Diploma Aggregation Service Becta: 14-19 Diplomas: Learning the lessons of the new operating model 24 November 2008 Richard Fitzpatrick Minerva Project Manager

Content Context Role of the aggregation service Learner Accounts High level process What it looks like The bigger picture (service structure and interfaces) Security Access and training DAS and the MIAP LRS Service support Current state Next steps Questions Key points: This presentation is designed to provide you with an insight into one of QCA’s key IT projects You may have read things in the press – now hear it from the horse’s mouth! By the end of this presentation you should have a better understanding of what the Diploma aggregation service is and what it does (and doesn’t) do, who will be using it and how, how information is held and processed, how it is supports the delivery of Diploma policy, and most importantly, where we are in terms of rollout. We will be happy to take questions at the end – if you could save them till then it will help to ensure we get through the whole presentation without overrunning. We will answer as many questions as possible – where we are unable to answer them today we will take them away and come back to you with a response.

Minerva project background Feb 2005 Government published 14-19 Education and Skills White Paper. Introduced concept of the Diploma (component based, designed to develop an individual’s skills through a mix of theoretical and practical learning) QCA given responsibility for ensuring that “the systems to deliver Diplomas are effective and efficient” Jan 2007 Minerva project remit amended to focus exclusively on delivery of the IT to enable Diploma awarding Sept 2007 Steria engaged as IT Supplier to deliver the Diploma Aggregation Service Key Points: Diplomas attract a lot of media attention – DAS profile is high by association Key challenge is compressed timescale - delivering completely new system in time for first teach (Sept ‘08) Scope of Minerva has changed over life of the project (now only covers delivery of DAS) The Minerva Project is a key enabler for the delivery of the Diploma as described in the 14-19 Education and Skills White Paper. Diplomas are component-based qualifications that require data sharing across Awarding Bodies (ABs) and aggregation of results. The role of the QCA is to ensure that “the systems to deliver Diplomas are effective and efficient”. The Minerva project sits within SSG. Its objective is to develop an IT system to enable Diploma awarding (and the model for its deployment as a managed service) and execute a phased roll out of this service to centres and awarding bodies delivering Diplomas from September 2008. The service is known as the Diploma aggregation service. Diplomas require a unique identifier for each learner, and will use the Unique Learner Number (ULN). This is why the Minerva Project is also responsible for ensuring that the processes and procedures required by Centres and Component Awarding Bodies (CABs) to utilise the ULN are in place as part of the rollout. 3

The Diploma Challenge AB Centre Key Points: Diplomas introduce new level of complexity in qualification administration – requires a flexible yet robust IT solution to support Diplomas are component based qualifications (incorporating Principal learning and project, functional skills, ASL, work experience and PLTS). Diplomas are delivered by local consortia. Consortia can consist of schools, colleges and training providers – known as centres. Between them, the members of the consortia provide all the learning for the Diplomas they are offering, and their structure and organisation will reflect local circumstances and needs. This means that multiple learners may interact with multiple centres and awarding bodies. There are 2 types of awarding bodies – those who award the entire Diploma (DABs) and those who award individual components that can make up a complete diploma (CABs). This requires an IT system to underpin and support the Diploma administration process, which is flexible and robust. Consortia of schools, colleges and work based learning providers Multiple Component Awarding Bodies (CAB) Diploma Awarding Body (DAB)

Role of the Diploma aggregation service The purpose of the service is to support the awarding of Diplomas through data sharing and aggregation. It records Diploma constituent qualification results against each learner. It aggregates a learner’s results and applies ‘rules of combination’ to determine if sufficient results have been achieved for a Diploma to be claimed. If sufficient results are achieved, the system calculates a trial grade so the Diploma can be claimed and awarded by a Diploma awarding body. Key points: What it does and equally importantly, what it doesn’t do. The service is only about capturing the learning that comprises a Diploma – it is not a tool for: Planning timetables Co-ordinating travel between sites Does not replace your normal way of working with ABs Does not manage any other administration issues, such as exams policies However, these are all important issues that consortia need to face, and NAA have run a national programme for schools and exam officers on these broader aspects. They will be following this up with an intensive training programme on using the DAS in September. 5

Learner Accounts Every Diploma learner will need a Diploma learner account Used to post and collate results of Diploma constituent qualifications within the Diploma aggregation service. Administered on behalf of a learner by the Learner administrator (the person, usually an Exams officer, who is responsible for creating and maintaining learner accounts on the aggregation service for their centre). Opened for each Diploma learner by the Home Centre Learner administrator using the learner’s Unique Learner Number (ULN). Requires basic personal details, for example, ULN, family name, given name, DOB and gender. Key points: Key part of the DAS – holds all the information on a Diploma learner’s achievements Not the same as other ‘Learner Accounts’ (where learner is able to view and manage own information) In order to collate and track Diploma learner achievements, each learner is created a Learner Account on the aggregation service by their Home centre. (The Home centre is the centre of learning at which the learner is registered.) Learner accounts are created on DAS by a Learner Administrator – typically this will be the centre Exams Officer. Information in the learner account (ie learner details) are required for matching – when the account is initially opened the system validates all of this information against the data held in (MIAP) LRS to minimise the risk of duplicate entries being created for the same learner. It is the learner’s and the centre’s responsibility to ensure that the details held for the learner on the LRS are kept up to date. This is important as the DAS will be updating its learner records with any changes to learner details received from LRS, to save the Learner Administrator having to maintain this separately. 6

