Learner Handbook
Level 5 Diploma in
Leadership and Management
June 2015
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Contents
Welcome ................................................................................................................................................. 4
The Optima Partnership .......................................................................................................................... 4
Institute of Leadership and Management (ILM) ..................................................................................... 4
Programme entry requirements and enrolment .................................................................................... 5
Programme Overview ............................................................................................................................. 5
Aims and Objectives................................................................................................................................ 5
Programme Units .................................................................................................................................... 6
Assessment ............................................................................................................................................. 6
Unit and Assignment Content ................................................................................................................. 7
Learning Approach and Resources ....................................................................................................... 10
Recommended Reading List.................................................................................................................. 10
Policies and Procedures ........................................................................................................................ 10
Feedback on the quality of the learning experience ............................................................................ 10
Appendices............................................................................................................................................ 12
Appendix 1 – Assessment Criteria for assignments 1 - 7 ...................................................................... 12
Appendix 2 – Example Assessment Criteria .......................................................................................... 15
Appendix 3: Complaints and Appeals Policy ......................................................................................... 19
Appendix 4: Equal Opportunities Policy ............................................................................................... 21
Appendix 5: Customer Satisfaction Feedback ...................................................................................... 25
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Welcome
The Optima Partnership and course tutors would like to welcome learners to this Diploma
Programme in Leadership and Management designed to help those seeking personal and
professional development to achieve exceptional outcomes for their organisations and their
learners.
The Optima Partnership
We work with ambitious organisations and individuals who believe that their success ultimately
depends on the talent of their people or on the level and degree to which individuals apply themselves to their personal and professional development. We absolutely believe in the potential of
people and we are committed to helping organisations and individuals to succeed by developing
personal and professional capacity.
We bring a wealth of successful real world leadership and management practices, skills and
knowledge and combine it with rigorous academic standards and research to create compelling and
challenging development programmes focused on delivering successful outcomes for our learners
and their organisations.
All our partners selected to support learners during this programme have extensive Leadership and
Management experience with the education sector and the wider public service arena and have
experience that includes creation of post-graduate programmes, tutoring and lecturing, provision of
consultancy services. The principle tutors for this programme are:


Rupert Groves: Programme Director responsible for the overall management of the
programme.
o Rupert can be contacted on: 0845 5080890, or 07966453188,
rupert@optimacpd.co.uk
Mark Holbourn: Tutor and programme authority
o Mark can be contacted on: 05601 784263 or 07545 377245, mark@optimacpd.co.uk
Institute of Leadership and Management (ILM)
This programme is accredited by the Institute of Leadership and Management (ILM) which is the
UK's largest awarding organisation for qualifications in leadership, management, coaching and
enterprise. The ILM work with over 2,500 approved centres, including private training providers, and
further and higher education colleges. Around 92,000 learners register for ILM qualifications every
year, well over half of all UK qualification-based management training, at all levels. In addition, the
ILM is a professional body with over 30,000 practising managers as members.
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Programme entry requirements and enrolment
Learners will be admitted to the programme either;



By being nominated by their employing organisation
By self-nomination, or
By being offered a sponsored place by Optima Ltd or another organisation
The application form, duly completed and signed will be submitted to the programme director. Each
learner will receive an email welcoming them to the programme and a unique ILM learner reference
number will be allocated once registration is complete. Each learner, once in possession of their
unique learner number will be able to join the ILM as a learning member giving access to useful
development resources.
The programme induction forms an important part of the programme and will ensure that learners
understand the:
•
•
•
•
•
•
Aim and format of the programme
Assessment process and requirements
Resources and learner support
Expectations of, and benefits to, the individual and where relevant, their employer
Roles and responsibilities of centre staff, the learner and the ILM
Information on equal opportunities, appeals procedures, plagiarism, any special
considerations etc.
Programme Overview
This Diploma programme has been designed to conform to the assessment requirements of the
Institute of Leadership and Management (ILM) VRQ Level 5 Diploma in Leadership & Management
and will equip the learners with the knowledge, understanding and skills to deliver outstanding
Leadership and Management within work and life. The programme is constructed around a series of
face-to-face sessions that are linked with on-line units, including reading, exercises, tutorials and
discussions, which combine to provide the student with many opportunities to acquire and
demonstrate their learning within the context of their own organisations.
Aims and Objectives
The qualification aims to offer individuals the opportunity to explore Leadership and Management
on an academic and practical level and to gain knowledge, understanding and skills that will enable
the learner to operate confidently within leadership roles. On completion of this programme the
student will be able to:


Demonstrate knowledge, understanding and skills in delivering outstanding leadership and
management both in theory and in practical delivery terms
Take personal responsibility to successfully deliver personal and business work objectives
and contribute to the achievement of personal departmental and organisational goals
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
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Deliver professional presentations with confidence
Manage and deliver on projects to enhance business outcomes
Apply theoretical concepts and models of excellence to enhance relationships, lead and
manage people
Confidently communicate with a diverse range of internal and external customers to deliver
consistently outstanding service
Understand and manage all aspects of ‘change’ with the work and life
Plan and manage own continuous professional development.
