The Provider Gateway Self-teach tutorial Document Exchange

1. The Provider GatewaySelf-teach tutorial Document Exchange December 2006 Version 4.0 The LSC in association with Ofsted and ALI welcome you to the self-teach tutorial for the Document Exchange service on the Provider Gateway. Click any key to proceed. If you have any queries, please email: Provider.Gateway@lsc.gov.uk

2. HOME – Will always take you to ‘Tutorial Contents’ Navigation How to Use the Buttons You can navigate your way through this tutorial by using the forward and backward buttons below or by clicking the mouse. Buttons which are coloured grey are inactive on the current slide, like the SECTION BACK button below. SECTION BACK – Will take you to the ‘Section Contents’ of the current section BACK – Will take you back one screen FORWARD – Will take you forward one screen SECTION FORWARD – Will take you to the ‘Section Contents’ of the next section

3. Aims and Objectives The aims of this tutorial are: • To introduce you to the Document Exchange facility of the Provider Gateway, including: • Who uses it and for what purposes. • What information it holds and who can access it. • How Document Exchange guarantees the security of your information. • To teach you how to upload your documents, including Self-Assessment Reports (SARs), College Performance Reports (CPRs), Provider Performance Reports (PPRs), workbook templates and workbooks, to the Gateway. • To teach you how to access documents.

4. Section 2 How to upload documents Section 1 Overview of Document Exchange Section 3 How to locate, read and download documents Section 5 About guidance documents, templates and workbooks Section 4 Document Reports 2 1 3 5 4 Tutorial Contents The tutorial is divided into five sections. You can click on a section title on the list opposite to go directly to the start of the section. Each section starts with a Section Contents slide, from which you can link to specific topics.

5. Section 1Overview of Document Exchange • This section explains: • The purpose and benefits of Document Exchange to partnership organisations. • Who can use Document Exchange to store and access documents. • What documents are held in Document Exchange. • How the security of information is ensured. • Guidance on the LSC’s policy towards access to information. • The length of time for holding archived documents in Document Exchange. You can work through the section sequentially, or use the links in the panel to the left to go to specific topics. Links to topics • Partnership approach • Benefits of Document Exchange • What documents are held in Document Exchange? • Security of information in Document Exchange • Archiving • Increasing Size of Text

6. Overview 1 Partnership approach The Learning and Skills Council, the Inspectorates (Ofsted and the ALI) and providers work in partnership, through the process of the annual assessment visit (AAV), to achieve the goal of continuous improvement in the provision of learning and skills. • Document Exchange is a service provided by the LSC via the Provider Gateway to all partnership organisations to facilitate the processes of annual assessment and inspection. • Document Exchange is a central location, accessible by all partnership organisations, for the exchange and storage of information.

7. Overview 1 Benefits of Document Exchange • Reduced bureaucracy. Providers, the Inspectorates and the LSC will upload documents relating to the processes of inspection and continuous improvement to the Document Exchange site, where all partnership organisations can access them. • Consistency. The same version of a document is available in Document Exchange to all partnership organisations. • Security. Only authenticated users of the service can access Document Exchange. Documents can only be viewed and downloaded by authorised users. • Simplicity. Document Exchange is easy to use and provides a uniform interface for all users.

8. Overview 1 What documents are held in Document Exchange? Document Exchange holds the following documents: • Self-Assessment Reports (SARs). The SAR is prepared by the provider and uploaded by the provider to Document Exchange. • Document Exchange can hold many versions of SAR for any academic year. • College Performance Reports (CPRs). The CPR is prepared annually by Ofsted. • Provider Performance Reports (PPRs). The PPR is prepared annually by the ALI. Continued

9. What documents are held in Document Exchange? (Continued) Overview 1 Document Exchange holds the following documents: • FE Stats Update Workbook. The FE Stats Update Workbook is prepared and uploaded by the provider and analysed by Ofsted. • Other Learner Types (OLT) Workbook. The OLT Workbook is prepared and uploaded by the provider and analysed by the ALI. • Templates for the FE Stats Update and OLT Workbooks (uploaded by Ofsted and the ALI respectively), which the provider can download from Document Exchange, complete and upload back to Document Exchange. • Value Added Distance Travelled (VADT) Excel File. A spreadsheet containing VADT data uploaded annually for the use of providers. • VADT PDF. A PDF version of the VADT Excel File. Continued

10. What documents are held in Document Exchange? (Continued) Overview 1 Document Exchange holds the following documents: • Academic Calendar. A calendar uploaded by providers for the use of the Inspectorates when planning inspections. • Post-AAV (Annual Assessment Visit) Letter. Uploaded by Ofsted to provide information for providers and LLSCs (Local LSCs). • 3 Year Development Plan. Uploaded by providers for the use of LLSCs and the Inspectorates. • Qualification Success Rates. Uploaded by the LSC for the use of providers and the Inspectorates. • S6F (School Sixth Form) Performance And Data Analysis (PANDA). Uploaded by Ofsted for the use of providers and LLSCs. Continued