How it works - high level process EO update Learner Account with PLTS and WE Obtain ULN No ULN? Diploma learner Yes Enter learner with CAB Open Learner Account Complete learning Collate Diploma result Notify centre of completed Diploma and issue trial grade CAB update learner account with results DAB issues Diploma Claim Diploma Decide to claim Diploma Key points: This diagram explains (at a high level) the role of the DAS in the end to end Diploma process Information shown in the learner account may be subject to embargo (so as not to advantage/disadvantage learners) ITC is there to simplify the claims process – particularly relevant to Advanced or Progression Diplomas Centre’s can choose to ‘delegate access’ to share responsibility for Diploma administration within their consortia [Outline the roles involved in Diploma admin ie Centre (typically EO), CAB and DAB and walk through high level process step by step] The Das is constantly aggregating results. An ‘intention to claim’ flag can be set to help streamline the claims process. If the Exams Officer (or another authorised administrator) has set an intention to claim, and the service calculates (based on the Diploma ‘rules of combination’) that sufficient components have been achieved by the learner, it will calculate a trial grade and notify the Diploma Awarding Body which issues the award. (Note that trial grades are only visible in the learner account when there is no embargo.) This is recommended for Advanced or Progression Diploma learners who will want to claim their award as soon as possible to progress through the UCAS process. Learners can consider their achievements by reviewing their learner account with their Exams Officer (or another appropriate adviser). They can see their trial grade and decide whether to claim their Diploma, or to re-sit components or take additional qualifications, to improve their grade before claiming (or before a claim is processed). Centres have the ability to delegate access to their learner accounts to enable other authorised parties to view/input information, according to the ways of working agreed within their consortia. For example, responsibility could be delegated to another centre EO to view learner records or note completion of PLTS and work experience, or to a DAB (from Sept) to create new learner accounts. For commercial and policy reasons, the information to which a delegated authority has access will vary according to their role. Key Awarding Body activities Learner activities Diploma aggregation service activities Centre activities 7

The bigger picture 8 Key points: DAS is processing engine – we do not ‘own’ any data The rollout of the ULN is a key dependency - we have a team dedicated to supporting adoption of the ULN across DAS users Awarding body options for using the browser and/or API depend on whether they are DAB or CAB Centre options expand according to the availability of MIS and participation of MIS provider The main data feeds are from (MIAP) LRS for ULN and learner information; NAA CRM (which links to the DCSF Gateway) for Diploma approved centre data and QMIS for Diploma codes and ‘rules of combination’. Since all Diploma learners are required to have a ULN, the LRS is a key dependency for Minerva so we have put in place a dedicated team to support the rollout of the ULN across our direct users (awarding bodies and centres) and awareness of requirements to other stakeholders (eg Local Authorities, MIS providers). Users have the option of accessing the DAS and sharing information either via a web browser interface or via a direct system interface (using an API). Because of the role DABs play, they are required to use both web browser and API, whereas CABs are given the option of using only the browser or both web browser and API. Centre users are most likely to access the service via the web browser. Where centres employ other MIS to manage learner information, we are offering a facility for MIS providers to enhance their systems to either extract information from their systems in a pre-defined file format for sharing with the DAS, or establish a direct system interface similar to awarding bodies. We have already engaged with many of the MIS suppliers to schools and colleges through 1:1 meetings, special workshops and presentations at the IA and DSG supplier forums. Many of them have indicated to us that, because the burden of commercial cost is on them, they would prefer to wait until sufficient Diploma learners are on board or the demand from centres is greater to justify the investment. 8

Diploma aggregation service web browser Key points: Screen design is based on making it easily accessible ‘Diploma aggregation service’ or ‘DAS’ is not a brand in its own right This is an example of what the service looks like to the user, when accessing it through a web browser. It is DDA compliant and designed to work effectively with the majority of internet browsers, including Internet Explorer (IE) 6.0; IE 7.0; Netscape 8.0; FireFox 1.5; Opera and Safari. It requires a fairly standard pc spec – limiting the requirement for expensive upgrades. It has been designed to be as intuitive as possible and includes online help, to make it as easier for new users to adopt.  It shares it’s visual identity with the Diploma. ‘Diploma aggregation service’ and ‘DAS’ was not created as a brand in its own right to avoid unnecessary expense because of the intention to transfer to industry ownership, which would potentially involve its own branding exercise. 9