Programme Units
The programme consists of 106 guided learning hours spread over seven mandatory units. The table
below demonstrates the course structure and the schedule of assignments with assessment criteria
will be issued at point of induction. Assessment criteria overview can be seen at appendix 1 below.
Day
Induction
Day 1
Date
Day 2
Day 3
Day 4
Day 5
Day 6
Post Course
Unit
8607-408
8607-521
8607-511
8607-404
8607-417
8607-520
8607-518
8607-518
Activity
Assignment Number
Introduction to the programme
Management Communication
#1
Managing CPD
#2
Managing Projects in the organisation
#6
Delegating Authority
#3
Managing and implement change in the workplace
#4
Assessing your own leadership capability and performance
#5
Making professional presentations
Project Presentation Delivery
#7
Transference of Learning Assignment
#8
Assignment
submission
date
N/A
In addition to the core guided learning hours the learner is expected to commit additional hours for
self-directed study and is required to complete the programme within a maximum of twelve months
from enrolment. However it is expected that learners will typically complete the course within an
academic year, beginning in September and finishing in July. A final post-course assignment invites
the learners to evidence continuing transference of learning into the workplace.
Assessment
To be awarded the VRQ Level 5 Diploma in Leadership and Management learners are required to
gain forty credits by scoring a minimum of 50% in each of the assessment criteria attached to each of
the assessed assignments in the seven units detailed above. All of the assessment criteria can be
viewed in the unit descriptor documents an example of which can be seen at Appendix two as well
as in the schedule of assignment which can be found in Appendix 3.
The credits gained during this programme may contribute toward other qualifications, courses and
programmes that use the vocational Qualifications and Credit Framework (QCF), for example the
VRQ qualifications offered by the ILM or City & Guilds. For further details of the QCF please refer to
the following website, www.ofqual.gov.uk or visit the ILM website (www.i-l-m.com)
The programme structure is set out in diagram 1 below which outlines how the units, assessments
and on-line modules fit together.
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Optima e-Learning System:
Assessments, Discussions, Video, Podcasts and Articles
Induction
2hr
Introduction
Preparation:
Reading,
Videos and
Assessments
Completion
Full Day Learning Sessions
1
2
3
4
5
6
Communication
& Managing
CPD
Managing
Projects &
Delegating
Manage &
Implement
Change
Assess own
Leadership
Capability &
Making
Professional
Presentations
Project
Presentation
Delivery
Evidence of
Transference
of Learning
Diploma
Assignments & Self-Directed Learning
Personal Coaching & Mentor Support
Programme Delivered Over 12 Month Period
Diagram 1: Programme Outline (VLE = Virtual Learning Environment, an on-line computerised system
to enable flexible distance learning activity) (Rupert – in absence of VLE should we remove brackets
Unit and Assignment Content
The following outlines the unit aims within the programme and assignment detail is referred to later
within the appendices.
Prior to day one of the programme learners will be invited to undertake the following to support
early programme group work;
A
B
C
D
1.
Complete the Optima 360o assessment
NB - Instructions will be emailed to the learner.
Complete the OPP MBTI inventory
NB - Instructions will be emailed to the learner.
Complete the Life Chapters
NB - Instructions will be emailed to the learner.
Complete the on-line Leadership questionnaire
NB - Instructions will be emailed to the learner.
8607-408 Management Communication: This unit enables learners to;
a. Understand the importance of effective communication in management
b. To be able to effective communication skills as a reflective manager.
Assignment 1 invites learners to produce a report to discuss: ‘Management Communication’
2.
8607-521 Managing own continuing professional development: This unit enables the
learner to:
a. Review personal and work-related development experiences, aims, objectives and
priorities
b. Undertake and evaluate planned development activities
c. Review and reflect on learning and its effect on workplace performance
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Assignment 2 invites learners to produce a report to discuss; ‘Managing my own continuing
professional development’
3.
8607-404 - Delegating authority in the workplace: This unit enables learners to:
a. Understand the benefits of delegation
b. Be able to learner effectively in the workplace
c. Be able to improve own ability to learner and empower others
Assignment 3 invites learners to produce a report to discuss; ‘Delegating authority in the workplace’
4.
8607-417 - Managing and implementing change in the workplace: This unit enables
learners to;
a. Understand the reasons for change in an organisation
b. Be able to manage and implement change in the workplace
Assignment 4 invites learners to produce a report to discuss; Managing and Implementing Change in
the Workplace
5.
8607-520 - Assessing Your Own Leadership Capability and Performance: This unit enables
learners to;
a. Understand leadership styles within an organisation
b. Be able to review effectiveness of own leadership capability and performance in meeting
organisational values and goals
c. Be able to adopt an effective leadership style to motivate staff to achieve organisational
values and goals.
Assignment 5 invites learners to produce a report to discuss; Assessing your own Leadership
Capability and Performance
6.
