Quality Handbook Section 10E - Apprenticeships requirements

2.1 Executive oversight and determination of strategic direction of apprenticeships at the University rests with the University Executive Team (UET), in conjunction with the Apprenticeship Portfolio Sub-committee.

2.2 The University offers varied modes of apprenticeship delivery as follows:

a. Lead provider: the University designs and approves courses in specific occupational subject areas which are mapped to relevant Apprenticeship Standards and are advertised openly for engagement with apprentices and employers.

b. Employer-provider: the University designs and approves courses in specific occupational subject areas which are mapped to relevant Apprenticeship Standards and delivered to its own staff.

c. Sub-contracting: The University acts as the lead training provider and sub-contracts some of the training to a partner institution or other employer-provider for delivery. In such cases, the arrangements need to meet the DfE sub-contracting guidelines where an apprentice is funded. The University also publishes a set of sub-contracting requirements (see Quality Handbook Supplement AP2).

d. The University acts as a sub-contractor to another lead training provider for parts of the training. In such cases, the arrangements need to meet the DfE sub-contracting guidelines where an apprentice is funded.

2.3 Some occupations require the training provider to be approved by a regulatory body before being able to deliver training for the apprenticeship. Where this is the case, delivery must not start until the University and/or course is approved by the required regulatory body.

2.4 As the lead training provider, the University is responsible for oversight of the whole of the apprenticeship, including oversight of learning undertaken within the workplace as well as on-campus learning and teaching activities and any sub-contracted delivery.

2.5 Employers and apprentices provide the University with appropriate data and information to enable completion of the Individualised Learner Record (ILR) and to meet DfE funding rules.

2.6 The academic governance of apprenticeships aligns with standard University processes as defined in QH Section 1: Academic Quality Governance.

Further information

Sub-contracting arrangements operate as collaborative arrangements and are subject to the requirements set out in Quality Handbook Section 10 and Quality Handbook Section 10B.

University requirements relating to apprenticeship sub-contracting are set out in Quality Handbook Supplement AP2: Apprenticeships sub-contracting requirements.

3.1 The processes for recruitment and entry for apprenticeships are different from standard student recruitment and admission.

3.2 The University sets out the minimum entry criteria requirements for the apprenticeship taking account of those specified within the relevant Apprenticeship Standard.

3.3 Apprentices are employees, and therefore are recruited by the employer.  Apprentices may be new employees, or existing employees. Where apprentices are new employees, the employer’s recruitment and selection processes apply, which in some cases may involve the University taking part in these processes.  Alternatively, dual admission processes may be undertaken separately but concurrently.

3.4 The specific arrangements for recruitment and selection for the apprenticeship are set out in the course documentation; how this works in practice is agreed with each employer in advance.

3.5 During recruitment and selection, employers must be offered the option to use the government’s free Recruit an Apprentice Service. The NTU apprenticeships team are responsible for undertaking this activity with employers.

3.6 There are a number of eligibility criteria that all apprentices must meet in order for the University to access funding. The eligibility criteria are mandated by the DfE for all apprenticeships in the apprenticeship funding rules.

3.7 All apprentices must complete an online application using the University Admission System (UAS) in order to be assessed against the NTU and DfE eligibility criteria.

3.8 All offers of a place on an apprenticeship are conditional subject to receipt of a signed Employer Agreement and Training Plan. The training plan is produced for every apprentice and is duly signed by the University nominee, apprentice and employer, setting out how they will support the successful achievement of the apprenticeship.

3.9 As a minimum, the training plan must set out the Apprenticeship Standard being followed, planned content, a schedule of learning / training and details of the end point assessment.

3.10 Applicants are required to evidence a minimum of Level 2 English and mathematics at the point of application.

3.11 Unless there is an exception, the English and maths requirements are optional for apprentices who are aged 19+ at the start of their apprenticeship training. This DfE policy change supersedes the wording in the occupational standards and EPA plans of individual apprenticeships published prior to this change.

