Personal Learning Record (PLR) Implementation Planning for Awarding Organisations

1. Personal Learning Record (PLR) Implementation Planning for Awarding Organisations

2. Introduction • The Personal Learning Record (PLR) has been developed to provide valuable evidence for the learner when they are seeking career advice, applying to study or looking for employment. The PLR will be available for anyone aged 16 and over to enable them to log-in to a secure website to view their own PLR providing they have a Unique Learner Number (ULN). The record will display the Qualifications and Credit Framework (QCF) units and qualifications that the learner has achieved. A key aim of the PLR is to improve the flow of information about learners from schools to other education providers and ultimately employers, leading to more effective data sharing and better decision making. If staff do not have an understanding of the implications of the PLR please see below for the support available What actions can you take? • You can assist staff by accessing the available information and provide briefings • Hold awareness sessions for staff • Include the PLR implementation in relevant staff bulletins What support is available? • You can access the Learning Records Service websiteand access information regarding the PLR • Overview and information on how the PLR will operate

3. Process Fair processing (data sharing) Registration / entry for QCF units or qualifications Data validation Rules of Combination (ROC) Credit check query Credit Transfer Data Submission Making amendments to data Challenge Data management

4. PROCESS Guidance and support

5. Fair processing (data sharing) • The fair processing notice (FPN) will inform what course of action the learner should take if they want to share their PLR or restrict access. If the awarding organisation has a relationship with the learner, it will be the awarding organisations responsibility to ensure that the learner is shown the FPN. However, if the awarding organisation does not have a relationship with the learner it is important to ensure that the learning providers can show a fair processing notice to their learners. What actions can you take? If you do not have these processes in place please see below for the support available What support is available? • Guidance including how to identify where learners have not signed the FPN/Privacy Notice which incorporates the QCF PLR functionality and data sharing requirements, and what action to take in each scenario (guidance to include capture of email address and FPN/Privacy Notice) • New FPN/Privacy Notice wording guidance template – to be used alongside current enrolment form if the Learning Provider has already produced current enrolment forms or incorporated into the existing/new enrolment form if not Learner Records Service FPN/Privacy Notice (plus updates via other already existing routes e.g. LSIS policy updates; FE & Skills Newsletter; Countdown newsletters) • If you have a direct relationship with the learner you can ensure that you:- • Review current FPN/Privacy Notice and update if needed • If learner has enrolled and signed FPN/Privacy Notice for PLR (Learner Records Service), ask learner to sign revised FPN/Privacy Notice at registration/induction • If learner has enrolled but not signed FPN/Privacy Notice ask learner to sign revised FPN/Privacy Notice at registration/induction • If the learner has registered and signed the old FPN/Privacy Notice, ask learner to sign revised FPN/Privacy Notice – (captured by Exams Team) • Update (Learner Records Service) Learner Register • If you do not have a direct relationship with the Learner you can ensure that the providers are supported by carrying out these actions.

6. Data Validation • At some point in the learner’s study, the learning provider will register/enter the learner with an awarding organisation for QCF units and/or qualifications. At this point it is good practice for the awarding organisation to validate the Unique Learner Number (ULN) to ensure that the details are correct before setting the learner up on the awarding organisation’s internal systems for administration, processing and awarding of results. This process will include checking the learner details including; last name, given name, date of birth, gender and an optional field for the post code. Once these checks are undertaken the ULN will be validated by the Learner Record Service / PLR service. What actions can you take? • Incorporate a ULN check when the learner is registered with the awarding organisation • Validate the ULN by accessing the Learner Registration Service using the five field match (Given name, Family name, Gender, Date of birth, Postcode) • If the ULN has not been accepted check the anomalies with the learning provider • Set in place processes to revalidate the data once the provider has amended the ULN details. • You may need to review/ refine existing processes to ensure that ULN validation is carried out at registration and when uploading results. If you do not have these processes in place please see below for the support available What support is available? • Guidance note to cover checking creating / checking ULNs to access the PLR ULN Learner Records Service Toolkit • Learner Records Service guidance for Learner Registration Body (LRB) • Learner Records Service materials • Learner Records Service website