8607-511 - Managing projects in the organisation: This unit enables learners to;
a. To be able to manage a project in an organisation
b. To be able to evaluate own ability to manage a project
Assignment 6 invites learners to produce a report to discuss and describe;
a. Aim and key objectives of a project
b. Business drivers and justification
c. Project planning, including:
o Current status of key tasks, milestones
o Risks and mitigating action
o Resources and financial perspective
o Assessment of the current project status
N.B. Much of the work supporting the above assignment also informs the journey to achieving 8607518 below.
7.
8607-518 - Making professional presentations: The purpose of this unit is to develop
knowledge and understanding of making professional presentations as required by
practising or potential middle management. The unit enables learners to:
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a. Be able to plan a professional presentation
b. Be able to deliver a professional presentation
c. Be able to evaluate own ability to make professional presentations
Assignment 7 invites learners to create a 15 – 20 minute programme project presentation and be
prepared to answer questions for 10 minutes.
During the course of the year you will have been creating, evaluating, implementing and reviewing
your work-based projects. This element of your diploma programme is quite difficult for our external
verifiers to formally assess as the elements of evidence can be gathered from many parts of your
year-long programme. To this end please use the pro-forma evidence matrix produced for you in
your USB material to support your final submission of evidence in this unit. Your final presentation
will also have a short section subject of video recording, again, this supports our ability to furnish
evidence to our external verifier.
8.
A personal post-programme learning and development assessment: The purpose of this
final unit with assignment is to evidence continuing transference of learning into the
workplace. The unit includes a post programme 360 degree review.
Assignment 8 invites learners to produce a report entitled: “The Optima Genesis Diploma
Programme: A discussion of my development journey and the transference of learning into the
workplace”
The course typically is undertaken during the academic year from September through to July and the
following diagram provides an example of the activity during the year.
The full assignment questions together with the supporting assessment criteria are provided as part
of the student induction pack at the beginning of each programme, for an example of a unit
assessment criteria and indicative content please refer to appendix 2.
To ensure that each student fully understands the criteria the assessments are discussed during the
programme tutorials and additional one-to-one support is provided by the course tutors as required.
All assignments are to be submitted electronically no later than midnight on the date specified in the
published course assignments schedule unless otherwise agreed by a programme director. Finally, to
be accepted for assessment all submissions will be accompanied by a signed cover sheet and
statement of authenticity. The following 5 point quick checklist, included in the Optima assessment
policy which is made available to all learners sets out the basic assessment submission process:
1. Submit on time (check the course profile for date and time)
2. Sign, date and attach a current assignment & authenticity coversheet.
3. Submit to Optima via e-mail to rupert@optimacpd.co.uk (check course profile for any
special arrangements)
4. Keep copies of assignments, coversheets and proof of posting/submission etc.
5. Your assignments are your responsibility.
On completion of each assessment the student shall receive an assignment feedback form giving
detailed feedback and assignment results. If the student wishes to appeal against the grade they are
required to follow the process set out in the appeals policy in Appendix 3.
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Learning Approach and Resources
This programme adopts a range of learning approaches to ensure that the differing learning styles of
learners are addressed and to maximise the long term retention of the skills and knowledge acquired
during the programme. The methods used include;





Face-to-face lectures, discussions and exercises
On-line Virtual Learning Environment (VLE) which provides a range of materials and
learning experiences, including:
o Reading, videos and audio
o Tutorials, exercises and discussion threads
Self-directed learning through assessments, reading and reflective practice
One-to-one feedback on student progress
Formative and summative assessments including detailed developmental feedback
In addition to the resources and course materials provided all learners enrolled on this programme
qualify for free studying membership of the ILM for 12 months and access to a range of on-line
support materials and recommended texts. Learners can activate their ILM studying membership
online at www.i-l-m.com/activate
To complete each module learners are expected to undertake a minimum amount of hours of work
including lectures, study, assignments, on-line activities and work based exercises supported by
tutors. Detail will be provided at point of induction.
Recommended Reading List
All learners on this Diploma Programme will be provided with USB technology on which will be found
course reading material and many other resources. Reading lists will also be provided to support
wider and additional development opportunities. Materials will also be accessible by password
through the Optima website: www.optima.co.uk.
Policies and Procedures
The following list of policies and procedures will be available to all learners on request and will soon
be available for download from our website www.optimacpd.co.uk





Assignment assessment and notification of results
Appeals policy (see Appendix 4)
Equality & Diversity statement (see Appendix 5)
Health and Safety information
Data Protection information
Feedback on the quality of the learning experience
As part of the drive to continually improve the quality of programmes offered by Optima Ltd all
modules within this programme are subject to a quality assessment process which seeks feedback
on the quality, relevance and utility of the materials, learning approach and tutor staff from learners
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and sponsoring organisations. This feedback is then incorporated into the programme development
process. Please refer to Appendix 5: Customer Satisfaction Feedback Form for an example of how
the learner experience is captured.
