Provider Guidance

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Adult and Community Learning Service

PROVIDER GUIDANCE
2012—2013
CONTENTS PAGE

1 INTRODUCTION 2

2 COLLECTION AND ANALYSIS OF DATA 3

3 PROGRAMME INFORMATION 4

4 ENROLMENT FORMS 5

5 REGISTERS 5

6 INDIVIDUAL LEARNING PLANS (ILPs) 6

7 INFORMATION AND ADVICE 6

8 PROGRESSION 6

9 LEARNER FEEDBACK 7

10 CLASS MONITORING VISITS 7

11 OBSERVATION OF LEARNING AND TEACHING (OLT) 8

12 JOINT OBSERVATION OF LEARNING AND TEACHING 8

13 FUNDING STREAM REQUIREMENTS 9

14 TERMLY MONITORING MEETINGS 10

15 RISK RATING 11

16 MODERATION OF EVIDENCE 11

17 THE SELF ASSESSMENT PROCESS 11

18 MARKETING AND PUBLICITY MATERIAL 12

19 PROVIDER FEEDBACK 12

20 TUTOR RECORDS 12

21 LEARNERS’ WORK 12

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1 INTRODUCTION

The Skills Funding Agency (SFA) funds Staffordshire Adult and Community
Learning (ACL) Service for the provision of accredited and non-accredited
learning opportunities for adults. An adult learner is an individual over the age of
19.

The ACL Service is designated as the ‘Lead Provider’ of this learning through
provision that it secures by means of contracts and service level agreements with
its Providers. As ‘Lead Provider’ of these learning opportunities, the ACL Service
is responsible for and will monitor the quality and performance of all provision
delivered.

All Providers have a responsibility to ensure the quality of all the
programmes that they deliver and must have in place appropriate Quality
Assurance systems to satisfy the requirements of Ofsted as detailed in the
Common Inspection Framework (June 2012).

Providers are also required to comply with all relevant guidance issued by the
Skills Funding Agency (SFA). This can be found on the SFA website and is
updated from time to time. Providers can register for SFA updates
http://skillsfundingagency.bis.gov.uk

This document gives further guidance to the “Full Service Specification March
2012” and covers the requirements for the delivery of Personal and Community
Development Learning (PCDL), Formal First Steps (FFS), Wider Family Learning
(WFL) and Family English, Maths and Language (FEML). Providers are also
required to read the “Teaching and Learning Guide”, “Lesson Observation and
Moderation Policy” and the “Quality Framework”.

1.1 The ACL Service will:

1.1.1 Register sub-contractors with SFA. Following registration, should the SFA
instruct the ACL Service not to sub contract with a specific delivery partner, the
contract will be withdrawn.

1.1.2 Hold an annual tutor induction, and an information session to cover data
collection and reporting requirements.

1.1.3 Issue Providers with ACL learner’s diaries to be distributed at their induction.

1.1.4 Regularly review and update our procedures and policies to ensure best practice
and inform Providers of any changes.

1.1.5 Display all current learner, tutor and Provider documentation and guidance on
our website and keep Providers informed of updates.

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1.1.6 The ACL Service will issue Providers with inspection briefings in the autumn
term, 2012.

1.2 All Providers will:

1.2.1 Give all learners an ACL learner diary. At the beginning of their course.

1.2.2 Fully co-operate with inspection requirements, should the ACL Service be
inspected.

1.2.3 Use all ACL tutor and learner documentation unless agreed with the contract
manager. Providers’ documentation must meet the minimum content and
marketing requirements of the ACL paperwork.

2 COLLECTION AND ANALYSIS OF DATA

2.1 All Providers must collect and supply data about learners in order to meet the
data requirements of the Information Authority and the ACL Service. This
includes data about each individual learner as set out in the Specification of the
Individualised Learner Record for 2012/13 as amended and updated and
published on the Information Authority’s website http://www.theia.org.uk/ and in
accordance with the Provider Support Manual.

