Setting

T R A I N I N G S T A N D A R D S C O U N C I L

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I N S P E C T I O N R E P O R T J U N E 2 0 0 0

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University of Durham I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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The University of Durham provides good quality training for modern apprentices in business administration. The programme is well resourced with learning aids, equipment and staff. Apprentices undertake a wide range of qualifications in addition to the NVQ which develop their skills and improve their career prospects. However, assessment of key skills takes place too late for some apprentices. There is a high level of support for apprentices. Each apprentice has a workplace mentor to provide help and guidance. Apprentices are given effective guidance at the end of their programme. The results of initial assessment are not always reflected in individual training plans. Equality of opportunity is ensured through the staff recruitment and selection procedures. The programme is well managed and quality assurance arrangements are satisfactory, although new.

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OCCUPATIONAL AREAS GRADE GENERIC AREAS GRADE Business administration 2 Equal opportunities 2 Trainee support 2 Management of training 2 Quality assurance 3

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KEY STRENGTHS ♦ good resources ♦ effective links between on- and off-the-job training ♦ good range of qualifications to complement the NVQ ♦ good arrangements to ensure fair selection and recruitment ♦ high level of individual support ♦ good guidance on opportunities for progression ♦ effective management of staff performance ♦ excellent internal communications ♦ rigorous self-assessment process

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KEY WEAKNESSES ♦ no ongoing assessment of key skills ♦ poor use of initial assessment results in development of training plans ♦ inadequate subcontracting arrangements ♦ lack of an established quality assurance system I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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 Training Standards Council INTRODUCTION

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1. The University of Durham (the University) is a traditional institution of higher education. It is the third largest employer in County Durham, with approximately 2,800 members of staff and an annual turnover of £110m. The University is governed by a council, and by a senate for academic matters.

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2. The University began providing modern apprenticeships in May 1997 under a direct contract with County Durham Training and Enterprise Council (TEC). In the autumn of 1998, the TEC withdrew its direct contracting arrangements. The University then engaged in a training provider contract with the TEC to train modern apprentices in January 1999.

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3. The University has apprentices in three of the occupational sectors in Raising the Standard : construction, business administration and hospitality. There are 22 apprentices and five members of staff directly responsible for teaching the programme. One apprentice is training in hospitality, two are training in construction and the remaining 19 are in business administration. Training in accountancy, construction and hospitality is given by a local college of further education. All apprentices are employees of the university, and are appointed as vacancies arise. Most of the departments in which they work are based in the city of Durham, within a one-mile radius of the city centre. There is another, much smaller, campus in Stockton-upon-Tees, which is approximately 20 miles south of Durham. Apprentices are working in both Durham and Stockton.

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4. The University recruits staff from a wide area, not just the city of Durham itself. In May 2000, the unemployment rate in County Durham was around 3.6 per cent, compared with a national rate of 3.8 per cent. In 1999, the proportion of school leavers achieving five or more general certificates of secondary education (GCSEs) at grade C and above was 38.2 per cent, compared with a national average of 47.9 per cent. The number of people in County Durham from minority ethnic groups is low, representing only 0.6 per cent of the population. I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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 Training Standards Council INSPECTION FINDINGS

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5. The University produced its first self-assessment report for modern apprentice training in February 2000. Before that it carried out self-assessment according to TEC-devised regional quality standards. The views of apprentices and line managers were sought and taken into account when making judgements. The report was produced by the training centre co-ordinator in close consultation with the training officer. Action plans were produced to remedy the weaknesses identified in the self-assessment report. The University produced an updated self- assessment report immediately before the inspection to take account of the progress made. At this stage, the self-assessment grades for equal opportunities and quality assurance were raised.

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6. A team of three inspectors spent a total of nine days at the University in June 2000. The construction and hospitality programme areas were not inspected as they each had fewer than 10 apprentices. However, apprentices and their line managers from these areas were interviewed as part of the inspection of the generic aspects of training. Inspectors interviewed 10 apprentices and six line managers. Ten further staff were interviewed. Inspectors examined 13 trainees’ files and seven portfolios of NVQ assessment evidence. A wide range of documents was also scrutinised, including minutes of meetings, awarding body reports, quality assurance documents and management information. Two sessions of learning were observed. One was awarded a grade 1 and one a grade 3. Inspectors also observed two progress review interviews and one NVQ assessment.

