What can be funded?

What you can pay for with apprenticeship funds. Includes English and maths training, support for care leavers and end-point assessments.

Eligible costs

New for 1 August 2022:

We have removed the reference to the Hub.

• E87.1 - New rule: We have added initial assessment as an eligible cost.

• E87.2 - Clarification: We have added what we mean by off-the-job training costs (some text taken from the eligible costs consultation document). In relation to the costs of an employer supporting or mentoring an apprentice we have been clear that activity must be required by the standard and part of the agreed training plan. An employer can only receive funding for this activity if they are a supporting provider or an employer-provider(i.e. on ROATP).

• Update - We have deleted the terminology of a licence to practise. For funding purposes a qualification will either be a mandatory qualification or a non-mandatory qualification and we have explained, as part of the off-the-job training cost, how these will be funded.

• Restructure - We have moved the rule relating to self-directed distance learning to the off-the-job training section

• E87.3.2 - Clarification: We have named the only standard that eligible accommodation costs relate to.

• E87.4.2- New rule: We are limiting the costs associated with this area to one re-sit.

• E87.5- New sub-heading: We have changed the heading of ‘administration’ to ‘Programme governance, management and administration’ to reflect the feedback from the eligible costs review that the included activities are not necessarily carried out by administrative staff. We have added in examples of what can be included in this section. Updated for version 1.

• E88.1 - Clarification: We have clarified that estimate EPA costs must not be entered into the ILR (rule already in the EPA section).

• E88.2 – Clarification: We have clarified that the majority of training providers will operate on commercial terms and will expect to create a surplus (profit) which is a legitimate approach to take. Updated for version 1.

• E89 - Clarification: All changes to the total negotiated price must be agreed with you. By this we mean TNP1 or TNP2 (not just the total of the two fields together).

• E89 - New rule: We no longer require the actual delivery cost of the apprenticeship on the ILR and the apprenticeship service, where this figure is above the funding band. The price that your main provider enters into both the ILR and the apprenticeship service is the price that they are claiming from us (the maximum of the funding band minus the cost of any relevant RPL and any further discounts with the employer). They must enter the same price into the ILR and the apprenticeship service. They must make their own arrangements to collect any money due from you (the employer) if the actual value is above the funding band maximum.

E85

Apprentices can only be enrolled against an apprenticeship standard once it is identified as ‘approved for delivery’ on the Institute for Apprenticeships and Technical Education website.

• E85.1 New standards must have an EPAO in principle in place before public funding can be accessed for new apprentices.

• E85.2 The apprenticeship must be eligible to access public funds from your apprenticeship service account or government-employer co-investment before the individual starts.

E86

Funds from your apprenticeship service account or government-employer co-investment must only be used for eligible costs directly related to the individual apprenticeship.

• E86.1 These funds must only be used to pay for training and assessment, including end-point assessment, to complete an apprenticeship that is eligible for funding up to the limit of the funding band.

• E86.2 For organisations that have been accepted onto the Register of End-Point Assessment Organisations, eligible costs for end-point assessment are set out in the Conditions of Acceptance document.

  • E86.2.1 Your main provider must not include the direct costs of end-point assessment in the TNP1 field on the ILR.

E87

For main providers eligible costs for the delivery of training and on-programme assessment, are limited to the following:

• E87.1 Initial assessment

  • E87.1.1 Initial assessment to confirm learner and programme eligibility (see paragraphs E16 to E17).

  • E887.1.2 Administration related to the subsequent enrolment (onboarding) of the apprentice. This can include the collection of evidence to support the initial assessment, supporting you with your apprenticeship service account and to complete the apprenticeship agreement; and developing and agreeing the training plan with you and the apprentice.
    
    

• E87.2 Off-the-job training

  • E87.2.1 Off-the-job training that meets the definition in paragraphs E34 to E35, delivered through a main provider, a supporting provider, or an employer-provider (who must only claim actual costs). This can include:

  • Relevant tutor costs (i.e. salary, on-costs, travel and subsistence claims). By on-costs we mean employer pension contributions and national insurance. Travel and subsistence costs must directly relate to apprenticeship delivery.

  • Delivery location costs (i.e. room hire or a proportionate contribution to the necessary facilities and overheads), that enable the delivery of off-the-job training to take place.

  • Learning materials used in the delivery of the apprenticeship (e.g. printed, audio / visual and electronic / interactive materials), including any relevant software licences to access these materials where the licence cost is at apprentice level. Learning materials can be developed in-house or bought from a third party and can be refreshed periodically (e.g. to respond to revisions in the standard, learner and employer feedback).