7. An awarding organisation in collaboration with their Sector Skills Council (SSC) can design new units and qualifications using units from a regulators data bank. In all instances these qualifications and units will need to be approved by the SSC and accredited by Ofqual. The awarding organisation can undertake Rules of Combination (RoC) checks to ensure that the learner is not missing the opportunity to transfer credit for the units that make up a qualification. These checks may be to confirm the quality of the data submitted by learning providers or may be in response to an enquiry. Rules of Combination What actions can you take? • Check that you have procedures in place to undertake a rules of combination check • Ensure that the rules of combination of has been defined and supports learner progression. • Ensure that staff have access to Learner Records Service and are able to navigate the system to undertake the query If you do not have these processes in place please see below for the support available What support is available? • Further support is available from the Ofqual website • QCF regulatory arrangement (August 2008) details the processes that need to be in place • Learner Records Service guidance for LRBs • Learner Records Service resources • Learner Records Service website • Learner Records Service glossary

8. The PLR will give all awarding organisations the option to discover where a learner may have achieved credit for a specified unit in the QCF to make an award. The credit check function will allow the awarding organisation to create a query which has a ULN and a unique identifier for that award. The PLR will check these details against the learner’s achievement; the functionality will not return the whole record but only the specific units that have been enquired about. Credit check query If you do not have these processes in place please see below for the support available What actions can you take? • Ensure that you have processes in place to undertake a credit check query • Ensure that staff are aware how the process will work • If necessary, design new processes or adapt existing processes • Ensure that staff have access to Learner Records Service and are able to navigate the system to undertake the credit check query • Provide training to those staff that are carrying out this function. What support is available? • Learner Records Service ULN Information • Learner Records Service guidance for LRBs • Learner Records Service resources • Learner Records Service website • Learner Records Service glossary

9. As part of a claim for a QCF achievement, credit may be transferred within one awarding organisation or between two (or more) awarding organisation’s. This process is known as credit transfer. Credit transfer If you do not have these processes in place please see below for the support available • What actions can you take? • Ensure that you have processes in place to undertake credit a check query • Ensure that staff are aware how the process will work • If necessary design new processes or adapt existing processes • Ensure that staff have access to Learner Records Service and are able to navigate the system to undertake a credit transfer. • Provide training to those staff that are carrying out this function. What support is available? • Learner Records Service ULN Information • Learner Records Service guidance for LRBs • Learner Records Service resources • Learner Records Service website • Learner Records Service glossary

10. Data submission Awarding organisation’s will need to upload units and qualification results data to populate the PLR within 10 days of the learner being awarded the unit or qualification. If you do not have these processes in place please see below for the support available • What actions can you take? • Review current processes for uploading data • Ensure that timelines and deadlines form part of the process to upload data • If necessary include the data validation process prior to submitting the data • Adapt processes if necessary • Train staff that will be responsible for uploading the data. What support is available? • Learner Records Service ULN Information • Learner Records Service guidance for LRBs • Learner Records Service resources • Learner Records Service website • Learner Records Service glossary

11. Making amendments to data Awarding organisation’s will have the ability to view, amend or withdraw learner achievement data that has previously been submitted (e.g. the data may have been keyed in error or the grade may have changed) If you do not have these processes in place please see below for the support available • What actions can you take? • Review current processes for amending and changing data • If process does not incorporate clear guidance on controls and system to manage the change - adapt process • Ensure that process includes audit system to capture the changes that have been made and by whom. • Train staff that will be responsible for amending data in process What support is available? • Learner Records Service ULN Information • Learner Records Service guidance for LRBs • Learner Records Service resources • Learner Records Service website • Learner Records Service glossary

12. Challenge The PLR shares QCF achievement data with the learner that has achieved unit(s) or qualification(s). Learners may disagree with the QCF achievement data that is recorded against their ULN; the PLR will therefore provide service desk functionality that will enable learning providers to raise concerns regarding the QCF achievement data on behalf of the learner. It is envisaged that there will be two types of queries that may be raised in relation to a QCF Learner’s achievement data: - The learner may disagree with the grade that has been awarded (or not awarded) for a particular QCF unit or qualification - The learner may challenge the data e.g. the grade recorded is different from the grade recorded on the certificate If you do not have these processes in place please see below for the support available • What actions can you take? • Develop and introduce a new process for validating challenges and ensure it includes invoking the data challenge process • Embed process in the organisation and train staff • Review learner provider feedback processes • What support is available? • Information about the Rules of Combination (RoC) and Routes to Achievement (RtA) processes • Learner Records Service data management • Learner Records Service learner enquiries, complaints and appeals • Learner Records Service Data Challenge Tool