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Business administration Grade 2

7. There are 19 apprentices in this sector, working towards NVQs at levels 2 and 3. Fifteen are training in administration, two in information technology and a further two in accounting. The administration and information technology programmes are taught by the university. A local college of further education provides off-the-job training and assessment for the accountancy programme. Apprentices are employed in University departments which include personnel and admissions, as well as the lifelong learning centre and graduate school. Each apprentice has a work-based assessor. Trainees attend weekly off-the-job training sessions. During these sessions, theory is taught and apprentices receive guidance on compiling NVQ portfolios. Five members of staff from the training section are involved in the programmes. They are well qualified and hold training, assessor and verifier awards. Since October 1998, 30 apprentices have joined the

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Business administration Grade 2

programme. Eleven have left and 19 remain in training. Of the 11 leavers, seven completed the apprenticeship and four left early without completing the modern apprentice framework. These numbers are too small for valid conclusions to be made on the success of the programme. Inspectors agreed with the judgements I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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Business administration Grade 2

 Training Standards Council made by the University for this sector and with the grade given in the self- assessment report.

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Business administration Grade 2

STRENGTHS ♦ effective links between on- and off-the job training ♦ effective NVQ action-planning ♦ good resources ♦ good range of qualifications to complement the NVQ

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Business administration Grade 2

WEAKNESSES ♦ no ongoing assessment of key skills

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Business administration Grade 2

8. Staff in the training section have close links with the apprentices’ line managers and use these links well to ensure that the off-the-job training and workplace duties are well co-ordinated. Staff from the training section visit apprentices in their workplaces each week and have good knowledge of their job roles. Care is taken to link topics covered in training sessions with real work tasks and to ensure that there are timely opportunities for apprentices to practise their skills. When an apprentice is required to carry out a new task, efforts are made to provide instruction during off-the-job training sessions. Apprentices view the two parts of the programme as complementary and see the relevance of both.

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Business administration Grade 2

9. Action-planning is effective. Realistic yet challenging targets are set for the achievement of individual elements and units within the NVQ and for the award as a whole. Both the apprentice and assessor retain copies of the action plans. During the weekly workplace visits, staff monitor progress towards the targets in the plans and when necessary the plans are reviewed. All line managers are made aware of their apprentices’ targets and provide support to help the apprentices achieve them.

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Business administration Grade 2

10. Resources for the programme are good. Apprentices are supplied with a range of textbooks to support the NVQ programme and the additional qualifications they are working towards. Worksheets and learning aids are plentiful, clear and well presented. Off-the-job training sessions take place in modern, well-equipped rooms with a good range of computers and software packages. Staffing is generous, with one member of staff responsible for four apprentices. Apprentices have ample individual guidance and coaching.

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Business administration Grade 2

11. Apprentices are able to acquire a range of qualifications which complement the NVQ. These include awards in health and safety, first aid, desktop publishing, text processing and word processing. These awards are valued by apprentices and enhance their promotion and career prospects.

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Business administration Grade 2

12. The assessment of key skills is not a continuous process. It is left until the apprentice is nearing the end of the NVQ. Some apprentices are unaware of their progress in key skills and some workplace staff are unclear of their role in GOOD PRACTICE Apprentices benefit from access to information technology facilities 24 hours a day in the learning resource centre. The centre is available for both staff and student use. I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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Business administration Grade 2

 Training Standards Council developing and assessing apprentices’ key skills. Much of the assessment of key skills is based on the completion of separate assignments and evidence from normal work tasks is not used. These assignments are seen by apprentices as homework and they cannot see the direct relevance of key skills to their jobs.

