
• Priorities - Roles with high staff turnover, vacancies, lack of proficiency, new teams
• Checklist is also a structure – for Business or Apprenticeship team to cover specifics:
• Key questions to match benefits
Evidence if used with Declaration
211.8. Copies of any state aid declarations for the AGE grant and waiving of the employer contribution for small employers.211.9. Confirmation of eligibility for where the employer contribution is waived including evidence from the employer that they had an average of 49 or fewer employees with a contract of employment in the 365 days before the apprentice was recruited.211.5. Written confirmation from the employer that the apprentice will be allowed to complete the apprenticeship within their working hours including English and maths.
Employer Specification
• Emerging employer link document setting out their whole programme -Apprenticeship Strategy or Plan
• Agreed with the employer but held by the university
• Commissioning process for University support for their recruitment immediately and also for the longer term
• A way to manage and plan for multiple apprenticeship cohorts on different apprenticeships
• Single point / collates information that is used to produce other docs :
– Contract for services Schedule 1
– Commitment statement roles and responsibilities
– Sufficient detail to enable partnership / subcontractors to be briefed and commissioned
THE INDIVIDUAL
Document Trail – Apprenticeeligibility apprentice needs analysis - funding & entry price rationale
TO GOVERNANCE DOCUMENTATION
Apprentice Eligibility Checklist
Good Practice • Single data capture process
– increasingly collected at pre-recruitment
– Part of the online recruitment process checklist
• Evidence tick box and copies to be attached; originals shown at recruitment
• Increasingly going online
• Needs a thorough check and triage if anything unexpected is identified
• Needs employer declaration and signature
• Checklist helps to consistently raise key points
• Should not progress until this stage is passed.
Evidence
• Apprentice meets residency criteria
• 211.10. Evidence that the apprentice will spend at least 50% of their working hours in England over the duration of the apprenticeship including time spent on off-the job training.
• 211.19. The supporting evidence about why you have claimed funding and the level of funding for an apprentice, including details of any employer contribution. [e.g. AGE for 16-18 incentives]
• 211.13. Your assessment and evidence of eligibility for funding and a record of what evidence the apprentice has provided. [residency, age, nationality, right to work]
• Evidence rationale for apprenticeship duration where prior learning applies or where the role is part-time
• 211.27. Any relevant experience and achievements, both inside and outside their current working role.
• 211.4. Details of employment including: the name of the employer and the agreed contracted hours of employment, including paid training and 20% ‘off-the-job’ time, the total planned length of the apprenticeship.
• 211.5. Written confirmation from the employer that the apprentice will be allowed to complete the apprenticeship within their working hours including English and maths.
• You must: 34.1. retain evidence of the apprentice’s employment
• Use this process to clear the entry requirements for the degree
Individual Needs Analysis
Start 22%
Induction26%
Both 52%
When do you conduct your INA
Start Induction Both
Typically :
• Usually a 2 stage process for eligibility then for content
• Paper-based review but many moving to online
• Significant proportion only just implementing this
• Not always included in commitment statement
Apprentice Individual Needs AnalysisGood Practice
• INA is also a checklist of points to explain to the apprentice
• Apprentices with any indication of prior learning triaged quickly to the Course Leader for decision /further mapping
• INA outputs used to develop cohort action plan and /or to brief programme/ course team
• Course Leader must pro-rata course duration and price –and document the rationale and evidence in the apprentice file
• Same process for part-time workers
Evidence 211.26. Evidence that the apprenticeship leads to substantive new skills and that the learning is materially different where the apprenticeship is at the same level as, or lower level than, prior qualifications. This evidence could include the following.
211.26.1.Information from the individual’s personal learning record.
211.26.2.Details of previous qualifications including modules/units undertaken compared to the content of the apprenticeship, demonstrating how they are materially different.
211.26.3.Skills gap analysis, demonstrating the new skills needed by the individual and how the apprenticeship will address these.