2.2 Providers must supply the ACL Service with data in accordance with the data
protection act in order to:-

a) Support payments received on profile
b) Enable reconciliation to take place
c) Support the contract management and allocation processes

2.3 Providers must agree with the ACL Service the data transmission method to be
used for the contract and will not change from one method to another unless
agreed in writing by the ACL Service. The ACL Service reserves the right to
require the Providers to move to another form of data transmission if there are
issues with the data received.

2.4 Where the ACL Service is concerned about the quality of the data provided,
including its completeness or accuracy, the ACL Service may require the
Providers to supply data more frequently for such period as the ACL Service
shall require.

2.5 The ACL Service reserves the right to require the Providers, at its own cost,
to carry out such work as the ACL Service deems necessary to improve the
quality of data.

2.6 Providers who have opted to input their own data will provide it in CSV files in a
prescribed format using the template provided by ACL.

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2.7 Data received will be checked by the ACL Service and returned, if necessary, for
correction of errors and violations. This must then be returned within the
specified timescale as agreed with the MIS Officer.

2.8 The CSV files should be returned according to the following schedule:-

DATA RETURN RETURN DATE TO INCLUDE ALL
LEARNERS AND
ACHIEVEMENT
R04 19/11/12 31/10/12

R06 21/1/13 31/12/12

Performance monitoring 14/4/13 30/03/13

R10 16/05/12 30/04/13

R13 23/08/13 31/07/13

R14 25/10/13 31/07/13

2.9 Additional returns of data files may be requested for quality and performance
management purposes.

3 PROGRAMME INFORMATION

3.1 All Providers are required to send in details of planned courses, one month
before the start date of the programme, using the spreadsheet template supplied
by the ACL Service.

3.2 Providers who are using the ACL Service to input data must also complete a
course details form for each programme and return one month before the start
date of the programme. The ACL Service will upload details of the programmes
on to the National Careers Service Course Directory as it is a SFA requirement.

3.3 Those Providers who input their own data and have a SFA contract can upload
ACL programmes with their own bulk upload but should flag these programmes
as Staffordshire County Council ACL funded. Those providers, who do have an
SFA contract, must use the facility to input programme details singly on the
Careers Service portal:-
http://www.coursedirectoryproviderportal.org.uk/

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4 ENROLMENT FORMS
4.1 All enrolment forms must be completed fully and accurately. The ACL Service’s
enrolment forms can be found on the website under Provider Information.
http://www.staffordshire.gov.uk/education/adultcommunity/ProviderInfo/learneren
rolmentform12-13.pdf

4.2 If enrolment forms are sent to ACL and are incomplete, they are returned to the
Provider for completion and return.

4.3 The ACL enrolment form has 2 parts. Part 2 must be completed by those
learners who have not been resident in the country for the last 3 years. In this
case, both parts must be submitted to the ACL Service.
http://www.staffordshire.gov.uk/education/adultcommunity/ProviderInfo/enrolment
form12-13part2.pdf

4.4 Providers who use their own enrolment forms must ensure that they collect all
the information listed on the ACL enrolment forms (part 1 and 2) which can be
found on the ACL website under Provider Information.
http://www.staffordshire.gov.uk/education/adultcommunity/ProviderInfo/learneren
rolmentform12-13.pdf
http://www.staffordshire.gov.uk/education/adultcommunity/ProviderInfo/enrolment
form12-13part2.pdf

4.5 Enrolment forms must be stored in a safe place in accordance with SFA
requirements for a minimum of seven years.

5 REGISTERS

5.1 Registers are confidential documents which must be completed fully and
accurately by the tutor at the beginning of each session and stored safely, in
accordance with the instructions on the register.

5.2 Learners must attend a minimum of 20% of the total guided learning hours in
order to count as a start.

5.3 Providers who use the ACL register are required to record progression data on
the register. Providers who elect not to use the ACL register proforma are still
required to collect and report on progression data to the ACL Service.