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Appendices
Appendix 1 – Assessment Criteria for assignments 1 - 7
8607-408 - Management Communication
1.1
Explain the relevance of the communication cycle for effective communication in
management
1.2
Explain, with examples, the importance of selecting an appropriate tone, language, and level
of formality in management communications
1.3
Assess the effectiveness of a range of verbal and written communication methods within
your area of the organisation
2.1
Develop appropriate criteria to evaluate own ability to communicate effectively
Collect and analyse feedback on own verbal and written communication skills
2.2
Evaluate own communication skills as a manager, identifying strengths and areas for
improvement
2.3
8607-521 Managing own continuing professional development
1.1
1.2
2.1
2.2
2.3
2.4
3.1
3.2
4.1
Evaluate prior learning and work-related experience to identify personal strengths and
weaknesses in self-development
Assess personal development aims, objectives, and priorities for the long, medium and short
term
Evaluate development opportunities for the long, medium and short term
Justify undertaking planned personal development activities to employment and learning
supervisors
Negotiate and undertake planned and resourced development activities
Evaluate the effectiveness of the development activities in meeting personal aims, objectives,
and priorities
Critically review how learning and development has been applied in the workplace to
improve own or others’ performance
Review and revise short, medium and long-term goals based upon personal development
activities and their impact on the workplace
Use a learning log for the duration of the programme (template provided) containing the
thoughts and feelings gathered in the criteria in 1 – above. This in turn provides the evidence
that will support your assignment development.
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8607-404 - Delegating authority in the workplace
1.1
1.2
2.1
2.2
3.1
3.2
Evaluate the benefits of effective delegation
Explain how delegation can be used to empower others
Justify an appropriate process to follow when delegating work within your area of
responsibility
Allocate and monitor 2.2 work that you have learned within your own area of responsibility
Review how well you learned the task, based on the outcomes of the learned task and
feedback from others
Assess how you can improve your own ability to learn and empower others
8607-417 - Managing and implementing change in the workplace
1.1
1.2
2.1
2.2
2.3
Explain reasons why organisations continually need to change
Conduct an environmental and organisational analysis, to identify possible areas for change
in own organisation
Identify an opportunity for change, arising from an environmental and organisational analysis
Assess the benefits and risks of implementing the identified opportunity for change
Develop a change implementation plan including details of how you will monitor and review
the implementation of change.
8607-520 - Assessing Your Own Leadership Capability and Performance
1.1
1.2
2.1
2.2
2.3
3.1
3.2
Review the prevailing leadership styles in the organisation (16 marks)
Assess the impact of the prevailing leadership styles on the organisation’s values and
performance (16 marks)
Assess own ability to apply different leadership styles in a range of situations (12 marks)
Assess own ability to communicate the organisation’s values and goals to staff in own area
(12 marks)
Assess own ability to motivate others and build commitment to the organisations values and
goals (12 marks)
Justify the most effective leadership style to motivate staff in own area, to achieve the
organisation’s values and goals (20marks)
Implement the most effective leadership style in order to motivate staff in own area to
achieve the organisation’s values and goals (12 marks)
8607-511 - Managing projects in the organisation
1.1
1.2
1.3
1.4
2.1
Assess the usefulness of project management
tools and techniques for managing a project within own organisation
Plan the implementation of a project within own
organisation
Communicate the project plans with appropriate
colleagues and stakeholders, gaining agreement where necessary
Implement the project plan, monitoring progress against agreed targets
Use feedback from others to critically evaluate own ability to plan and implement a project,
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2.2
identifying strengths and weaknesses
Create a self-development plan to improve own performance in managing projects
8607-518 - Making professional presentations
1.1
1.2
1.3
1.4
1.5
2.1
2.2
3.1
3.2
3.3
Identify the aims and objectives of the presentation
Identify the intended audience for the presentation, assessing their level of understanding of
the presentation topic
Research, evaluate and select information on the presentation topic
Plan the content and structure of the presentation and prepare visual aids and any other
materials required for the presentation
Prepare the location and any equipment required for the presentation
Prepare the location and any equipment required for the presentation
Present your subject matter supported by facts at an appropriate level
Respond appropriately to questions from the audience
Use feedback from the audience to evaluate own ability to plan and structure a professional
presentation
Use feedback from the audience to evaluate own ability to deliver a professional
presentation
Implement improvements to own professional presentations
Assignment 8: “The Optima Genesis Diploma Programme: A discussion of my development journey
and the transference of learning into the workplace”
1.1
1.2
1.3
1.4
A demonstration of the depth of reflexivity
Assessment and evidence of your business performance
The degree to which the paper is succinct and well structured
The use of writing formats and styles, including the conventions of written English and
Harvard referencing
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Appendix 2 – Example Assessment Criteria
Title:
Assessing Your Own Leadership Capability and
Performance
Level:
5
Credit value:
6
Learning outcomes (the learner will)
Assessment criteria (the learner can)
1
1.1
Understand leadership styles within an
organisation
1.2
2
Be able to review effectiveness of own
leadership capability and performance
in meeting organisational values and
goals
2.1
2.2
Review the prevailing leadership styles
in the organisation
Assess the impact of the prevailing
leadership styles on the organisation’s
values and performance
Assess own ability to apply different
leadership styles in a range of
situations
Assess own ability to communicate the
organisation’s values and goals to staff
in own area
Assess own ability to motivate others
and build commitment to the
organisation’s values and goals
2.3
3
Be able to adopt an effective
leadership style to motivate staff to
achieve organisational values and
goals
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3.1
Justify the most effective leadership
style to motivate staff in own area, to
achieve the organisation’s values and
goals
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3.2
Implement the most effective
leadership style in order to motivate
staff in own area to achieve the
organisation’s values and goals
Additional information about the unit
Unit purpose and aim(s)
To develop understanding and ability to lead
teams to achieve organisational values and
goals as required by a practising or potential
middle manager.