3.12 For some NTU apprenticeship programmes, attainment of Level 2 English and mathematics is a requirement for the job role. Therefore, where apprentices have not achieved these on entry, or cannot provide evidence, they may be taken alongside the apprenticeship, or the apprentice may be supported by the employer to further achieve this and commence the apprenticeship at a later agreed date. For these apprenticeships, Level 2 English and mathematics must be achieved and evidenced in order for the apprentice to be registered for End Point Assessment.

3.13 In line with the DfE funding rules, all applicants must complete an Initial Needs Analysis (INA) in order for the University to carry out a thorough assessment of their prior learning and experience. The INA is a mandatory part of the University’s obligations under the funding rules and must be completed prior to contracting with an employer. The INA must assess the apprentice’s existing education, experience and qualifications and show how this has impacted on the cost of training. Following the INA, the University’s existing arrangements for recognition of prior learning, as set out in Quality Handbook Section 15, should be applied where appropriate.

3.14 An apprentice must work enough hours each week so that they can undertake sufficient, appropriate, regular training and on-the-job activity. The minimum duration of each apprenticeship is based on the apprentice working 30 hours a week or more, including any off-the-job training they undertake. If the apprentice works fewer than 30 hours a week, the minimum duration (pro rata) must be extended to take account of this. This will also apply to any temporary period of part-time working.

3.15 The final decision on admission to an apprenticeship involving a HE qualification rests with the University.

3.16 The Individualised Learner Record (ILR) is the method used by the Further Education and Skills Sector in England to collect data about learners in the sector.  The data is used for monitoring funding allocations.

3.17 The training plan is an essential component of the agreement between the University, employer and the apprentice, as directed within the DfE rules.

4.1 Apprenticeship course design should align with the University’s principles for apprenticeship course design as set out below:

• Apprenticeship courses are flexibly designed to meet the business needs of employers;
• Apprenticeship courses offer a personalised work-based curriculum for all learners;
• Employers are included in the delivery of apprenticeship courses.

4.2 Course design should adhere to the general guidelines for award frameworks set out in Quality Handbook Section 3 and Section 4, and additionally to QH Supplement AP1 to ensure the credit equivalence of the award offered as part of a degree apprenticeship. This is a requirement of course approval.

4.3 Apprenticeship courses at all levels should align to the requirements set out in Ofsted’s Education Inspection Framework, and specifically the Further Education and Skills Inspection Handbook.

4.4 When designing curriculum, course teams should pay particular attention to the themes within the Further Education and Skills Inspection Handbook that relate to Quality of Education, Personal Development, and Behaviours and Attitudes, ensuring that there is a contextualised approach to embedding these themes across the course that is appropriate to the level of study and situated within the context of learner’s place of work.

4.5 Course design ensures alignment to the relevant Apprenticeship Standard and the associated Assessment Plan in order to allow apprentices to demonstrate the required knowledge, skills and behaviours for the apprenticeship and to allow them to achieve both the underlying qualification and the apprenticeship itself. This will involve mapping of the learning outcomes to the skills, knowledge and behaviours specified in the Apprenticeship Standard, which may take place at course or module level as appropriate. This mapping is in addition to standard curriculum mapping.

4.6 Apprenticeship courses include significant proportions of work-based learning and this should be reflected in the approach to learning, teaching and assessment across the course. Courses should be designed with a minimum amount of credits delivered through work-based learning as detailed in QHS AP1: Apprenticeships Work-Based Learning Guidance. The minimum credit requirements are specified to articulate the notional hours of learning that are derived from the workplace and to ensure the credit equivalence of the courses and modules the University offers.

4.7 All modules on apprenticeship courses are normally worth 20 credits, but exceptionally may be more or less where it is necessary to meet specific requirements set out in the relevant apprenticeship standard, e.g. when including a capstone module in an integrated degree apprenticeship.

4.8 Modules on apprenticeship courses at Levels 4-7 should not normally be longer than 12 weeks duration. By exception modules may be delivered over an alternative duration where there is a clear rationale or where it is necessary to meet specific requirements set out in the relevant apprenticeship standard. This is to allow apprentices greater flexibility when re-joining from a break in learning, and to allow courses to be designed with multiple entry points and roll-on, roll-off design features where possible.

4.9 To allow for flexibility in delivery, apprenticeship courses should not normally include any pre, post or co-requisite modules.