5.4 Providers who input their own data and do not have attendance monitoring
systems, must collect and collate attendance data per course, using the ACL pro-
forma. This must be returned on the dates specified in the CSV file schedule.
This will be available shortly.

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6 INDIVIDUAL LEARNING PLANS (ILPs)

6.1 All learners are required to complete an ILP which must be fit for purpose and
Recognising and Recording Progress and Achievement (RARPA) compliant.
Essential features of ILPs include initial assessment, SMART goals/learning
outcomes written in learner friendly language, personal learner goals where
appropriate, progress reviews and summative assessment. Suggested
templates of ILPs can be found on the ACL website.

6.2 Providers are required to evaluate and audit a sample of 3 ILPs per tutor. If a
Provider has less than 10 tutors delivering in one funding stream, a 100% tutor
sample is required. If a Provider has more than 10 and less than 25 tutors
delivering in one funding stream, a 50% tutor sample is acceptable. If a Provider
has more than 25 tutors delivering in one funding stream, a 30% tutor sample is
acceptable. ILPs must be available for evaluation at class visits. Contract
managers may also ask to see a selection of completed ILPs at contract
monitoring meetings.

7 INFORMATION AND ADVICE

7.1 All Providers must ensure that all learners receive appropriate and impartial
information and advice on relevant learning opportunities. The aim is to promote
lifelong learning and to enable learners to make well informed and realistic
decisions about their next steps, once they have completed a learning
programme funded by ACL. This might include further learning, voluntary work,
employment or other opportunities that help the individual to achieve their
personal learning or work goals.

8 PROGRESSION

8.1 All Providers must report on the intended progression of all learners, except
those on PCDL courses.

8.1.2 Providers who use ACL documentation must record this on the register.

8.1.3 Providers who input their own data must supply progression information in
specified fields in the CSV file.

8.2 PROGRESSION SURVEY

8.2.1 Providers must undertake a progression survey as detailed in the Full Service
Specification, using the proforma provided.

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9 LEARNER FEEDBACK

Learner feedback questionnaire
9.1 Providers must give all learners the opportunity to provide feedback to the ACL
Service, using the ACL learner feedback questionnaire, either online or a paper
version. Providers should check that learners understand the statements.

9.1.2 For ALDD learners, alternative arrangements may be made with agreement with
the Contract Manager.

9.1.3 Providers who input their own data must collate and analyse the learner
feedback questionnaire responses and provide summary feedback and learner
comments to ACL in line with the payment schedule. ACL will provide a
spreadsheet to complete, which will calculate the percentage responses.

9.1.4 Providers who do not input their own data must return the completed
questionnaires with the required end of course documentation.

9.2 Learner focus group
9.2.1 The ACL Service will issue guidance and a learner focus group proforma to all
Providers by the end of October 2012. Providers are required to hold at least
one learner focus group, per year per funding stream and return the results to the
ACL Service as detailed in the payment schedule.

9.3 Learner case study
9.3.1 The ACL Service will issue guidance and a pro-forma to Providers by the end of
October 2012.

9.3.2 Providers are required to submit one learner case study per funding stream per
year. Any material submitted may be used for marketing purposes and Providers
must ensure that learners’ consent is obtained for this purpose, if names and/or
photographs are included.

10 CLASS MONITORING VISITS

10.1 The ACL Service may complete at least one class visit per term per funding
stream, depending on the quality risk assessment, to evaluate the learner
experience and the course documentation. The report will be shared with the
tutor and a copy sent to the Provider manager within two weeks of the visit.

10.2 ACL managers will give the Provider notice of their intention to visit a class.
Providers are required to inform the contract manager if the class is not running.
Arrangements for notifying Tutors about possible visits will be the responsibility of
the Provider.

10.3 The findings will be used both to enhance and disseminate existing good practice
and address areas for development.

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11 OBSERVATION OF LEARNING AND TEACHING (OLT)

11.1 Experienced and qualified ACL observers will carry out observations of learning
and teaching for those Providers who do not have in-house observation and
moderation capacity. A report (please see website) will be completed for each
observation. Oral feedback and a provisional grade will be given to the tutor as
soon as possible after the observation has taken place. The provisional grade is
then moderated by senior ACL managers before the final grade is confirmed to
the tutor and the Provider.