  • Training associated with a mandatory qualification. Mandatory qualifications that comply with the mandatory qualifications policy will be fully funded; by this we mean we will fund the training content plus any peripheral costs such as registration, on-programme assessment, examination and certification (see paragraph E86.4.2).

  • Relevant training associated with a non-mandatory qualification. For a non-mandatory qualification we will only fund relevant training, where there is a clear overlap between the qualification and the knowledge, skills and behaviours needed for the apprenticeship; we will not fund training that is not relevant to the standard, or the registration, on-programme assessment, examination, or certification costs.

  • Costs of an employer supporting or mentoring an apprentice, where this is required by the standard and part of the agreed training plan; by this we mean the delivery of knowledge, skills and behaviours directly linked to the apprenticeship. The direct link must be documented as part of the off-the-job training evidence. The employer must be a supporting provider or an employer-provider who can receive apprenticeship funding (unless the exemption at paragraph E150.3 applies).

  • E87.2.2 Additional learning required to re-sit an exam linked to either a mandatory qualification or an end-point assessment.

  • E87.2.3 Costs of an apprentice taking part in any skills competition if you and the main provider have agreed that participation in the competition directly contributes to helping that individual achieve the apprenticeship.
    
    

• E87.3 Materials and consumables

  • E87.3.1 Physical materials (non-capital items) used in the delivery of the apprenticeship. By this we mean the equipment or supplies necessary to enable a particular learning activity to happen (e.g. perishable ingredients for a catering apprenticeship). These items would not normally have a lifespan beyond the individual apprenticeship being funded. Personal protective equipment that is exclusively used in the training environment can also be included.

  • E87.3.2 Accommodation costs for training delivered through residential modules where the residential training is a mandatory requirement for all apprentices. By mandatory we mean that there is a specific requirement written into the apprenticeship standard or the end-point assessment which would apply equally to any apprentice, regardless of their location, employer, or main provider (including subcontractors). (Note as at 1 August 2022 this cost relates only to the Level 5 Advanced Dairy Technologist standard).
    
    

• E87.4 Peripheral costs including assessment

  • E87.4.1 Progress reviews involving you, the main provider and the apprentice, to collectively discuss progress to date of the apprentice against the training plan and the immediate next steps required (see paragraphs E52 to E53).

  • E87.4.2 Peripheral costs associated with a mandatory qualification. These include registration, formative on-programme assessment costs, examination and certification costs, plus the cost of one re-sit (per mandatory qualification) where needed.
    
    

• E87.5 Programme governance, management and administration

  • E87.5.1 Programme governance, management and administration costs directly linked to training and assessment, including the end-point assessment. This can include for example:

  • The costs relating to lesson planning, quality assurance and the management of subcontractors.

  • Proportionate salary and on-costs of staff who are directly involved in the programme governance, management and administration of the apprenticeship programme.

  • Administration costs of arranging the end-point assessment.

  • The costs of collecting and reporting employer co-investment and the costs of using an apprenticeship software system to return management information (e.g. salary and on-costs of management information staff and the software licences to operate the MI system).

  • For the nursing associate apprenticeship only, the costs of hosting an external placement. Note that hosting fees are separate from the delivery costs of training and on-programme assessment during a placement (see paragraph E89.2).

E88

The costs of taking part in any of the above activities may be included in the total negotiated price of training and on-programme assessment agreed by you and the main provider (and entered by the main provider in field TNP1 on the ILR).

• E88.1 You and the end-point assessment organisation agree the price of the end-point assessment (which is entered by the main provider in field TNP2 on the ILR only when the actual cost is known; estimate costs must not be entered).

• E88.2 The majority of training providers will operate on commercial terms and will expect to create a surplus (profit); a surplus ensures the financial viability of a business and can provide funds to e.g. fund ineligible costs, improve facilities and services and remain competitive. This is a legitimate approach to take. Commercial training providers are able to make a surplus (profit) on eligible costs, except for:

  • E88.2.1 Items that are procured from external sources. For example, if £500 of materials are bought by a main provider to be used in the delivery of a programme (e.g. perishable ingredients for catering apprenticeships), additional profit must not be charged on the £500 price of these materials.

  • E88.2.2 Delivery that is procured from a supporting provider. Note that this only relates to the specific fees charged by that supporting provider; the main provider can still cover the costs of managing this subcontractor under the eligible cost of ‘Programme governance, management and administration’.

E89

When you agree a price with your main provider, their starting point must be no more than the maximum of the funding band for the standard.

• E89.1 If the price you agree with your main provider exceeds the maximum of the funding band, then you must agree off-line (outside of any information the main provider returns to us) how you will pay any difference to the provider. We do not need to know about the amount of this difference that you pay. VAT is applicable on this difference.