Unit expiry date
31/03/2017
Details of the relationship between the unit
and relevant national occupational
standards or professional standards or
curricula (if appropriate)
Links to MSC 2004 NOS: A2, A3
Assessment requirements or guidance
specified by a sector or regulatory body (if
appropriate)
Support for the unit from a sector skills
council or other appropriate body (if
required)
Management Standards Centre (MSC)
Location of the unit within the
subject/sector classification system
Business Management
Name of the organisation submitting the
unit
Institute of Leadership & Management
Availability for use
Private
Units available from
01/01/2008
Unit guided learning hours
15
Additional Guidance about the Unit
Indicative Content:
1


A range of leadership theories and different leadership styles, such as:
 the trait approach to leadership
 the behavioural school (McGregor, Blake and Mouton)
 the contingency or situational school (Fielder, Hersey-Blanchard, Tannenbaum
and Schmidt, Adair)
 leaders and followers (Servant Leadership, Team Leadership, Transactional
and Transformational)
 dispersed leadership
The key responsibilities of the leadership role in terms of:
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


2







3





 taking responsibility
 contributing to overall vision and goals
 setting and providing guidance on values
 setting direction for significant programmes or projects
 stimulating innovation and enterprise
 anticipating, planning for and leading change
 overcoming obstacles
 delegating
 setting objectives for teams and individuals
 communicating and motivating
 supporting and developing programmes, projects, teams and individuals
 modelling appropriate behaviour
 representing the team and feeding back its experiences and views
 protecting the team and its members
Assessing the impact of different leadership styles
Organisational values and acceptable standards of behaviour in the organisation
Organisational values and organisational purpose, vision and mission
Theories and principles of delegating responsibility and empowering others
The critical importance of the leader gaining the motivation and commitment of
others
Critiques of the main theories of motivation, such as:
 Maslow’s Hierarchy
 McGregor’s Theory X and Theory Y
 Herzberg’s Two Factor Theory
 Vroom’s Expectancy Theory
 McClelland’s 3-Needs Theory
Motivational factors that are available to the leader (e.g. safety and security, sense
of belonging and common purpose, respect, recognition of achievement,
empowerment and self-actualisation, sense of fulfilment, personal and professional
development, material rewards, sanctions, job roles and employment conditions)
How to evaluate motivational factors and select those that are appropriate to
different situations and people
Effective communication of values and goals
Leadership to support the achievement of the organisation’s goals by encouraging
common and acceptable norms of organisational behaviour
The concept of emotional intelligence as developed by different theorists and how it
applies to the leadership role
The importance of understanding one’s own strengths and limitations
Using and interpreting different techniques to identify their own characteristics,
strengths and limitations
The importance of continuous self-development and how to identify opportunities to
develop oneself in the leadership role
The importance of leaders:
 displaying confidence and self-assurance by playing to own strengths and
showing a readiness to take calculated risks
 being socially aware (empathy, organisational and ‘political’ awareness, service
to others)
 managing relationships (inspiring, influencing, networking, conflict
management)
 displaying self-leadership (controlling own emotions, particularly when under
stress, being open and honest with others, showing integrity and trust
worthiness, being flexible, setting challenging but realistic objectives for
themselves and others, taking personal responsibility for significant challenges,
seeing setbacks as opportunities rather than threats)
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






communicating overall vision and goals and how to win and maintain the
commitment of teams and individuals to these
Effective techniques for communicating, persuading and negotiating both directly
and indirectly with teams and individuals
How to select communication, persuasion and negotiation skills appropriate to
different situations and people
The importance of being able to use a repertoire of leadership styles in different
situations and with different people
How to develop vision and goals for significant projects or programmes of work
The importance of being aware of and analysing the internal and external
environments in which the leader operates
The leader’s role in supporting and mentoring team members
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Appendix 3: Complaints and Appeals Policy
Policy statement
Optima Ltd is committed to a policy of treating all its learners with fairness and in the spirit of
equality of opportunity.
Optima will ensure that all learners are fully informed in writing from the outset of any programme
regarding;
•
•
•
•
•
•
•
Content and format of the programme
Delivery methods
The system of assessment, including feedback arrangements
The assessment criteria
Available support, special conditions and reasonable adjustments
The Centre internal appeals procedure
Ilm involvement in appeals procedures
The Internal Procedure
•
•
•
•
•
•
•
A programme learner may at any time lodge an appeal against any assessed finding within the
programme.