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Equal opportunities Grade 2

13. The University has an equal opportunities policy and supporting procedures, which are approved by the university’s council. The vice-chancellor has ultimate responsibility for ensuring that the policy is fully implemented. The director of personnel has a specific responsibility for the effective development and implementation of equal opportunities in employment. There is an equal opportunities advisory subcommittee which advises the University on policy matters. During their induction programme all staff are issued with a copy of the staff handbook, which contains the equal opportunities policy and procedures. Of the 22 apprentices on the programme, one is from a minority ethnic group, and six are men. There are no apprentices with disabilities. Inspectors agreed with the strengths and weaknesses in the self-assessment report and with the self- assessment grade.

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Equal opportunities Grade 2

STRENGTHS ♦ comprehensive set of policies and procedures ♦ effective procedures to protect apprentices from bullying and harassment ♦ comprehensive analysis of data to strengthen improvement plans ♦ good arrangements to ensure fair selection and recruitment

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Equal opportunities Grade 2

WEAKNESSES ♦ insufficient action to address gender imbalances ♦ inaccessibility of some university sites to people with mobility problems

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Equal opportunities Grade 2

14. There is a comprehensive set of equal opportunities policies and procedures. The equal opportunities policy has recently been reviewed and updated. It now refers to a range of appropriate equal opportunities legislation. The updated version of the policy is on the university’s website. To support the policy, there are procedures for complaints, employment of people with disabilities, dealing with personal harassment and NVQ appeals. The University also has a ‘family friendly’ policy. All apprentices have recently undertaken training in equality of opportunity, which gave them the chance to review the policy and procedures and consider their practical implications at work. A follow-up workbook has been I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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Equal opportunities Grade 2

 Training Standards Council issued to apprentices to reinforce their learning. Their progress in this work is monitored during progress reviews. Apprentices’ understanding of equal opportunities issues is good. The University has obtained a copy of the further education college’s own policy and code of practice and is satisfied that they are good.

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Equal opportunities Grade 2

15. Staff are effective in preventing harassment and bullying. The University has around 70 members of staff who have been trained to support and advise colleagues who feel that they are subject to harassment. One such trained person is in each department within the university. There are posters in each section, encouraging staff to contact these people if necessary. At each progress review, apprentices are asked if they have experienced any harassment or bullying. Their response to this question is recorded on the review form.

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Equal opportunities Grade 2

16. Data on staff relating to age, marital status, gender, ethnicity and disability are collected and analysed. Monitoring of these data is done for both for the University as a whole and separately for the training section. The data for all staff are given to the equal opportunities steering group. The University has an action plan for equal opportunities and tries to implement it through its involvement with external specialist agencies which try to address issues such as gender imbalances in employment and race relations at work.

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Equal opportunities Grade 2

17. Recruitment and selection procedures effectively promote equality of opportunity. Procedures are designed to ensure that decisions on appointments are made solely on the grounds of the candidate’s suitability for the post. All applicants who meet the minimum educational entry requirements are invited to attend for selection tests. Those who perform satisfactorily in the tests are then invited for interview. An equal opportunities monitoring form provides details of the applicants’ sex, ethnicity, marital status and disabilities, but this monitoring form is kept separate from the information on which candidates are shortlisted. The interview procedure is clear and requires the interviewing panel to set out criteria for selection based upon the job description. Each panel member scores the applicants and those applicants who perform most successfully are appointed.

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Equal opportunities Grade 2

18. Sixteen of the 17 apprentices in administration (including in accountancy) are women. The two information technology apprentices are men. Those in construction are men. Some efforts have been made to address the imbalances between the numbers of men and women in these areas. The publicity material for administration has been amended to remove any reference to secretarial work and instead use the term ‘keyboard skills’. The advertisement for an apprentice in construction explicitly invited applications from both women and men. These initiatives are not proving effective so far.

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Equal opportunities Grade 2

19. Some University buildings are inaccessible to those with mobility difficulties. When planning new buildings and alterations, the University ensures that access is good, but those with mobility difficulties cannot gain access to many of the older premises. This issue was identified in the self-assessment report. I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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Trainee support Grade 2

20. Apprentices are appointed through the university’s own staff recruitment processes. The TEC’s initial assessment framework is used as part of the selection process, supplemented by a key skills assessment. Applicants are given a two-hour training session on how to prepare for an interview. The minimum entry requirements for apprentices in administration are four GCSEs at grade C or above, or the equivalent. There are no formal entry requirements for those on the construction or hospitality programmes. Each apprentice is allocated a line manager, an assessor and a mentor. There is an induction programme, supported by an induction handbook which is issued to apprentices for future reference. There are regular reviews of progress, which take place every twelve weeks. When necessary, reviews take place more frequently.

