Funding Options & Compliance for Apprenticeships

Funding options available for
apprenticeships

Funding options available – Levy payers
• Levy is an amount paid at a rate of 0.5% of an employer’s annual
pay bill
• As an employer you have to pay levy each month if you have an
annual pay bill of more than £3 million
• You still need to pay the Levy even if you contribute to industry-
wide training levy (i.e. CITB)
• Tools are available online to work out how much you @.gov.uk
• Levy payers contributed to 67% of starts in 22/23
• Records must be kept for 3 years
© Pathway Group | E & OE

Funding options available – Non-Levy
• You pay 5% towards the cost of training
• Government pays 95% up to the maximum funding bands, also
known as ‘Co-investment’
• Facility to reserve funding for 3 months prior to the apprentice
starting
• Levy paying employers who have an underspend can transfer
funds.
You will need to set up an Apprenticeship Service Account(ASA)

Benefits of the Apprenticeship Service
Account (ASA)
• Access and manage apprenticeship funding
• Receive a transfer of apprenticeship funds where eligible
• Advertise vacancies on ’Find an apprenticeship’
• Choose a course and find a provider
• Select suitable end-point assessment organisations
• Give feedback on apprenticeship training
• Give training providers permission to carry out some tasks on
your behalf

Eligibility
Be over the age of 16 Live in England
Not be in full-time
education
A job that is new or
existing and requires
significant new
knowledge and skills
Work alongside
experienced staff
Get time for training and
study related to your
role (at least 20% of your
normal working hours)

Higher and Degree apprenticeships
• Levels 4 to 7 are higher level apprenticeships
• Level 6and 7 degree apprenticeships are equivalent to a full
bachelor’s and Master’s
• Currently 87 universities in the UK supporting the delivery of
degree apprenticeships
• Degree apprenticeships take between 3 to 6 years to complete

At a glance

Let's discuss…
So, given what you currently know what key considerations would
make?

Compliance requirements and
obligations

Compliance Requirements and Funding
Bodies
• Education and Skills Funding Agency (ESFA)
• Institute for Apprenticeships & Technical Education (IfATE)
• Office for Standards in Education, Children’s Services and Skills
(Ofsted)
• Office of Qualification and Examination's Regulation (Ofqual)
• Office for Students (OfS)

Office for Students
• April 2021 Ofsted became responsible for the inspection of
apprenticeship provision at all levels
• Ofsted report all judgements to the ESFA and OfS
• OfS is responsible for the external quality assurance of OfS
registered providers that deliver integrated higher and degree
apprenticeships
• Ofqual are responsible for the external quality assurance of the
majority of non-integrated apprenticeships at Levels 2 to 7

Accountability Framework
Outcomes from
Ofsted
Inspections
Apprenticeship
Achievement
Rates
Apprenticeship
retention Rate
Employer
Feedback
Apprentice
Feedback
Data – Learner
numbers
Off-the-Job-
Training
Withdrawals
Break In
Learning
Apprentices
Past Planned
End Date
End-point
Assessment
Organisations

Types of Providers

What does it mean for providers
• Ensure you have clear rationale for the delivery and are approved
on the Apprenticeship Provider and Assessment Register (APAR)
• Have Governance and Safeguarding in place
• Make sure the Education Inspection Framework is adhered too
(Ofsted)
• Build and maintain strong relationships with employers
• Have clear quality assurance policies and practices in place plus
a Quality Improvement Plan
• Have qualified staff
• Contracts in place for EPOAs and Awarding bodies

Obligations to consider – Safeguarding
• Safeguarding aims to promote the welfare of apprentices by
putting measures in place to prevent and protect them from
harm
• Its everyone's responsibility for creating a safe learning
environment
• Create a open and supportive culture to ‘Speak out’
• All provider must have a ‘Designated Safeguarding Lead’
• All providers must have clear policies and procedures on
safeguarding and how to raising a concern
This is not only best practice but subject to Ofsted

Obligations to consider – Prevent
• The prevent duty is a duty in the Counter-Terrorism and Security
Act 2015
• The Act placed statutory duty on certain bodies, in the exercise of
their functions to have ‘due regard to prevent people from being
drawn into terrorism’. This became known as the ‘Prevent Duty’
• At the heart of ‘Prevent’ is the safeguarding of individuals,
providing early intervention to protect and divert people away
from the risk of radicalisation and from being drawn into terrorist
activity

Obligations to consider – Equality & Diversity
• E&D is covered throughout and apprenticeship programme
• An understanding and awareness of protected characteristics
• Zero tolerance to any form of bullying, discrimination or
harassment
• Supports the development of behaviours as part of an
apprentices KSBs
• Links to Fundamental British Values and life in todays modern
society

Obligations to consider – GDPR
• Providers will have a GDPR and Data Protection Policy
• All providers will have a ‘data processor’ or will be a ‘data
controller’
• All personal data must be protected as per the strategy guidance
• Fines are in place by the UK Information Commissioners office for
breaches in data protection
• The public has a right for copies of their data via a subject
request form
• Providers should only request and maintain relevant and
purposeful information

