Operational Delivery Manual

Audit requirements for centres delivering SFA funded apprentices.

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The process
Individual trainee file
The Register System
Achievement and Qualification Process
Delivering the apprentice framework
Quality Assurance
Contract Monitoring
Sample forms and record sheets


This section is designed to incorporate the enrolment procedures of Newham College of Further Education and the guidance notes provided by the SFA. It should enable Collaborative Partners to make their funding claims and meet the audit requirements of Newham College of Further Education (NCFE), Office for Standards in Education (OFSTED) and the Skills Funding Agency (SFA).

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The Process

Collaborative partners supply requested information to Newham College who make funding claims by Individual Learner.
In order to make a claim, the following documents must be completed:

Funding claims should be supported by:

Your contract with Newham College states the amount of funding agreed with you for delivery in any given academic year.
You should not recruit more trainees than your contract value.
You must inform the college if you are unable to recruit the agreed number of trainees that will enable you to fully meet the agreed contract value.
Payment will only be made for trainees who are enrolled on the Newham College database and who have been in attendance for the required number of sessions/hours.
It is your responsibility to ensure that all information requested in respect of payment is supplied in a timely manner.

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Individual Trainee File

You must keep an individual trainee file for each learner.
The file must contain:

As a Collaborative Partner you are required to keep copies of all trainee information at your centre for audit purposes. All originals must be returned to the College at the end of the trainee’s programme.

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Enrolment process

Payments will only be made if the learner has completed an enrolment form correctly which has been entered on to the College system.


Click here for full details of Trainee Enrolment

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The Register System for monitoring on-programme progress

A register (in a format of your choice) must be used to record the following information: You can have more details but not less.

The register will be checked by College staff against the class lists taken from the College database. It must be returned to the College on completion of the trainee’s programme.

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Achievement and Qualification Process

As the Collaborative partners you must keep the College informed of all exam entries made by you. The payment process rewards achievement, so it is important for both the College and partners to monitor correct entry of trainees for qualifications. You must send results to the College Collaboration Administrative team. Click here for full details of Trainee completing or leaving early

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Delivering the apprentice framework

Initial Assessment

All learners must be assessed before or immediately upon entry to their Apprenticeship programme. Providers must ensure that the information gained as a result of the assessment appropriately identifies the needs of the learner. The results of the assessment must include details of previous competence and must be recorded and used to inform the content of the Individual Learning Plan (ILP).

The purpose of initial assessment is to ascertain the learner’s suitability for the programmes and their exact starting point and development needs. Therefore, initial assessment must help shape the programme going forward and inform the ILP. Initial assessment must therefore determine, as a minimum:

Diagnostic Assessment

It is the Apprenticeship provider’s responsibility to ensure that a young person who may have Additional Learning Needs [ALN] or Additional Social Needs [ASN] is comprehensively assessed using recognised methods. This might include, for example, interviews, formal assessments, observation, reviewing written information, and self assessment activities. Assessment is not funded through ALS funds but included within the base rates for the programme.

Apprenticeship Agreement [Use the College Proforma, sample in the Appendix]

There must be an Apprenticeship Agreement in place between the employer and the Apprentice.

Individual Learning Plan [Use the College Proforma, sample in the Appendix]

An Individual Learning Plan (ILP) must be produced for each learner.

Learner feedback indicates that learners often do not know what they will be doing, when or how. This uncertainty contributes to early drop-out. The ILP must be the document that records these details. It must contain the learning objectives of the programme that learners are following, and state how these will be achieved.
The learner must be given a copy of the ILP at the start of learning.
The learner, the employer or a representative of the employer should sign the ILP.

The ILP must take account of:

The ILP must be reviewed as part of the formal learner reviews.

Providers must deliver the learning as described in the ILP. Delivery and assessment are to be in-line with the appropriate framework and awarding body requirements.

Induction [Use the College Proforma, sample in the Appendix]

All learners must receive a comprehensive induction that covers, as a minimum, the following:

Induction on its own is not considered to be part of learning activity and therefore completion is not deemed to be evidence that the learner has started.

Learning activity

Providers must deliver learning that comprises all the elements of the current Apprenticeships framework document produced by the appropriate Sector Body or Sector Skills Council, summaries of which can be found on the Apprenticeships website at The National Apprenticeship Service [NAS].

Progress reviews [Use the College Proforma, sample in the Appendix]

Learners must be reviewed at least every 8 – 10 weeks.
Reviews must be recorded and documents signed by at least the learner and the reviewer. However, it is good practice that the reviews are also countersigned by a representative of the employer, such as a manager or supervisor with responsibility for the apprentice.

The Review must:

A review is not part of the assessment process but may take place during the same visit. A record of assessment is not the evidence of review.

The frequency of reviews must be adjusted to reflect the risks of the learner leaving early or not achieving.

It is accepted that some reviews may not be carried out ‘face to face’ but may be by telephone and/or other electronic means. Where this happens then the learner must be sent a copy to sign and send back to the provider ensuring that evidence is available.

Occasionally the learner will make no progress from one review to another, which may be due to something outside of their control, such as changes in working patterns. The provider must rearrange the review for another date when the learner has progressed. The next review should be appropriate to the learner but within the rules set out above. If this continues where the learner is not engaged in structured learning then funding can only be claimed up to the last date of evidenced structured learning. If agreement is reached between the learner, the employer and the provider that this is a temporary situation then the learner can be put on an agreed break in learning where funding is suspended pending the learner returning to structured learning.

Leaving early

Providers must have a reliable system for identifying those at risk of leaving early, along with a strategy for involving the Connexions personal adviser (where applicable), employers and other agencies, as appropriate, to reduce the number of learners leaving early. If, despite the provider’s best efforts, learners are no longer making no progress against their ILP, they must be offered alternative opportunities to pursue their original or revised learning objectives – either with the same provider or with another the Agency-funded provider. A learner must be considered to have withdrawn from a programme when they have either:


For audit purposes, the College must retain original documents, including, for example, attendance records, enrolment records and learning agreements. Under no circumstances must these be retained by subcontractor or at sub-contractor’s premises once learning has finished.

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Quality Assurance

Collaborative partners should have their own procedures in place to ensure the quality of delivery and conform to the College systems described below.
The College will monitor this during announced and un-announced visits.

The processes are:

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Contract Monitoring

The requirements of this handbook, together with your contract will be monitored through the following processes:

Review meetings (3 times per annum):

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Sample copies of all required forms

Apprentice Registration Form
Apprentice Training Agreement
Employer Declaration policies and procedures
Employer Health and Safety checklist
Individual Learning Plan
Provider Apprentice Start check list

Examples of Reviewer and Assessor visit records

These are carbonised duplicate sheets, supplies available from the collaborative partner office.

Apprentice Review form
Apprentice Action Plan review
Assessor Visit Record

Example of funding calculation

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