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Trainee support Grade 2

STRENGTHS ♦ high level of individual support ♦ highly effective progress reviews ♦ good guidance on opportunities for progression

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Trainee support Grade 2

WEAKNESSES ♦ poor use of initial assessment in developing training plans

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Trainee support Grade 2

21. Each apprentice is allocated a workplace mentor as well as an assessor and line manager. The mentor is a source of support on personal issues, and can provide guidance for apprentices when they may prefer not to seek the help of their line manager. Apprentices value and make use of their mentors. Learning support is readily available from the training section team, and the generous staffing of the programme allows for plenty of individual guidance and coaching. Each apprentice benefits from this strong support team, which works effectively to ensure that their personal and learning needs are met.

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Trainee support Grade 2

22. The progress review process is highly effective. Line managers are always present and fully involved in the process. When an apprentice is experiencing difficulties, reviews are more frequent than the normal pattern of every 12 weeks. Records of reviews are comprehensive, and all parties keep copies of the forms for reference. Apprentices know exactly how they are progressing and are given helpful comments on their overall performance.

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Trainee support Grade 2

23. Apprentices are well informed regarding opportunities for promotion and further education and training. All internal job vacancies are published on the university’s website and applications may be made on line. Apprentices are knowledgeable about the further qualifications they may take when their apprenticeships are complete, and most aspire to higher national certificates or higher national diplomas. There is a culture of lifelong learning in the University I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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Trainee support Grade 2

 Training Standards Council and apprentices are ambitious and fully committed to their personal and professional development.

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Trainee support Grade 2

24. Initial assessment is thorough, but the results are not always used to develop individual training plans. Instead, they are primarily used as a selection tool. There are examples of prior learning being recorded on initial assessment documents but not being taken into account when planning training. One apprentice had additional support needs that emerged only once the programme had started.

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Management of training Grade 2

25. TEC-funded training is managed within the support staff training section of the university’s personnel department. Day-to-day management of the programmes is the responsibility of the training section co-ordinator, who reports to the director of personnel. There is one training officer, who is the senior internal verifier, and two training assistants who each hold NVQ assessor awards. One of the training assistants is also a qualified internal verifier. There is one part-time secretary. Most of the departments where apprentices work have either a qualified work- based assessor or staff who are working towards their assessor awards. A new computerised database for managing information relating to the training programme was introduced in March 2000. Before this, a paper-based system was used. Performance against the terms of the TEC contract is monitored each month by the training section co-ordinator.

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Management of training Grade 2

26. The self-assessment report identified eight strengths and four weaknesses. Inspectors considered four of the strengths to be no more than normal practice, while a further two related to the occupational section of the report. Inspectors agreed with the remaining two strengths and found a further strength. The self- assessment report highlighted the weakness concerning the lack of an adequate agreement with the subcontractor. Other weaknesses had been remedied by the time of inspection. Inspectors awarded the same grade as that given in the self- assessment report.

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Management of training Grade 2

STRENGTHS ♦ excellent internal communications ♦ effective management of staff performance ♦ comprehensive staff training and development

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Management of training Grade 2

WEAKNESSES ♦ inadequate subcontracting arrangements

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Management of training Grade 2

27. Communication between the training section’s staff, other University staff, line managers and apprentices is frequent and highly effective. There are weekly team I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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Management of training Grade 2

 Training Standards Council meetings for the training section’s staff, with written agendas. Detailed notes and action points are recorded and distributed to all. Required action is closely monitored and promptly taken. Once each month, the director of personnel attends the team meetings. The training section co-ordinator attends weekly personnel team meetings. All staff have access to the university’s website and the training section’s staff have access to the personnel department’s files stored on the shared folders of the university’s computer network. Staff make good use of electronic mail. There is an open style of management and staff feel that their contributions are acknowledged.