11.2 A copy of the completed OLT report and action plan will be sent to the Provider
manager within 2 weeks of the observation. It is the Provider’s responsibility to
ensure that all actions listed are completed. Where tutors are awarded a grade 3
or 4, a detailed action plan will be produced and monitored and a re-observation
will take place, in accordance with the ACL policy.

11.3 These records may be used (anonymously) in further training activities, however
all records and feedback are confidential.

11.4 The ACL observation team will meet at least once a year to standardise grades,
identify areas of good practice and any areas for development.

11.5 Providers can only undertake observations of learning and teaching if their
observation and moderation policy meets the minimum requirements of the ACL
Service’s policy. All records must include strengths, areas for improvement, the
grade awarded and evidence to show that action plans are monitored.

12 JOINT LESSON OBSERVATION (JLO)

12.1 The ACL Service may undertake (with Providers who carry out their own
observations of learning and teaching) at least one Joint Lesson Observation
(JLO) per funding stream by the end of April each year, in order to standardise
the evaluation of learning and teaching and the allocation of grades across all
Providers.

12.2 New Providers will be prioritised for JLOs in the first term.

12.3 During the observed session, both observers will record the observation and
make a judgement regarding the grading of the session. The observers will
then compare evaluations and grades but the Provider observer will give the
final grading to the tutor. ACL staff will complete the Joint Lesson observation
pro-forma (on the website) and send a copy to the Provider. Where there is a
disagreement on the grade awarded, the ACL policy will be applied.

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13 FUNDING STREAM REQUIREMENTS

13.1 Wider Family Learning (WFL)
Wider Family Learning must be targeted at disadvantaged families. A minimum
of 50% of the adults must be below full level 2 qualifications. This could be
waived in exceptional circumstances as agreed in advance with the Contract
Manager. A group profile is to be completed on the scheme of work to describe
the characteristics of the learners.

13.1.1 Providers must record the number of children attending WFL courses on
Supplementary Learner Record A (see below for link) and submit the form to the
ACL Service by the dates listed below.

13.1.2 Providers shall use a skills check tool to identify literacy and numeracy needs
with all learners on programmes of 10 hours or more. Those with
literacy/numeracy needs must be signposted onto appropriate provision to
address those needs.

13.2 Family English, Maths and Language (previously known as FLLN)
It is expected that learners on programmes of at least 30 hours will work towards
a functional skills qualification.

13.2.1 Although there is an expectation that children will participate in the sessions, in
some circumstances, as agreed in advance with the Contract Manager,
programmes can be for adults only.

13.2.2 Providers must record the number of children attending FEML courses on
Supplementary Learner Record A
http://www.theia.org.uk/ilr/ilrdocuments/201213_guidance.htm
and send it to the ACL Service by the following dates:
1. 30th November
2. 31st May
3. 31st August

13.2.3 The ACL Service will by the end of October 2012 issue Providers with a proforma
to record distance travelled by all learners on FEML programmes of 30 hours or
more.

13.3 Formal First Steps
Formal First Steps must be targeted at disadvantaged adults. A minimum of 50%
of the learners must be below level 2 qualifications.

13.3.1 Providers must use the Skills Check Tool with all learners on Formal First Steps
programmes to identify Skills for Life needs. Further details and copies of the
booklets can be obtained from:-
http://www.excellencegateway.org.uk/page.aspx?o=162276

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13.3.2 Results from the skill scans must be collated and returned to the ACL Service as
detailed in the payments schedule.

13.4 Personal and Community Development Learning (PCDL)
13.4.1 Providers must ensure that fee remission evidence is seen and recorded on the
enrolment form.

13.4.2 Subject sector analysis of performance and learning and teaching observation
grades need to be recorded and included in the SAR.