11. What documents are held in Document Exchange? (Continued) Overview 1 Document Exchange holds the following documents: • Provider Financial Management (PFMs) reports. There are four different PFM reports which are uploaded by the LSC: • Provider Financial Assurance (PFA), Financial Management & Governance (FMG), Self-Assessment Report Questionnaire (SARQ) • College Annual Financial Statements • College Financial Record • Regularity Audit Self-Assessment Document NB. A single document can be made up of multiple files on Document Exchange. All files comprising a SAR, CPR, PPR or other type of document are grouped together as one document.

12. Overview 1 Security of information in Document Exchange • All information relating to a provider is held in strict confidence in Document Exchange. • No provider can view a SAR, CPR or any other document relating to another provider. • Authorised staff, including (home-based) inspectors in Ofsted and the ALI, can search on all providers on the Gateway and view and download the documents pertaining to any provider. • In the LSC, authorised staff in the National Office and local LSCs can view and download the documents pertaining to any provider. • The Council shall not be liable for the provision or use of data outside of the arrangements set out above.

13. Overview 1 Archiving • Documents that have been uploaded for the previous three academic years will be easily available in Document Exchange to authorised staff in providers, the Inspectorates and the LSC to read and download. • The same security applied to current documents is applied to archived documents: archived documents relating to providers are confidential. No one except authorised staff in Provider organisations, Ofsted, the ALI and the LSC can read or download archived documents.

14. Overview of the Provider Gateway 1 Increasing Size of Text The Provider Gateway Site allows users to increase the size of the text on the screen. This can improve the ease of reading for the visually impaired user. Instructions for doing this can be found on the following pages.

15. Overview of the Provider Gateway 1 Increasing Size of Text (continued) • How to increase the text size on a web page • Assuming Internet Explorer is the web browser: • From the menu bar: • Select Tools > Internet Options • Click on Accessibility • Check box “Ignore font sizes specified on web pages” • Click on the OK button • Click on the OK button on the Internet Options window to save your changes

16. Overview of the Provider Gateway 1 Increasing Size of Text (continued) • How to increase the text size on a web page (continued) • Assuming Internet Explorer is your Web Browser: • From the menu on the Gateway Page: • Click on View • Click on Text Size • Click on the size of text required from the menu options • The size of text on the screen will change to the selected size.

17. Overview 1 End of Section 1 Overview of Document Exchange

18. Section 2How to upload documents This section explains how to: • Search for a provider (Ofsted, ALI and LSC users). • Upload documents (all users). You can work through the section sequentially, or use the links in the panel to the left to go to specific topics. Note that the procedure for uploading a document is described based on uploading a Self-Assessment Report (SAR). The procedure for uploading CPRs, PPRs, templates and workbooks is the same. Links to topics • What documents do providers upload? • What documents does Ofsted upload? • What documents does the ALI upload? • Document Versions • Can documents be amended in Document Exchange? • How to search for a provider (Provider Search) • How to search for a provider (Document Search) • How to upload a document • Bulk upload of documents • Hints and Tips, Zip up your files!

19. How to upload documents 2 What documents do providers upload? • Providers upload their: • Self-Assessment Reports (SARs). • Academic Calendars. • 3 Year Development Plans. • FE Stats Update Workbooks. • Other Learner Types (OLT) Workbooks. • If a SAR consists of more than one file, all of the component files can be uploaded together and Document Exchange will group them together into a single document. • Both Draft and Final versions of the SAR can be uploaded. Each draft replaces any previous Draft in Document Exchange.

20. How to upload documents 2 What documents does Ofsted upload? • Ofsted uploads: • College Performance Reports (CPRs). • Post-AAV Letters. • School Sixth Form PANDAs. • FE Stats Update Workbook templates. • CPRs and workbook templates will be uploaded by administrative staff in Ofsted. Inspectors will not normally be expected to upload these documents. • The CPR for each provider must be uploaded prior to the Annual Assessment Visit (AAV) or an inspection, so that inspectors can access it as part of their preparation for the AAV or inspection.

21. How to upload documents 2 What documents does the ALI upload? • The ALI uploads: • Provider Performance Reports (PPRs). • Other Learner Types (OLT) Workbook templates. • PPRs and workbook templates will be uploaded by administrative staff in the ALI. Inspectors will not normally be expected to upload these documents. • The PPR for each provider must be uploaded prior to the Annual Assessment Visit (AAV) or an inspection, so that inspectors can access it as part of their preparation for the AAV or inspection. • Providers use the template to prepare their workbooks, and then upload the workbooks to Document Exchange. ALI inspectors can then download them for analysis.