An appeal in the first instant will be communicated in writing (e-mail record) to the centre
Managing Partner, specifying learner detail including candidate number, and the nature of the
appeal.
The Centre Managing Partner will within 24hrs acknowledge the appeal and will investigate the
appeal, responding within 7 working days of the acknowledgement.
No appeal against a decision will be entertained unless lodged within 30 days of the publication
of the result subject of the appeal.
Where the result of an appeal is likely not to be in the interests of the appellant, the Centre
Managing Partner will engage the independent view of an external enquiry officer to
independently assess and report on the appeal.
Where the outcome of an appeal is likely not to be in the interests of the appellant that person
may be invited to attend a personal interview with the centre Managing Partner and may bring
with them a nominated ‘friend’ to support them in their appeal.
Final outcomes will be reported in writing. All written outcomes will be maintained within the
centre for a period of two years.
Escalation to ILM
If a learner, their representative or their sponsor is still dissatisfied with something in the centre’s
delivery or assessment of ILM programmes, the Institute of Leadership and Management (ilm) will
consider it – but only when the Centre’s internal appeal procedure has been exhausted.
That said, the ilm will not investigate anything:
•
•
•
•
•
Submitted to us more than 30 working days after the date on which the centre notified the
learner of the result of their internal procedure
That took place before ILM received the learner’s registration
That is or should be dealt with under an employer’s disciplinary or grievance procedures
Involving another awarding organisation
Involving points of law.
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What the ilm will do step by step
•
•
If a learner and/or sponsor is still dissatisfied, the Centre’s internal procedure has been
exhausted and it is not an excluded issue, they can refer the matter to ILM who do not charge
for their involvement.
The appellant must send the full details of the action they are dissatisfied with, with their name
and address, Centre details and copies of any relevant evidence, in writing to the Head of Quality
& Administration at ILM, 1 Giltspur Street, London EC1A 9DD
When the ilm receive the appeal or complaint they will:
•
•
•
•
acknowledge receipt in writing to the Centre and to the appellant within five working days
check that the learner was registered with ILM at the time of the disputed action or failure to act
check that the Centre’s internal appeals procedure has been exhausted
request a copy of the Centre’s full file on the appeal, to be sent to ILM within 10 working days.
During this time the Head of Quality & Administration nominates an appropriate member of ILM
staff as an adjudicator to review the appeal or complaint. Where necessary that adjudicator:
•
•
can get technical advice from a Quality/Business Manager and/or External Verifier/Quality
Consultant who is not attached to the Centre that’s involved
may decide to ask for extra evidence from anyone associated with the appeal.
Within 30 working days of us receiving the appeals file (or extra evidence, if that was later), the Head
of Quality & Administration will write to the appellant and the Centre with the outcome of their
investigation. If they consider the appeal or complaint is justified, the notification sets out any
remedial action.
Policy Date: 18th October 2015
Reviewed: October 2016
Next Review: October 2016
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Appendix 4: Equal Opportunities Policy
Policy statement
Optima Ltd is an equal opportunity employer and is committed to a policy of treating all its
employees and job applicants equally. Optima will avoid unlawful discrimination in all aspects of
employment including recruitment, promotion, opportunities for training, pay and benefits,
discipline and selection for redundancy.
It is the policy of Optima to take all reasonable steps to employ and promote employees on the basis
of their abilities and qualifications without regard to race, colour, ethnic origin, nationality, national
origin, religion or belief, sex, sexual orientation, gender reassignment, age, marital or civil
partnership status and/or disability. Optima will appoint, train, develop and promote on the basis of
merit and ability alone.
Employees have a duty to co-operate with Optima to ensure that this policy is effective to ensure
equal opportunities and to prevent discrimination. Action under Optima’s disciplinary procedure
will be taken against any employee who is found to have committed an act of improper or unlawful
discrimination. Serious breaches of the equal opportunities policy will be treated as potential gross
misconduct and could render the employee liable to summary dismissal. Employees should also
bear in mind that they can be held personally liable for any act of unlawful discrimination.
Employees must not harass, bully or intimidate other employees on the grounds of race, colour,
ethnic origin, nationality, national origin, religion or belief, sex, sexual orientation, gender
reassignment, age, marital or civil partnership status or disability. Such behaviour will be treated as
potential gross misconduct under Optima’s disciplinary procedure. Employees who commit serious
acts of harassment may also be guilty of a criminal offence. Optima has a separate anti-harassment
policy which deals with these issues and sets out how complaints of this type will be dealt with.
Employees should draw the attention of their line manager to suspected discriminatory acts or
practices. Employees must not victimise or retaliate against an employee who has made allegations
or complaints of discrimination or who has provided information about such discrimination. Such
behaviour will be treated as potential gross misconduct under Optima’s disciplinary procedure.
Employees should support colleagues who suffer such treatment and are making a complaint.