13.5 Adults with learning difficulties and disabilities (ALDD)
13.5.1 We encourage integration of ALDD learners into mainstream provision wherever
possible.

13.5.2 It is recognised there is a need for discrete provision for certain groups of
learners. Providers are expected to identify and meet individual learner support
requirements and use appropriate course documentation to fully meet individual
learner needs.

14 CONTRACT MONITORING MEETINGS

14.1 The ACL Service will hold termly contract monitoring meetings with Providers.

14.2 Each Provider will be allocated a named Contract Manager responsible for
managing the individual contract and providing support and guidance as
required.

The following protocol will apply to the contract monitoring meetings-

14.2.1 The ACL Service will agree with the Provider the date, time and venue of the
meeting, and the documentation that will need to be available.

14.2.2 Within 21 days of the meeting, the ACL Contract Manager will send a completed
report and the action plan to be completed within the specified timescales. (see
proforma on website).

14.2.3 The results of these monitoring meetings will remain confidential to the
Provider, the ACL Service, SFA and Ofsted.

14.2.4 In the event of any unresolved issues, the matter will be discussed further with
the Contract Manager, then if necessary be referred to the ACL Quality and
Performance Manager for further escalation.

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15 RISK RATING

15.1 Following the termly contract monitoring meetings, all Providers will be assigned
a risk rating of red, amber or green in accordance with the Quality Framework.

15.2 If a Provider is identified as delivering poor quality provision, the ACL
Service will introduce appropriate intervention measures according to the Quality
Framework. These measures may include an increase in the frequency and
depth of monitoring and/or the completion of a recovery action plan to address
the areas of underperformance. If the quality of the provision does not improve
after intervention, the contract and funding may be withdrawn.

16 MODERATION OF EVIDENCE
16.1 Learning and Teaching Sharing Good Practice meetings will take place in
December 2012 and June 2013. Attendance will be required by tutors in
December and by managers in June. The purpose of the meetings is to:-
a) Share good practice and learning and teaching strategies
b) Standardise OLT Grades across all delivery
c) Moderate ILPs against the 5 RARPA stages
d) Identify key messages and actions required from above

17 THE SELF ASSESSMENT PROCESS (SAR)

17.1 The ACL Service carries out a rigorous self-assessment process involving all
Providers. Self-assessment is based on evidence from data analysis
benchmarked against targets, self-assessment reports, learning and teaching
grade profiles, OLT reports and action plans, learner feedback and contract
monitoring reports and action plans.

17.2 All Providers are required to produce an annual SAR and Quality Improvement
and Development Plan (QIDP) and forward it to the ACL as detailed in the
payment schedule. The Self Assessment Report and QIDP pro-forma will be
available on the ACL website in due course.

17.3 Contract Managers will review SARs and give feedback as appropriate, prior to
the validation panel meeting in October 2013.

17.4 Any further re-submission of the SAR and QIDP, following recommendations of
the panel, must be completed within an agreed timescale.

17.5 Providers are required to report on completed actions from the Quality
Improvement Development Plan (QIDP) during contract monitoring meetings.

17.6 An ACL SAR and QIDP will be produced by 31st December each year and will be
validated externally by peer review.

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18 MARKETING AND PUBLICITY MATERIAL
18.1 All Providers are required to acknowledge the County Council within their
promotional materials by including the County Council logo. Marketing
guidelines and a CD Rom will be issued to all Providers. Further advice and
information can be obtained from the County Council communications and
marketing team.

19 PROVIDER FEEDBACK
19.1 The ACL Service welcomes constructive feedback from all Providers. The
feedback proforma is on the website for Providers to complete and email to the
Quality and Performance Manager by 30th June 2013.

20 TUTOR RECORDS
20.1 Providers must start collecting and collating anonymised tutor performance data
as stipulated in the Common Inspection Framework (June 2012). A pro-forma
will be issued to Providers for this purpose in the first term.

21 LEARNERS’ WORK
21.1 Providers are requested to retain a sample of learners’ course work for
evaluation during inspection and observations of learning and teaching.

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