211.27. Any relevant experience and achievements, both inside and outside their current working role.
34.1. retain evidence of the apprentice’s employment
4.3. and have evidence that the apprentice spends at least 20% of their time on off the-job training
34.4. have evidence that the job allows the apprentice to gain wider employment experience as part of the apprenticeship
Apprentice INA Lessons • Remember to check for any early issues e.g. prior learning levels -
anything that affects price
• INA taking place often at induction led by academic team - but this is evidence for price so is too late – triage first to identify those with experience
• late enrolments make this challenging to complete on time but not checking thoroughly can be disaster
• Initial needs should confirm/ provide evidence you have checked and are satisfied :– Prior Learning
– the apprenticeship is the be satisfied that this is the most appropriate learning programme and
– that it is either a new job role or an existing job role, where the individual needs significant new knowledge and skills
– Additional Learning Needs
– English and Maths (often via BKSB)
• This is evidence for price and both justification for a ‘full’ programme or for the level to time & price reduction
Pricing Checklist & Rationale
Contents & Good Practice • This is a written business case for price
and duration reduction • Based on the apprentice eligibility or
from the INA, evidence of prior learning is escalated to Course Leader
• Course Leader reviews the mapping between the prior qual and the apprenticeship and reduces price and duration in proportion to the % duplication.
• Significant changes = check employer and apprentice agree
• All decisions are documented, signed and stored on the apprentice file and reflected in the commitment statement section on prior learning and in the contract
Evidence 211.17. Confirmation that you have accounted for prior learning that affects the learning or the funding of any of the apprenticeship and adjusted the price accordingly.This information could include:211.17.1.information from the individual’s personal learning record211.17.2.details of previous qualifications including modules/units undertaken compared to the content of the apprenticeship, demonstrating how they are materially different211.17.3. skills gap analysis, demonstrating the new skills needed by the individual and how the apprenticeship will address these211.19. The supporting evidence about why you have claimed funding and the level of funding for an apprentice, including details of any employer contribution.211.21. Where ELS is being claimed for an apprentice aged 19 to 24 without an EHC plan, a letter or email from the apprentice’s local authority stating the reason(s) why the individual does not need an EHC plan.
LEGAL AND FORMAL DOCUMENTS
Document Trail-Formal & Legal Documents Pre-contract intent programme responsibilities mandatory documents contracts
TO PROGRAMME DOCUMENTATION
TO SUBCONTRACTOR DOCUMENTATION
Employer Contract Checklist
Good Practice • Advice on setting up the levy
account offered early before further engagement
• New contract terms:– Clearing Apprenticeship Service
queries every month as a minimum before the ILR dates; and by return if flagged as urgent by you
Evidence & Declaration • 211.6. A signed and dated written agreement between you and
the employer, updated as required, which must be the contract for services between the provider and employer where funded from an employer’s digital account.
• Declarations pertaining to – Ownership– State Aid – Size [NB connected company] for incentives – Apprenticeship agreement
• 211.8. Copies of any state aid declarations for the AGE grant and waiving of the employer contribution for small employers.
• 211.9. Confirmation of eligibility for where the employer contribution is waived including evidence from the employer that they had an average of 49 or fewer employees with a contract of employment in the 365 days before the apprentice was recruited.
• 211.11. A copy of the written apprenticeship agreement or confirmation that the employer has been told about their legal duty for an apprenticeship agreement.
• 211.5. Written confirmation from the employer that the apprentice will be allowed to complete the apprenticeship within their working hours including English and maths. And will be given the minimum20 % off the job- and will provide you with evidence of this
• 211.24. Details of any subcontractor, clearly identifying who they are. This must match the information reported to us in the ILR
• 211.25. Details of any apprentice assessment organisation (where applicable), clearly identifying who they are.