Sources of recruitment
The recruitment process will be conducted in such a way as to result in the selection of the most
suitable person for the job in respect of abilities and qualifications. Optima is committed to applying
its equal opportunities policy at all stages of recruitment and selection.
Advertisements
Recruitment publicity must positively encourage applications from all suitably qualified people.
When advertising job vacancies, in order to attract applications from all sections of the community,
Optima will, as far as reasonably practicable:
1.
Ensure advertisements are not confined to those areas or publications which would exclude
or disproportionately reduce the numbers of applicants of a particular gender, sexual orientation,
age, religion or racial group;
2.
Avoid prescribing any unnecessary requirements which would exclude a higher proportion of
a particular gender, sexual orientation, age, religion or racial group or which would exclude disabled
job applicants;
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3.
Avoid prescribing any requirements as to marital or civil partnership status;
4.
Where vacancies may be filled by promotion or transfer, they will be published to all eligible
employees in such a way that they do not restrict applications from employees of any particular
gender, sexual orientation, age, religion or racial group or from employees with a disability.
Selection methods
The selection process will be carried out consistently for all jobs at all levels. Optima will ensure that
this equal opportunities policy is available to all staff and in particular is given to all staff with
responsibility for recruitment, selection and promotion.
The selection of new staff will be based on the job requirements and the individual's suitability and
ability to do, or to train for, the job in question. Person specifications and job descriptions will be
limited to those requirements that are necessary for the effective performance of the job.
Candidates for employment or promotion will be assessed objectively against the requirements for
the job. With disabled job applicants, Optima will have regard to its duty to make reasonable
adjustments to work provisions, criteria or practices or to work premises in order to ensure that the
disabled person is not placed at a substantial disadvantage in comparison with persons who are not
disabled.
Selection tests
Any selection tests which are used will be limited to questions relating to the particular job and/or
career requirements. The tests will measure the individual's actual or inherent ability to do or to
train for the work or career. Thus, questions or exercises on matters which may be unfamiliar to
applicants of a particular gender, sexual orientation, age, religion or racial group will not be included
in the tests if they are unrelated to the requirements of the particular job. The tests which are used
will be reviewed from time to time in order to ensure that they remain relevant and free from any
unjustifiable bias, either in content or in scoring mechanism.
Applications and interviewing
All applications will be processed in the same way. The staff responsible for short-listing,
interviewing and selecting candidates will be clearly informed of the selection criteria and of the
need for their consistent application.
Wherever possible, all applicants will be interviewed by at least two people. All questions that are
put to the applicants will relate to the requirements of the job.
If it is necessary to assess whether personal circumstances will affect the performance of the job (for
example, if the job involves unsociable hours or extensive travel), this will be discussed objectively,
without detailed questions based on assumptions about race, colour, ethnic origin, nationality,
national origin, religion or belief, sex, sexual orientation, gender reassignment, age, marital or civil
partnership status, disability, children and/or domestic obligations.
Training, transfer and promotion
Optima will take such measures as may be necessary to ensure the proper training, supervision and
instruction for all line managers in order to familiarise them with Optima's policy on equal
opportunities, and in order to help them identify discriminatory acts or practices and to ensure that
they promote equal opportunity within the departments for which they are responsible. The
training will also enable line managers to deal more effectively with complaints of bullying and
harassment.
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All persons responsible for selecting new employees, employees for training, or for transfer to other
jobs, will be instructed not to discriminate on grounds of race, colour, ethnic origin, nationality,
national origin, religion or belief, sex, sexual orientation, gender reassignment, age, marital or civil
partnership status and disability.
Optima will also provide training to all employees to help them understand their rights and
responsibilities under the anti-harassment policy and what they can do to create a work
environment that is free of bullying and harassment.
Where a promotional system is in operation, the assessment criteria will be examined to ensure that
they are not discriminatory. The promotional system will be checked from time to time in order to
assess how it is working in practice. When a group of workers predominantly of one race, religion,
sex, sexual orientation or age group or a worker with a disability appears to be excluded from access
to promotion, transfer and training and to other benefits, the promotional system will be reviewed
to ensure there is no unlawful discrimination.
Terms of employment, benefits, facilities and services
All terms of employment, benefits, facilities and service will be reviewed from time to time, in order
to ensure that there is no unlawful discrimination on the grounds of race, colour, ethnic origin,
nationality, national origin, religion or belief, sex, sexual orientation, gender reassignment, age,
marital or civil partnership status or disability.
Equal pay
Optima is committed to equal pay in employment. It believes its male and female employees should
receive equal pay for like work, work rated as equivalent or work of equal value. In order to achieve
this, Optima will endeavour to maintain a pay system that is transparent, free from bias and based
on objective criteria.
Grievances and complaints
All allegations of discrimination will be dealt with seriously, confidentially and speedily. Optima will
not ignore or treat lightly grievances or complaints about unlawful discrimination from members of a
particular race, colour, ethnic origin, nationality, national origin, religion or belief, sex, sexual
orientation or age or from employees who have undergone gender reassignment, are married, have
entered into a civil partnership or have a disability. Such complaints should be raised promptly
under the terms of Optima’s grievance procedure. If the complaint involves bullying or harassment,
the grievance procedure is modified as set out in the anti-harassment policy.