Protecting all our interests A secure service governed by strict terms and conditions… Access restricted to authorised users (learners have no direct access) Commercial agreements in place between QCA and DAS users Online T’s & C’s Access to information limited by user profile… Role based (e.g. Learner Administrator, Learner Data Viewer, TPLA) Controlled at two levels (System Administrator; Local Administrator) Industry standards applied… ISO/IEC 17799:2005 ISO27001 e-Government Framework compliant (and W3C, WAI, WCAG) DPA compliant Key points: Security is an important feature of the DAS, as it will be accessed by users via the internet (“https://”) DAS users are required to sign up to various commercial agreements to protect the interests of all parties (service provider, service users and Diploma learners) DAS is set up to conform to industry standards for security and is DPA compliant Reiterate that Learners do not have direct access to their own learner account. Authorised DAS users are authenticated each time they log on (where a user is deactivated the system will automatically log them out, if they are currently logged on). System roles have been defined to restrict the information available to the system user, as appropriate to their role and so as not to advantage/disadvantage any party commercially. Before a centre or awarding body can become a DAS user they are required to sign up to various terms and conditions designed to protect the commercial interests of all parties and in particular the interests of the learner. These include specific centre agreements and (for awarding bodies) a Testing Agreement and an Operating Agreement. (This is in addition to LRS agreements which are required to be a learner registration body and acquire ULNs.) When MIS providers eventually come on board, we anticipate commercial agreements similar to those being signed by awarding bodies to apply to those who wish to take up the option to interface directly with the DAS directly. 10

Access and Training Timings Early adopters opened learner accounts in July The full service for recording learner achievements and triggering a Diploma went live 1 September 2008 Training ‘Train the trainer’ Classroom based with supporting CBT Role based Rollout June - October Key Points Staged Releases – R1 is now live and we have our first Diploma learners enrolled! Approach is to ‘Train the Trainer’ Rationale for timing Timings - Learner Administrators (typically EOs) can now start using the Diploma aggregation service to open Learner Accounts for Diploma learners. We already have our first Diploma learners enrolled. The full service will be launched in September 2008 which will provide awarding body functionality for recording results and enabling the awarding of Diplomas. There is extensive training planned in September and October to coincide with when we expect the bulk of centres to start using DAS. Centre training is being provided through the NAA. 11

DAS and the MIAP LRS Memorandum of Understanding Scope of services necessary for the operation of the DAS Service Levels Issue Escalation and Dispute Resolution Process DAS Management Board MIAP are represented DAS Operations Group Consultative group for ABs; includes MIAP Also: DAS Advisory Group Consultative group for key stakeholders; AoC, EOA. Note to Emma – the purpose of this slide is primarily to reassure the AB audience that we have appropriate agreements and processes in place with MIAP to ensure the DAS is able to operate. MoU There is a Memorandum of Understanding which describes the terms of the on- going relationship between QCA and LSC. This is legally binding and covers the scope of services necessary for the operation of DAS, including the requirement for ABs to validate centre data using the LRS. Importantly the MoU includes service levels to ensure that services are of a consistently high quality and meet the requirements of DAS. These cover areas such as Service Availability, Customer Satisfaction and Performance Monitoring. There is also an issue escalation and dispute resolution process. NB: This is in addition to LRS agreements which are required for ABs to be a learner registration body and acquire ULNs. DAS Management Board DAS has a Management Board which includes a representative from MIAP. These sit monthly. DAS Operations Group It also has an Operations Group. This is a consultative group for ABs, and it also includes MIAP. These are three-monthly. 12

Service support Service management helpdesk environment 13 Key Points This is a managed service supporting users during core hours in line with government guidelines First line support is provided via a dedicated ‘Das helpdesk’, though centres can also use their CSO or their awarding body and MIS helpdesks to raise queries Second line (technical) support is being provided by Steria, with hand offs to MIAP and QMIS where appropriate Our dedicated Das Helpdesk is now live and already supporting users (this was launched in conjunction with Release 1 of Das on 30 June 2008). Helpdesk staff have been trained and provided with supporting ‘scripts’ to assist them in resolving user queries. 13

Management Summary of service operations  Full Service Operational since 1st September 11 Release1 early adopter Centres 870 centres now online Over 5000 Learner accounts opened to 20th November All Help Desks and data feeds active Key service levels in operation with monthly reviews with all suppliers Daily, weekly and monthly service reports Key Risks: High volume of Wave 2/3 centres need to be managed The service could be destabilised by high volume of change requests

Next steps DAS ‘on-boarding’ activity for Phase 2 CABs/DABs began this month MIS Technical Workshop 20th October – some take-up to on-board Release 3 in early March, then project closure For further information on the Diploma aggregation service, visit our project website; www.diploma-aggregation-service.co.uk DAS On-boarding Here you can provide a verbal summary of the Wave 2/3 on boarding activity that is planned. Website is aimed primarily at users, though other interested parties may find overview information useful. There is also information about the Diploma aggregation service on the QCA website. 15

Any Questions?