Commitment Statement
Contents & Good Practice • New Commitment Statement
terms – GDPA and data sharing; setting
out specifically employer access to apprentice results
Evidence 211.17. Confirmation that you have accounted for prior learning that affects the learning or the funding of any of the apprenticeship and adjusted the price accordingly.This information could include:211.17.1.information from the individual’s personal learning record211.17.2.details of previous qualifications including modules/units undertaken compared to the content of the apprenticeship, demonstrating how they are materially different211.17.3. skills gap analysis, demonstrating the new skills needed by the individual and how the apprenticeship will address these211.19. The supporting evidence about why you have claimed funding and the level of funding for an apprentice, including details of any employer contribution.211.1. Details of the negotiated cost agreed between the employer and provider.211.2. Details of how the 20% ‘off-the-job’ training, excluding English and maths, will be quantified and delivered.211.3. Details of how English and maths will be delivered211.28. The learning and skills they have to carry out while on their apprenticeship, outside of identified qualifications211.7. The commitment statement signed and dated by the apprentice, employer and main provider
Confirmation and signatures• 211.12. [You must keep evidence for] all information reported to us in the ILR and the
earnings adjustment statement (EAS), and if it applies, the supporting evidence for the data you report.
• P212. Where evidence is electronic, you must have wider systems and processes in place to• assure you that apprentices exist and are eligible for funds.• P213. You must keep effective and reliable evidence. You are responsible for making the• evidence you hold easily available to us when we need it.Individualised learner record (ILR)• P214. You must accurately complete all ILR fields as required in the ILR specification, even if• they are not used for funding. Where your data does not support the funding you have• claimed, we will take action to get this corrected and could recover funds.• P215. The ILR must accurately reflect what has happened. You must not report inaccurate• information even where you perceive that this would result in a more equitable claim for• funding or accurate record of performance.Self-declarations• P216. Where a self-declaration is needed, this must state the apprentice or employer’s
details and describe what is being confirmed.• P217. If an apprentice self-declares prior attainment, you must check this in the personal• learning record (PLR) and query any contradictory information with the apprentice. The• PLR will not necessarily override the apprentice’s self-declaration. In the event of a• missing or incorrect qualification you should refer to the learner registration bodies (LRB)• user guide.
Document Trail – Reviews Induction tripartite review evidence evaluation satisfaction action to improve
FROM MONITORING
TO MONITORING
Tri-Partite Reviews – Practice
quarterly 33%
termly 53%
monthly 5%
6 weekly 9%
Frequency
quarterly termly monthly 6 weekly
Academic Tutor24%
Personal Tutor 36%
Aprenticeship Lead 18%
Combination 15%
Other 7%
Lead
Academic Tutor Personal TutorAprenticeship Lead CombinationOther
Tri-partite Review
Contents & Good Practice • Introduction of Workplace
Learning Managers, Mentors or other roles linking and supporting apprentice and employer with the university
• Signatures for each review or circulating notes and actions
• The importance of the gateway review to prepare and agree readiness for EPA
Evidence to be collected • That the apprentice is still on programme
• And meeting their planned 20 % off the job learning
• The planned activity for the 80% time at work is providing the learning needed to reinforce and embed skills and behaviour
• That they are working the part-time hours required to meet their minimum hours as planned
• That they are acquiring new skills
• That they are progressing as planned e.g. through their assignments
• That any barriers to successful achievement or opportunities for further enhancement are regularly discussed, and actioned in writing then reviewed
• That all parties are meeting their responsibilities to support the programme
• That the commitment statement is up to date and a true reflection of the apprenticeship programme 211.22. Confirmation that learning has taken place and that records are available.
Tripartite Review Lessons • Making the employer commitment to Tri-partite meeting clear
• Setting the timetable of dates ( but not too far in advance )
• Having the line manager involved in an induction face to face session or meeting to reinforce importance
• Reinforcing responsibilities through commitment statement review at induction
• Skype works for some but not all sessions - doesn’t work for some apprentices or line managers
• Expect change of line managers and have a briefing ready
• Using a set agenda helps
• Spacing key aspects like collecting feedback, checking PREVENT, reviewing action plans across the year ( not cramming too much in)
• Getting information on the 20 % is difficult
• Checking that they have been completed ( by apprenticeship team )
• Visibility of records/ outcomes
• Needing an escalation point for any issues identified outside academic support
THE EVIDENCE PACK LIST…..