22. How to upload documents 2 Document versions • SARs and other document types can be uploaded to Document Exchange either as Draft or as Final status documents. Document Exchange can hold one Draft and one Final status version of a document for a given academic year. • If you want to replace one Draft version of a document with another, you must delete the existing Draft and then upload the new Draft. • A Final status SAR or other document is the signed version. • A Final status SAR cannot be replaced or deleted by the provider.

23. How to upload documents 2 Can documents be amended in Document Exchange? • You cannot edit the content of any document directly in Document Exchange. When you upload a document you must retain the master files on your own systems. • If a provider needs to update the content of a Draft status SAR, the amendments are made on the master copy held by the provider, the existing Draft is deleted from Document Exchange, and the amended Draft uploaded. • A Final status SAR cannot be deleted or replaced by the provider. But if a Final status SAR is found to be inaccurate (for example, by an Inspector), the provider can ask through the local LSC for the LSC Business Support Unit to delete the Final version from Document Exchange. The provider could then amend the master copy of the SAR and re-upload it to Document Exchange.

24. How to search for a provider (Provider Search) How to upload documents 2 How to search for a provider Ofsted, ALI and LSC users need to search to locate the provider in Document Exchange before they can upload a document. The Provider Search screen enables Ofsted, ALI and LSC users to search for a provider by UPIN or Provider Name. Provider users do not require the search facility because they are automatically directed to their own provider when they log in.

25. How to search for a provider (Provider Search) (continued) How to upload documents 2 How to search for a provider (Continued) • You can search for a provider using either the provider’s name, part of a name (for example, if you enter “col” in the Provider Name field, the search will return all names with “col” in the title. E.g. “College”) or you can search using their UPIN. • Enter the UPIN, Provider Name or part Name in the appropriate field. • Click on the Search Button.

26. How to search for a provider (Provider Search) (continued) How to upload documents 2 How to search for a provider (continued) • Because a partial name was used to search on, all provider names containing “Soli” have been displayed together with their UPIN. • To select a Provider from the list: • Click on the UPIN to select the provider. • The UPIN is a link.

27. How to search for a provider (Provider Search) (continued) How to upload documents 2 How to search for a provider (continued) The system automatically inserts the selected provider’s name and number into the Provider Field..

28. How to search for a provider (Provider Search) (continued) How to upload documents 2 How to search for a provider (continued) The first of the Document List screens is displayed with the selected provider identified. Note that when Provider Users select Document List from the menu they are automatically presented with this screen. The Document List option can now be selected on the menu, from where you can upload, view and download documents.

29. How to search for a provider (Document Search) How to upload documents 2 How to search for a provider( Document Search) To start the Document Search: • Click on the Document Search option on the menu list • The Document Search Screen is displayed. You can enter any combination of search criteria, including: • Document Name • UPIN, to search for a document for a specific provider. • Document Type and/or Document Status • (continued)

30. How to search for a provider (Document Search) (continued) How to upload documents 2 How to search for a Provider (Document Search) (continued) • To run a Document Search for another provider, you must know the provider’s UPIN. This can be obtained by running the Provider Search as described in the previous section. • In this example, a search for all SARs for a specific provider is being run. • When you have entered your search criteria: • Click on the Search button

31. How to search for a provider (Document Search) (continued) How to upload documents 2 How to search for a Provider (Document Search) (continued) • Our example search returned a list of all providers with SAR documents on Document Exchange. • To find the required provider, scroll down the list. • When the provider has been found : • Click the View complete document list for UPIN **** .

32. How to search for a provider (Document Search) (continued) How to upload documents 2 How to search for a Provider (Document Search) (continued) Just as with Provider Search, the Document List top screen is displayed with the selected provider identified. Now, by clicking on the Document List option from the menu, the selected provider’s documents are made available in a list form. From this list you can select, upload, view and download documents.

33. How to upload a document How to upload documents 2 The next few slides will work through the procedure for uploading documents. The example we will use is a provider uploading a Self-Assessment Report, however, the process is essentially the same for all document types.

34. How to upload documents 2 How to upload a document (continued) How to upload a document Following on from the previous section and with the Document List expanded for the selected provider, select the type of document to upload. By clicking any of these options you will see all documents of the selected type that are held in Document Exchange for the selected provider. For this example, we will use the Self Assessment Report (SAR). • Click on the SAR option on the menu

35. How to upload documents 2 How to upload a document (continued) How to upload a document (continued) When you select a document type that you are responsible for uploading, an Upload buttonwill be provided. See earlier slides in this section for Who can upload what document types. • Click on the Upload SAR button

36. How to upload documents 2 How to upload a document (continued) How to upload a document (continued) The Enter upload file details screen is displayed. From the Drop-down lists select: • Document Type • Year • Document Status

37. How to upload documents 2 How to upload a document (continued) How to upload a document (continued) • Select the file or files for uploading to Document Exchange: • Either type in the full path and filename or • Click on the Browse button and navigate to where the file(s) are stored. Select the required file(s). • In this example 2 files are being uploaded; a Self-Assessment Report (SAR) and a Quality Improvement Plan, both at Draft status. • Click on the Upload File button.