13. Data Management Achievement data is created and maintained by the awarding organisation. Awarding organisation are responsible for maintaining their data on their own systems, ensuring that the data is fit for purpose, accurate and kept up to date with any amendments. If you do not have these processes in place please see below for the support available What actions can you take? Ensure that the key principles of data management are in place within the organisation • Principle 1 - Data is an Asset Data is a core business asset that has value and should be managed accordingly. • Principle 2 -Data is Shared Users have access to the data necessary to perform their duties; therefore data is shared across enterprise functions and departments. • Principle 3 - Data is Accessible Data is accessible for users to perform their functions. • Principle 4 -Data Quality is Fit for Purpose Data quality is acceptable and meets the business need for which it is intended. • Principle 5 - Data is Compliant with Law and Regulations Information management processes comply with all relevant laws, policies, and regulations. • Principle 6 -Data is Secure Data is trustworthy and is safeguarded from unauthorised access, whether malicious, fraudulent or erroneous What support is available? • Learner Records Service website provides information on data management • Data security handling framework • Information commissioner’s office website provides guidance

14. SYSTEMS Guidance and support

15. Systems Awarding Organisation’s will need to have arrangements in place to receive data from learning providers to upload data to record achievement results and make amendments when required. If you do not have these processes in place please see below for the support available • What actions can you take? • Ensure that systems are fit for purpose • Agree method to be used to upload the data (API system to system, batch file update, web form) • Access Learner Records Service to review the technical solution if changes are required to the system • Ensure that the processes and systems are aligned • If process are unclear or requires changes - adapt process • Train relevant staff on receiving and uploading data What support is available? • Learner Records Service ULN Information • Learner Records Service guidance for LRBs • Learner Records Service resources • Learner Records Service website • Learner Records Service glossary

16. PEOPLE and ORGANISATION Guidance and support

17. People and Organisation Operational resourcing, skills, knowledge and competencies Awarding Organisation’s should ensure that relevant staff are ready to implement the changes involved with the PLR. This will include having staff with the right skills, knowledge and competencies to implement and sustain the changes. The implementation of the PLR could potentially require new skills and capacity in the following process areas: - Validating the ULN - Manage data in relation to accuracy and timeliness - Exam entry and administration processes (including ULN capture and validation) - Transfer of credit between awarding organisations - Awarding units and qualifications - including uploading data to the PLR accurately within the required timeframe - Handling data challenges (including updating the PLR) If you do not have these processes in place or scored high in the impact assessment please see below for the support available • What actions can you take? • Undertake a review of existing job roles within the organisation with a view to adapt / update job descriptions. • Create new roles if required ensuring that the additional functions have been included • What support is available? • Personal Learning Record Resource RACI Tool/Techniqueto assist developing the job role in terms of accountability and responsibility.

18. People and Organisation Project resourcing, skills, knowledge and competencies • Project resourcing, skills, knowledge and competencies - awarding organisation’s should ensure that they can effectively manage the changes involved in being able to interface with the PLR. This will include having the right project management resources in place to implement and sustain the change. The implementation of the PLR could potentially require additional resources, skills and capacity in the following areas: • Project management • Risk management • Business case development If you do not have these processes in place please see below for the support available • What actions can you take? • Undertake a review of existing job roles within the organisation with a view to adapt/update job descriptions. • Create new roles if required ensuring that the additional functions have been included • What support is available? • Personal Learning Record Resource RACI Tool/Technique to assist developing the job role in terms of accountability and responsibility • Change Champion Roles and Responsibilities

19. COMMUNICATION Guidance and support

20. Communication Awarding organisation’s should ensure that they are ready for the changes involved in interfacing with the PLR and have effective communication channels in place within the organisation. What actions can you take? Ensure you have: If you do not have these processes in place please see below for the support available • What support is available? • Communication plan template • Communications tool • Change Champion Roles and Responsibilities • A Communication strategy in place • Communications that are accurate and timely • Stakeholder management processes in place • Established processes to disseminate and receive information

21. VISION and STRATEGY Guidance and support

22. Vision and Strategy Awarding Organisation’s should ensure they are ready for the changes involved in interfacing with the PLR and have set in place effective communication channels. The following questions have been designed to support and understand if the awarding organisation has a clear understanding of how the PLR will support their business vision and strategy. What actions can you take? Ensure you have: If you do not have these processes in place please see below for the support available What support is available? • Business Case Guidance • Implementation plan • Communication plan template • A clear vision. objectives and goals • Management commitment - time, effort, or money • Appropriate resources - people, capital, technology • A clear defined plan • A clear communication plan • Employee commitment and engagement • A clear understanding of what needs to change • Understanding of the results of the change