4.10 The minimum duration for apprenticeship training is 12 months. The Apprenticeship Standard indicates the suggested duration for a specific apprenticeship. Flexibility is required when planning the academic cycle of the HE apprenticeship course to meet the requirements of employers. This may require multiple start dates.

4.11 Apprenticeship courses must be designed to be delivered over a 52-week calendar year rather than the shorter academic year. Delivery does not necessarily require face-to-face teaching to take place throughout the calendar year; however during periods where the apprentice is not attending the University, structured off-the-job training activities must be planned to support continued engagement and progress towards the knowledge, skills and behaviours.

4.12 The design should factor in time for referrals following examination board meetings wherever these fall in the year, providing apprentices with comparable opportunities to standard course arrangements to satisfy requirements and progress with their peers. Examination Boards may permit students to trail several credits as set out in QH Section 16A and QH Section 16B, but the likely requirement for this should be minimised at the design stage.

4.13 Each course is designed with a range of potential methods of delivery. For each cohort of students, the course team and the employer(s) decide upon the delivery method, from the approved range, in advance of students enrolling on the course.

4.14 Apprentices must evidence learning throughout the apprenticeship reflecting their experiences, and progress towards the skills, knowledge and behaviours set out in the Apprenticeship Standard.

4.15 Progress towards the knowledge, skills and behaviours set out in the relevant Apprenticeship Standard should be evidenced using the ePortfolio, unless external requirements restrict this (e.g. EPAO or PSRB requirements).

4.16 Courses may need to be customised to meet employer specifications through optional modules. The offer of options will be particularly relevant in open courses where apprentices are attending from a number of employers.

4.17 Apprenticeships must include a minimum amount of off-the-job training, which may take the form of traditional face-to-face or online learning. The minimum amount of off-the-job training for the apprenticeship standard is published by the DfE as an annex to the funding rules.

4.18 Off-the-job learning is undertaken outside the normal day-to-day working environment. This can include training that is delivered at the apprentice’s normal place of work but must not be delivered as part of their normal working duties.

4.19 Off-the-job learning must take place within the apprentice’s contracted working hours. If training must, by exception, take place outside of the apprentice’s working hours, e.g. in the evening or at a weekend, this should be recognised. For example, through time off in lieu or by an additional payment to the apprentice.

4.20 The remaining learning is on-the-job and is undertaken in the workplace. It is essential that an apprentice’s workplace provides an appropriate source of learning, and the University is responsible for ensuring that this is the case.

4.21 The number of planned off-the-job training hours, for the full apprenticeship, must be documented on the individualised learner record and the University is required to hold a record of and return the completed number of off-the-job hours at the end of the apprenticeship, including where an apprentice has exited their apprenticeship early.

Further information

Additional information about the requirements of off-the-job training can be found in the DfE funding rules and off-the-job training guidance.

5.1 Each apprentice is allocated an academic mentor (the University workplace tutor) appointed by the University and a workplace mentor appointed by the employer.  These mentors support the progress and achievement of the apprentice and support identification of appropriate workplace activity to facilitate work-integrated learning opportunities.

5.2 Where the University is acting in its capacity as an employer-provider, the University will be required to provide both an academic mentor (the University workplace tutor), and the employer mentor. In this arrangement all other points in paras. 5.3 – 5.6 of this policy will apply unless where explicitly stated.

5.3 Progress review meetings (involving the apprentice, employer and NTU representative) are an integral part of the overall apprenticeship learning journey. Progress review meetings are also an opportunity to enhance the employer and apprentice experience, increase timely completions and support the University’s regulatory compliance. Progress review meetings should thus be a fully integrated part of course design and delivery.

The following minimum contact arrangements apply:

1. Progress Review meetings should take place at regular intervals and at least every 12 weeks. This is a requirement of government funding, and is auditable by the DfE. The University must hold accurate and up-to-date records.
2. In most cases, progress review meetings take place online to enable flexibility. In some cases, it may be appropriate for review meetings to take place in person at the apprentice’s place of work. The decision to conduct meetings online or in-person rests with the School and should be planned and communicated to apprentices and their employers in advance.
3. Progress review meetings should be carefully timed in order to support progression;
4. A record of each progress review is produced by the NTU workplace tutor (or equivalent), and must be signed by all parties following each meeting. Meeting records are uploaded/stored in the apprentice’s ePortfolio.