38. How to upload documents 2 How to upload a document (continued) How to upload a document (continued) A few moments after starting the Upload, the Document List screen will be re-presented listing the files which have just been uploaded. If the files do not appear on the list immediately after processing, click the Refresh button to update the screen. The delete icon which appears against each document allows you to delete the document from Document Exchange.

39. How to upload documents 2 How to upload a document (continued) • As the two documents were uploaded together, they are treated as a set belonging to the same SAR. • There are two action buttons that act on all documents in a set together: • The Upload icon Documents uploaded using this icon will become part of the set. • The Document StatusAdvance icon advances the status of the set of documents from Draft to Final. How to upload a document (continued)

40. How to upload documents 2 Before you change the status of a document from Draft to Final, it is important to be certain that you are ready to do so. To change the status to Final is to sign the SAR! A Final status SAR cannot be deleted by the provider. If a Final status SAR is found to need amendment (for example, by an inspector) the provider would need to ask the local LSC to request the LSC’s Business Support Unit to delete the SAR from Document Exchange. The provider could then amend its master copy and re-upload. The distinction between Draft and Final only applies to Self-Assessment Reports (SARs) uploaded by providers. Other document types are not held as Draft or Final. How to upload a document (continued)

41. How to upload documents 2 Bulk Upload of documents • The Bulk Upload facility allows the Inspectorates and the LSC to upload multiple files with respect to many providers in one upload. For example, Ofsted could upload CPRs for many colleges at the same time. • The next few slides will work through the procedure for uploading documents in bulk. NB. Please note that this facility is not intended for use by Providers.

42. Bulk upload of documents (continued) How to upload documents 2 A note about filenames and UPINs • The filenames of documents to be bulk uploaded MUST include the UPIN of the provider to which the file relates. For example: • 987654 Report for A College Somewhere.Pdf • This is necessary to enable Document Exchange to identify to which provider each file belongs. The Gateway will not accept files that do not include the UPIN. • Files uploaded by providers are exempt from this requirement because a provider can only upload documents that relate to their own organisation.

43. Bulk upload of documents (continued) How to upload documents 2 Bulk Upload of documents In this example, we will upload 3 Year Development Plans. • Click the Bulk Upload option on the menu. • The Bulk Upload opening screen is displayed. • Using the Drop-down lists, Select: • Document Type • The Year • Document Status • Note: “Active X” is required to carry out bulk uploads

44. Bulk upload of documents (continued) How to upload documents 2 Bulk upload of documents (continued) • To open the Add File Window: • Click on the Add Files button • Navigate to the appropriate folder. • Click on the file names to select. Hold down the Ctrl key on your keyboard when you click on the file names to select multiple files • Selected files will be highlighted in blue • Click on the Add button to put the files for Upload

45. Bulk upload of documents (continued) How to upload documents 2 Bulk upload of documents (continued) • The selected files are added to the file window. • To upload the documents to the Document Exchange document list: • Click on the Upload button.

46. Bulk upload of documents (continued) How to upload documents 2 Bulk upload of documents (continued) The system checks the filenames to match them with UPINs of providers known to the Provider Gateway. Filenames that match are uploaded and listed on the Document List. Note that the UPINs and names of providers in this example have been obscured for security purposes

47. How to upload documents 2 Hints and TipsZip up your files! • You can zip your files before uploading them. • Zipping files is a way to compress them. This reduces the file size, making them faster and easier to upload and download. • There are many industry-standard compression tools you can use. One of the most popular is WinZip®. For more information aboutWinZip®, go to their website at: • http://www.winzip.com

48. How to upload documents 2 Hints and TipsZip up your files! (continued) • An advantage of zipping your files is that you can group files together before uploading them. An entire SAR, CPR or PPR can be uploaded or downloaded as one zipped file containing all the files comprising it. • The Document List will be less cluttered, with just one zipped file for the entire document. • Signing a SAR is quicker and easier, as you only have to sign the zipped file. • Files zipped together must be at the same status. Don’t zip Draft and Final status files together!

49. How to upload documents 2 End of Section 2 How to upload documents

50. Section 3How to locate, read and download documents Overview This section explains how to read and download documents on Document Exchange. You can work through the section sequentially, or use the links in the panel to the left to go to specific topics. Links to topics • How to locate, read and download documents