• E89.2 The price your main provider enters into our systems (the ILR and the apprenticeship service) must be the same.

• E89.3 The price your main provider enters into our systems (the ILR and apprenticeship service) is the maximum of the funding band, minus the costs of any relevant prior learning that you have agreed with them (see paragraphs E18 to E19). This new maximum funding amount becomes the starting point for any further negotiation on price with you. Additional discounts could be applied, for example, where the apprentice is part of a large cohort.

• E89.4 If either the TNP1 or the TNP2 price changes during the apprenticeship, the reason for this change must be documented by your main provider in the evidence pack. All price changes must be agreed by you.

E90

Any of the eligible costs outlined in paragraph E89 can be bought in from a third party, including the apprentice’s employer and we will fund them.

• E90.1 Where the third party is the apprentice’s employer then only actual costs will be funded and these must be recorded.

• E90.2 Where your main provider buys in the delivery of apprenticeship training and / or on-programme assessment from a third party (including you as the apprentice’s employer) this is subcontracting and they must follow the subcontracting rules in paragraphs E145 to E160.

• E90.3 Funds from an employer’s apprenticeship service account or government co-investment must not be used to fund other services (not listed above) from a third party.

Ineligible costs

New for 1 August 2022:

• E90 - New rule: We have restructured the section and added a number of new ineligible costs (for field TNP1) as a result of the eligible costs review – these costs did not previously appear in the funding rules. We have also tried to structure the ineligible costs, where possible, into provider costs and employer costs. Updated for version 1.

• E90.5 - New rule: To reflect that costs associated with any further detailed assessment for learning support are ineligible. Learning support payments are funded separately. New for version 1.

• E90.9 - Clarification: We have expanded on the financial inducement information and provided examples.

New for 30 September 2022 - version 2

• E90.2.2– Update: Personal protective clothing and safety equipment required by the apprentice to carry out their day-to-day work. (This was deleted in error from Version 1 but has appeared in previous version of the funding rules).

• E90.2.5 – Clarification: We have clarified that Apprenticeship training agency fees (as well as Flexi-job apprenticeship agency fees) are ineligible costs.

E91

For main providers and the delivery of training and on-programme assessment, ineligible costs include the following:

• E91.1 Specific services not related to the delivery and administration of the apprenticeship (typical ‘provider’ costs)

  • E91.1.1 Lead generation activities (learner and employer recruitment) including:

  • The costs associated with marketing and promotion activities;

  • The use of brokers, levy consultants, internal sales teams or external referral services to source employer or learner leads;

  • The costs of memberships or other costs paid to employers, or their representatives, associated with procurement registers or opportunities to secure business; or

  • First-contact activity / light touch pre-screening activity that may take place prior to a full initial assessment. Information, advice and guidance delivery to individuals not suitable for an apprenticeship.
    
    

  • E91.1.2 The recruitment (including DBS checks) and continuing professional development of training provider staff involved in apprenticeships.

  • E91.1.3 Development of original teaching materials related to the delivery of a new apprenticeship offer. By this we mean the first time a main provider chooses to deliver a new apprenticeship standard.

  • E91.1.4 Main provider (or subcontractor) induction activities, which may include outlining behaviour expectations and issuing the apprentice with any workbooks, contact details, logins and passwords.

  • E91.1.5 Student support services, graduation ceremonies and celebration events.

  • E91.1.6 Wider business costs (e.g. insurance, rent/rates, utilities, building maintenance, phone systems. Library service), and the cost of non-apprenticeship personnel (e.g. finance, HR, procurement) where these costs are not directly attributable to the apprenticeship programme.
    
    

• E91.2 Specific services not related to the delivery and administration of the apprenticeship (typical ‘employer’ costs)

  • E91.2.1 Employee expenses and benefits including:

  • Apprentice wages;

  • Travel and subsistence costs for apprentices under any circumstances (including travel to off-the-job training); or

  • All accommodation costs including outward bound activities and where the apprentice is resident away from their home base, because of the requirements of their day-to-day work or because this is convenient for the employer or main provider (or subcontractor).
    
    

  • E91.2.2 Personal protective clothing and safety equipment required by the apprentice to carry out their day-to-day work.

  • E91.2.3 The recruitment (including DBS checks) and continuing professional development of employer staff involved in apprenticeships.

  • E91.2.4 Employer induction activities for the apprentice.

  • E91.2.5 Apprenticeship training agency fees / Flexi-job apprenticeship agency fees.

  • E91.2.6 Student membership fees that are required by professional bodies, even where linked to a mandatory qualification.

  • E91.2.7 Any fees to awarding bodies for non-mandatory qualifications (qualifications that are not specifically listed in the standard). This includes registration, examination, certification and re-sit costs.