5.4 Progress reviews should:

1. Check progress against any actions agreed at the previous review, including any training that has been delivered since the last review;
2. Allow for any off-the-job training evidence, particularly that which is outside of your control, to be discussed, agreed, collected, or documented;
3. Check overall progress of the apprentice against their agreed training plan, documenting any slippage against the volume of planned off-the-job training;
4. Provide for an opportunity to update the training plan (e.g. where it is necessary to replan any off-the-job training that was missed or not delivered);
5. Discuss any concerns that you, the employer or the apprentice have;
6. Discuss any new information / potential changes of circumstance that might impact on the training plan. This could include any additional training required, or any additional prior learning or learning support needs that have come to light since the original initial assessment and / or the last progress review. Changes to the training plan may require the price to be renegotiated; and
7. Agree and document actions for the next review. The record of the progress review must be signed and dated by all parties (apprentice, employer, main provider).
8. Be attended by the three parties concerned with the apprenticeship, i.e. the apprentice, a representative from the university and a representative from the employer.

5.5 The progress review meetings should be used to ensure that each apprentice’s individual learning plan is up-to-date and that work-based activities are planned and coordinated alongside the off-the-job training delivered by the University.

5.6 The University delivers training to employer mentors at the outset of each course or cohort. This training is an integral part of the employer / academic relationship, setting out expectations of the mentor role and supporting with integrating off-the-job and on-the-job learning opportunities. Mentor training should be delivered in partnership between the University apprenticeship team and the relevant academic course teams.

6.1 Apprenticeship Standards require an independently assessed, synoptic end point assessment, the details of which are set out in the relevant Apprenticeship Standard’s Assessment Plan. Successful completion of the end point assessment leads to the awarding of the apprenticeship.

6.2 The end point assessment may be undertaken in two ways:

• Non-integrated. Non-integrated end point assessments are conducted by a separate, independent End Point Assessment Organisation (EPAO), contracted by the University, and selected by the employer. The end point assessor cannot be the University.
• Integrated. The University conducts the end point assessment as an integrated aspect of the degree. For this purpose, the University has to be listed on the Apprenticeship Provider and Assessment Register for that Standard. For further information on the requirements for integrated end point assessment, including the appointment of assessors, please refer to Quality Handbook Supplements AP3, AP4 and AP5.

6.3 The end point assessment takes place after the ‘practical period’ of delivery and tests that apprentices can fully demonstrate the knowledge, skills and behaviours specified in the Apprenticeship Standard. It normally includes at least two forms of assessment, which are specified in the Assessment Plan for the Apprenticeship Standard.

6.4 Before taking their end point assessment, all apprentices have to meet the Gateway requirements. These are requirements set out in the Assessment Plan that must be met by the apprentice before undertaking end point assessment of the Apprenticeship Standard. They will include the completion of a number of requirements that are stipulated within the relevant Apprenticeship Standard. The employer and the University must both ‘sign–off’ the successful completion of the Gateway requirements prior to apprentices being entered for EPA.

6.5 For non-integrated degree apprenticeships the following apply:

1. An apprentice must have passed their degree or other higher education award in order to be put forward for the end point assessment. This is determined by the University.
2. Successful completion of the degree or other higher education award does not constitute completion of the apprenticeship. The apprenticeship is not achieved until both the degree and the end point assessment have been achieved.
3. In certain Apprenticeship Standards, the end point assessment is undertaken after the degree or other higher education award has been awarded.

6.6 The University is responsible for providing continued support to the apprentice until the end point assessment has been successfully completed. In the case of non-integrated apprenticeships, this includes structured learning and teaching activities after completion of the degree award and in the lead up to the end point assessment.

6.7 For integrated apprenticeships, successful completion of the degree also normally constitutes successful completion of the apprenticeship. In such cases, the final capstone module of the degree may constitute the end point assessment. Where this is the case, the assessment of the capstone module will need to meet the requirements of the apprenticeship Assessment Plan.