Compliance is key, Compliance checks before
starting the programme to day 1
Right to work in England
Job with contract of
employment
Minimum duration of
practical period of 12
months
Need of at least 6 hours a
week off the job training
across the practical
period (Excl statutory
leave)
All apprenticeship activity
in paid time
Lawful wage
Canny start until last
Friday of academic year
they turn 16
Signed Apprenticeship
Agreement (Apprentice,
Employer)
Signed Training Plan
(Apprentice, Employer &
Learning Provider)
At least 50% of time in
England

Overview of an apprentice file
• Initial assessments and a clear starting point – Skills Scan
• Start and end dates for practical period
• End Point Assessment identified and timeline
• Active learning every month
• Signed and dated tripartite reviews
• Active and up to date training plan- progress
• Gateway declarations
• Achievement certificates

Reporting and Auditing – ESFA
• Expertise to fully understand the ESFA Apprenticeship funding
rules
• Have all paperwork in place and ensure its compliant
• Monthly uploads to the ESFA providing ILR data
• Year end reconciliation and R14 hard close
• Monitoring the Accountability Framework
• Financial and error reporting checks to be completed monthly
and quarterly (FRM reports)
• Consider seeking confirmation from external company for
support

Let’s talk
Quality Cycles
Observations of
delivery and sales
Checking the quality
of learners work and
tutor feedback
IQA
EQA
Standardisations
Review of policies
and procedures
Speaking to learners
and employers
Review of learner
and employer
feedback
Monitoring and
scrutiny of
Achievement Rates
Review of Curriculum
and resources

What is Internal Quality Assurance (IQA)
• The Internal Quality Assurance (IQA) process is a crucial part of
maintaining high standards in teaching, learning, and
assessment. Its purpose (or role) is to:
• Be consistent, safe and fair
• Designed to monitor the learner journey
• To support, coach and train staff
• Provide an impartial review of teaching learning and assessment practices
• Lead on standardisation meeting
• Carry out observations of Teaching Learning and Deep-dives
• Monitor qualifications updates/changes
• Prepare and manage the External Quality Assurance process

What is External Quality Assurance (EQA)
• External quality assurance (EQA) seeks to ensure that assessment and internal
quality assurance activities (IQA) have been conducted in a consistent, safe
and fair manner.
• The process must take place by an Awarding Organisation
• EQA will be responsible for awarding Direct Claims Status (DCS) to providers
• EQA’s or Awarding Organisations also provide training and resources to
providers
• Providers can be sanctioned if they fail to follow process or provide poor
quality files for review

End Point Assessment Organisations
• They are:
• third party impartial assessment organisations
• Independently assess the knowledge, skills and behaviours of apprentices
at the end of the apprenticeship
• Accountable to Ofqual and OfS

Let's discuss…
Has anyone taken part in an Ofsted Inspection?

Exploring the role of Ofsted Inspections
Ofsted aims to improve lives by raising standards in education and
children’s social care. Ofsted inspect and regulate thousands of
organisations and individuals providing education, training and
care – from childminders to training providers, schools to local
authorities – and share what they find.
Ofsted report directly to Parliament, parents, carers and
commissioners.

Ofsted Values and Responsibilities
3 Pillars of Responsibility
Inspecting Regulating Reporting
‘We put children and learners first, and we are
independent, evidence-led, accountable and
transparent.’

How does it work for Apprenticeships?
• All providers must follow the Education Inspection Framework
• New providers normally get a monitoring visit within 18 months
• Monitoring visits are not graded
• Full inspections are normally within 18 months of the publication
of the monitoring visit. Inspectors will grade 4 areas.

Ofsted Preparation
• Creation of Self Assessment Report (SAR)
• Quality Improvement Plan (QIP)
• Safeguarding is effective
• Good fit for purpose curriculum
• Internally have an Ofsted Readiness Plan
• Seek external support
• Weekly calls to action against the plan
• Know your data including outcomes and progressions

Process
• You will be given 2 days notice of an inspection
• Copy of your Self Assessment Report (SAR)
• Quality Improvement Plan (QIP)
• Ensure you have a readiness plan (and been working on it)
• Your nominee is ready
• Have designated personnel responsible for each area
• Make sure data is accurate and up to date
• Brief staff, learners, employers and stakeholders
• Have your opening presentation ready
• Know your provision
• Be prepared for feedback and challenge where appropriate

What’s inspected?
Quality of
education
and training
Leadership
and
management
Behaviour
and attitudes
Personal
development
Safeguarding
will be
effective or
ineffective

Ofsted Grading
Outstanding Good
Requires
improvement
Inadequate

Let's discuss…
Let's discuss the implications/impact of an inspection

Funding Options & Compliance for Apprenticeships

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