Employees will not be penalised for raising a grievance, even if it is not upheld, unless the complaint
was both untrue and made in bad faith.
Monitoring equal opportunity
Optima will regularly monitor the effects of selection decisions and personnel practices and
procedures in order to assess whether equal opportunity is being achieved. This will also involve
considering any possible indirectly discriminatory effects of its standard working practices. If
changes are required, Optima will implement them. Optima will also make reasonable adjustments
to its standard working practices to overcome barriers caused by disability.
Reasonable adjustments or special consideration
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Our aim is to provide the same access to assessment for all learners, including those who need
reasonable adjustments or special considerations; therefore we will take a positive approach to
flexible and responsive assessment strategies and methods.
Whilst we do not attempt to define what merits reasonable adjustment or special consideration we
acknowledge that some learners may need help because, for example, they’re hearing or visually
impaired, or in hospital and in need of special arrangements for their assessment. Some may merit
extra time on an assessment because of learning difficulties. Others may have practical difficulties, –
for instance someone who doesn’t currently have the necessary level of responsibility may find it
hard to evidence management or leadership skills, and anyone not in paid employment could
certainly have a problem.
In the case of such learners the Optima Partnership undertakes to ensure that approval is applied for
and achieved in order to ensure access to learning and development through appropriate and
agreed adjustments and considerations. All such agreements will be recorded and maintained in
writing. Application will be in the form set out below;
Application for reasonable adjustments or special consideration
Name of Centre
Centre Number
Telephone Number
Centre Contact
Name of Candidate for whom these adjustments are
requested(
Please use a separate form for each learner)
Candidate Registration Number
Qualification
Assessment
Component
(e.g.
Work
based
Assignment, etc)
Reason for application: (Please include full details,
including medical evidence if relevant, and state
whether the reason is temporary or permanent)
Proposals for reasonable adjustments or special
considerations: (Include details of the amount of
additional time, any special equipment, personal
support or any other proposals)
Signed (for the centre)
Date
Return to: Assessment & Qualifications Executive, ILM, 1 Giltspur Street, London EC1A 9DD
FOR ILM USE ONLY (Tick the appropriate box, and provide full details in a letter to the centre of
agreed adjustments where these differ from the centre’s proposals as above. This form to be
retained in ILM London Office, with a copy sent to the centre, the ILM External Assessor where
applicable, and the External Verifier, together with a copy of the letter setting out alternatives,
where this is required.)
ILM accepts the centre’s proposals as noted above. ILM will allow the alternative adjustments as set
out in the attached letter
Signed (for ILM)
Date
Role
Policy Date:
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Appendix 5: Customer Satisfaction Feedback
The Optima – Feedback Request.
It is very important to us that we continuously monitor and improve the quality of the programmes
we offer. Your feedback is important to this process. Please would you spend a few moments
completing this form and then return it to the programme facilitator, thank you.
Programme Title:
Date:
Location:
Tutor:
For each question please give a rating to indicate the extent to which you were satisfied with the
programme, (1 = highly dissatisfied, 6 = highly satisfied), explaining why where appropriate.
1. Please indicate your overall satisfaction with the programme or this part of the programme:
highly
highly satisfied
1
2
3
4
5
6
dissatisfied
Why? ____________________________________________________________________
2. Please indicate the extent to which the objectives for the session were met:
highly
dissatisfied
1
2
3
4
5
6
highly satisfied
Why? ____________________________________________________________________
3. Please indicate the extent to which the subject matter of the session was appropriate:
highly
dissatisfied
1
2
3
4
5
6
highly satisfied
Why? _____________________________________________________________________
4. Please indicate the extent to which you found the depth and pace of the session appropriate:
highly
dissatisfied
1
2
3
4
5
6
highly satisfied
Why? _____________________________________________________________________
5. Please indicate the extent to which balance between theory and practice was appropriate:
highly
dissatisfied
1
2
3
4
5
6
highly satisfied
Why? _____________________________________________________________________
Continue Overleaf….
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6. Please indicate the extent to which the length of the programme was appropriate:
highly
dissatisfied
1
2
3
4
5
6
highly satisfied
Why? _____________________________________________________________________
7. Please indicate the extent to which the tutor/facilitator was effective:
highly
dissatisfied
1
2
3
4
5
6
highly satisfied
Why? ________________________________________________________________
8. Please indicate the extent to which the quality of the programme material was satisfactory:
highly
dissatisfied
1
2
3
4
5
6
highly satisfied
Why? _____________________________________________________________________
9. Please indicate the extent to which the course administration was timely and accurate in meeting
the individual/team/organisational needs:
highly
dissatisfied
1
2
3
4
5
6
highly satisfied
Why? _____________________________________________________________________
Additional Comments and Suggestions:
____________________________________________________________________
_____________________________________________________________________
____________________________________________________________________
_____________________________________________________________________
Thank you for your contribution.
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