6.8 For all HE apprenticeships, the alignment of the course assessment strategy with the apprenticeship Assessment Plan is essential. The course assessment strategy should include a range of both formative and summative assessments which support both achievement of the course/module learning outcomes and prepare apprentices for end point assessment.

6.9 The ‘practical period’ is defined by the DfE as ‘the period for which an apprentice is expected to work and receive training under an approved English apprenticeship agreement. The practical period does not include the end point assessment. The practical period is used to calculate the minimum amount of off-the-job hours for each apprentice. All off-the-job training should be conducted during the practical period.

6.10 Standard common assessment regulations apply to on-programme assessment as referenced in QH Section 16, Section 16A, Section 16B and Section 16C. Assessment regulations for end point assessment are detailed in the Assessment Plan. Where assessment regulations for end point assessment of an integrated apprenticeship are not detailed in the assessment plan, the regulations set out in Quality Handbook Supplement AP3 will apply.

Further information

Common assessment principles are referred to in QH Section 15.

7.1 Quality monitoring and review processes take account of the nature, structure and milestones associated with HE apprenticeships and they also take account of the substantial contribution of employers to apprenticeships, and the additional regulatory requirements of the DfE and Ofsted.

7.2 On behalf of the University, the Apprenticeships Team compile an annual Self-Assessment Report (SAR) about the quality of the University’s Apprenticeship portfolio. The SAR is aligned directly to the criteria in the Ofsted Further Education and Skills Inspection handbook.

7.3 All Schools delivering apprenticeship provision are required to compile and update a School-level Position Statement. The purpose of the School-level Position Statement is to assess the quality of the School apprenticeship portfolio against the criteria in the Further Education and Skills Inspection handbook, and additionally to support the creation of the University’s overarching SAR.

7.4 Annual apprenticeship course monitoring and evaluation must follow the policy outlined in Section 6, however the timing of the review may take place outside the standard academic year cycle if this is more appropriate to the structure of the course.

7.5 Irrespective of the timing or format of course monitoring, the review of an apprenticeship course should take account of all aspects of the apprenticeship and not solely the main substantive qualification (e.g. the degree). For example, as a minimum this should include: performance against apprenticeship KPIs; the effectiveness of progress reviews; the views of apprentices as a separate student body; and employer feedback.

7.6 The quality monitoring and review of an apprenticeship course should benchmark against the requirements set out by Ofsted within the Further Education and Skills Inspection Handbook, and the DfE Apprenticeship Provider Accountability Framework.

7.7 All Schools delivering apprenticeship provision should convene a sub-committee of the School Academic Standards and Quality Committee, to monitor the quality and standards of their apprenticeship programmes.

7.8 Apprentices regularly complete course and module evaluations delivered through the University’s standard platform. The questionnaires for the evaluations are bespoke to Apprenticeships. Apprentice evaluation contributes to interim and course review, and the SAR.

7.9 Where an apprenticeship is delivered using a sub-contractor, these arrangements are overseen by the Apprenticeships Portfolio Sub-Committee (ApSC) on behalf of the Academic Standards and Quality Committee.

7.10 All employers and apprentices are able to provide feedback about their training provider. This feedback appears on the Find an Apprenticeship Training Provider area of the government website.

7.11 The Apprenticeships team operates an annual survey of employers and apprentices. The results of this survey should be utilised for annual monitoring and review purposes.

7.12 All apprenticeship courses are included in the Department for Education National Achievement Rates Tables. These tables detail the qualification achievement rates nationally. Course monitoring and review should take into account these measures for benchmarking purposes.

7.13 The University’s normal external examining arrangements apply for the degree aspect of HE apprenticeships. In the nomination of external examiners, course teams are required to consider both academic and practice-based experience.

7.14 For integrated apprenticeships, the external examiner will be involved in the oversight of the end point assessment where the end point assessment also forms part of the degree. In these cases, the specific requirements for external examining are set out in the apprenticeship Assessment Plan and must be adhered to in the assessment process.

7.15 For non-integrated apprenticeships, the external examiner will not play a direct role in the end point assessment process. They will, however, be involved in the awarding of the degree.