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Management of training Grade 2

28. The University makes effective use of appraisals of staff’s performance. Each staff member, including apprentices, has a review with his or her line manager every two months. There are clear standards set down for each job role and staff performance is measured against these indicators. Staff are given constructive feedback on their performance. These performance appraisals are effectively used to ensure that the duties allocated to staff are fair but challenging and that each individual is effectively deployed to make the most of his or her skills.

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Management of training Grade 2

29. The University demonstrates a strong commitment to training and developing staff. The director of personnel has a ‘human resource action plan’ with specific objectives for training and development, and details of responsibilities, timescales and action points. Progress towards meeting these objectives is discussed at the training and development strategy subcommittee meetings. All members of staff have a personal development plan, which details the training to be undertaken, the target and completion date and the cost. The training section’s staff are allocated a half-day each week for their professional development. They are well qualified. In addition to the assessor and internal verification awards required by the awarding body, they hold training or teaching qualifications. The training centre’s staff have attended numerous training events during the last 12 months, including courses on key skills, disability

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Management of training Grade 2

awareness, equality of opportunity and quality assurance.

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Management of training Grade 2

30. The University does not have an adequate subcontract with the local college which provides off-the-job training and assessment for five apprentices. This was identified as a weakness in the self-assessment report produced in February 2000, and in May a tuition agreement was signed with the subcontractor. However, this is not comprehensive and does not cover arrangements for assessment, internal verification and quality assurance. The University is currently negotiating a more appropriate contract with the college.

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Quality assurance Grade 3

31. The training section co-ordinator has responsibility for the quality assurance of TEC-funded training. The university’s overall quality assurance procedures are published on its intranet. In recent weeks, questionnaires have been issued to all current and previous apprentices and their line managers. Responses have been centrally collated and analysed. The training section is internally audited as part of the personnel department of the university. Inspectors agreed with the judgements in the self-assessment report for this aspect of training and with the self- I N S P E C T I O N R E P O R T : U N I V E R S I T Y O F D U R H A M J U N E 2 0 0 0

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Quality assurance Grade 3

 Training Standards Council assessment grade.

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Quality assurance Grade 3

STRENGTHS ♦ rigorous self-assessment ♦ effective use of self-assessment action-planning

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Quality assurance Grade 3

WEAKNESSES ♦ lack of an established quality assurance system

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Quality assurance Grade 3

32. The University has adopted a positive and consultative approach to self- assessment. The views of the training section’s staff, apprentices and their line managers and assessors were sought and taken into account. The training section co-ordinator produced the self-assessment report in February 2000. An action plan was drawn up to remedy many of the weaknesses highlighted. The action plan was successfully implemented, resulting in many of the weaknesses being remedied by the time of inspection. Immediately before the inspection, an updated self- assessment report was produced which took account of the improvements made. The judgements made in the self-assessment report were generally accurate. Inspectors agreed with all five grades in the self-assessment report.

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Quality assurance Grade 3

33. The training section makes satisfactory use of questionnaires to obtain the views of apprentices and their line managers about the training process. The questionnaires cover a range of topics including the recruitment process, training and assessment, equal opportunities and resources. Responses are monitored and follow-up action is taken when necessary. Apprentices are also regularly asked for their views about the off-the-job training sessions.

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Quality assurance Grade 3

34. Internal verification arrangements are satisfactory. There is a comprehensive internal verification sampling plan for all NVQ units. Internal verifiers have observed staff training and assessing and given them detailed feedback.

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Quality assurance Grade 3

35. In its original self-assessment report, the University recognised that its failure to have a fully recorded quality assurance system was a weakness. While procedures existed for many aspects of the programme, they were fragmented. Some procedures were in need of updating. To address this weakness, a comprehensive quality assurance system was devised by the training section co- ordinator. It includes policies and procedures for all aspects of the training programme. These were in place at the time of inspection, but were new and some of the procedures were untried. Staff in the training section have ready access to the manuals and there are plans to make them available on the university’s intranet. Available data are too recent to be of any practical use.

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