The Evidence Pack The evidence pack must include the following.
211.1. Details of the negotiated cost agreed between the employer and provider.
211.2. Details of how the 20% ‘off-the-job’ training, excluding English and maths, will be quantified and delivered.
211.3. Details of how English and maths will be delivered.
211.4. Details of employment including: the name of the employer and the agreed contracted hours of employment, including paid training and 20% ‘off-the-job’ time, the total planned length of the apprenticeship.
211.5. Written confirmation from the employer that the apprentice will be allowed to complete the apprenticeship within their working hours including English and maths.
211.6. A signed and dated written agreement between you and the employer, updated as required, which must be the contract for services between the provider and employer where funded from an employer’s digital account.
211.7. The commitment statement signed and dated by the apprentice, employer and main provider.
211.8. Copies of any state aid declarations for the AGE grant and waiving of the employer contribution for small employers.
211.9. Confirmation of eligibility for where the employer contribution is waived including evidence from the employer that they had an average of 49 or fewer employees with a contract of employment in the 365 days before the apprentice was recruited.
211.10. Evidence that the apprentice will spend at least 50% of their working hours in England over the duration of the apprenticeship including time spent on off-the job training. Where the business footprint is larger than England this could include a roster for a typical month for the apprentice along with written confirmation from the employer.
The Evidence Pack 211.11. A copy of the written apprenticeship agreement or confirmation that the employer has been told about their legal duty for an apprenticeship agreement.
211.12. All information reported to us in the ILR and the earnings adjustment statement (EAS), and if it applies, the supporting evidence for the data you report.
211.13. Your assessment and evidence of eligibility for funding and a record of what evidence the apprentice has provided.
211.14. Confirmation of eligibility for any additional payments including, a signed, original declaration from the apprentice to confirm they are a care leaver, or evidence of an education, health and care plan where the apprentice is aged between 19 and 24 years old.
211.15. The apprentice’s job role, including any significantly new skills required for a new role, and that they are not enrolled on another apprenticeship at the same time.
211.16. All initial assessments for English and maths.
211.17. Confirmation that you have accounted for prior learning that affects the learning or the funding of any of the apprenticeship and adjusted the price accordingly.
This information could include:
211.17.1.information from the individual’s personal learning record
211.17.2.details of previous qualifications including modules/units undertaken compared to the content of the apprenticeship, demonstrating how they are materially different
211.17.3. skills gap analysis, demonstrating the new skills needed by the individual and how the apprenticeship will address these
The Evidence Pack 211.18. A description of how you will deliver the apprenticeship and how the apprentice will achieve it.
211.19. The supporting evidence about why you have claimed funding and the level of funding for an apprentice, including details of any employer contribution.
211.20. Details of any support needs identified, including an assessment and how you will meet these needs.
211.21. Where ELS is being claimed for an apprentice aged 19 to 24 without an EHC plan, a letter or email from the apprentice’s local authority stating the reason(s) why the individual does not need an EHC plan.
211.22. Confirmation that learning has taken place and that records are available.
211.23. All records and evidence of completion. This must be available within three months of you reporting it in the ILR.
211.24. Details of any subcontractor, clearly identifying who they are. This must match the information reported to us in the ILR
211.25. Details of any apprentice assessment organisation (where applicable), clearly identifying who they are.
211.26. Evidence that the apprenticeship leads to substantive new skills and that the learning is materially different where the apprenticeship is at the same level as, or lower level than, prior qualifications. This evidence could include the following.
211.26.1.Information from the individual’s personal learning record.
211.26.2.Details of previous qualifications including modules/units undertaken compared to the content of the apprenticeship, demonstrating how they are materially different.
211.26.3.Skills gap analysis, demonstrating the new skills needed by the individual and how the apprenticeship will address these.
211.27. Any relevant experience and achievements, both inside and outside their current working role.
211.28. The learning and skills they have to carry out while on their apprenticeship, outside of identified qualifications.