  • E91.2.8 Re-sit costs for a mandatory qualification, beyond the first re-sit (which is eligible)

  • E91.2.9 Any training, optional modules, educational trips, or trips to professional events in excess of those required to pass the end-point assessment and achieve the apprenticeship.

  • E91.2.10 Time spent by employees / managers supporting or mentoring apprentices, where this is not delivering training required as part of the apprenticeship (e.g. generic line management responsibilities).

  • E91.2.11 The creation of line manager resources.
    
    

• E91.3 End-point assessment costs incurred by the main provider, including invigilation.

  • E91.3.1 All costs related to the end-point assessment (except for the administration of arranging the assessment) must be included in the price negotiated between the employer and the end-point assessment organisation (TNP2 field on ILR) and not included in the cost of training (TNP1 field on ILR).
    
    

• E91.4 English and maths up to level 2

  • E91.4.1 English and maths qualifications; these are funded separately and must not be included in the TNP1 price.
    
    

• E91.5 Learning Support

  • E91.5.1 The costs associated with any further detailed assessment for learning support.

  • E91.5.2 Learning support payments; these are funded separately and must not be included in the TNP1 price.
    
    

• E91.6 Repeating the same regulated qualification where the apprentice has previously achieved it.

  • E91.6.1 Unless it is a requirement of the apprenticeship or for any GCSE where the apprentice has not achieved grade C, or 4, or higher.
    
    

• E91.7 Mock testing (relating to the end-point assessment) and exam revision (this activity does not meet the definition of off-the-job training e.g. the delivery of new and relevant skills).
  
  

• E91.8 Capital

  • E91.8.1 Capital purchases including lease agreements. Capital purchases are long-term assets that would have a lifespan beyond the apprenticeship being funded, such as land, buildings, machinery and ICT equipment (e.g. tablets and similar electronic devices and the purchase / set-up costs of an MI / e-portfolio system).

  • E91.8.2 Maintenance of capital purchases. This includes vehicle parts and labour, insurance and MOT.

  • E91.8.3 Depreciation
    
    

• E91.9 Financial inducements

  • E91.9.1 You must not seek or accept financial inducements in relation to the apprenticeship programme.
    

E92

The ineligible costs listed above must not be included in the price that is agreed between you and your main provider.

• E92.1 If the main provider chooses to use the profit (surplus) that they have legitimately earned from eligible costs, on any of these activities, they can choose to do so.

Additional payments

New for 1 August 2022:

We have removed the rules relating to incentive payments for hiring a new apprentice as these payments do not apply to starts from 1 August 2022. Where you have applied for incentive payments for hiring a new apprentice in respect of apprentices who started their apprenticeship on or before 31 March 2022, you must follow the funding rules that were applicable to that apprentice’s start date. These can be accessed on GOV.UK and include the requirements for the evidence you must hold to assure us that you are eligible for each incentive payment for hiring a new apprentice you receive.

E93

You and the main provider will receive a payment towards the additional cost associated with training if, at the start of the apprenticeship, the apprentice is:

• E93.1 Aged between 16 and 18 years old (or 15 years of age if the apprentice’s 16th birthday is between the last Friday of June and 31 August); or

• E93.2 Aged between 19 and 24 years old and has either an Education, Health and Care (EHC) plan provided by their local authority or has been in the care of their local authority as defined in paragraph E93.

E94

A child in care is defined as:

• E94.1 An eligible child - a young person who is 16 or 17 and who has been looked after by a UK local authority / health and social care trust for at least a period of 13 weeks since the age of 14 and who is still looked after;

• E94.2 A relevant child - a young person who is 16 or 17 who has left care within the UK after their 16th birthday and before leaving care was an eligible child; or

• E94.3 A former relevant child - a young person who is aged between 18 and 21 (up to their 25th birthday if they are in education or training) who, before turning 18, was either an eligible or a relevant child.

E95

To be eligible for these payments you must have evidence in respect of each apprentice before the apprenticeship starts. You must check this and either you or the apprentice must give the main provider evidence to keep in the evidence pack.

E96

Where these payments are for apprentices aged between 19 and 24 years old at the start of their apprenticeship (see paragraph E92.2), the main provider must include consent from the apprentice to inform you that they have an EHC plan or that they have been in the care of their local authority and either:

• E96.1 A signed email or letter from a local authority appointed Personal Advisor to confirm they are a care leaver; or

• E96.2 Evidence of an EHC plan.

E97

Your payments will be paid to the main provider as follows:

• E97.1 90 days after the apprentice starts, 50% will be paid if the apprentice is still undertaking their apprenticeship; and

• E97.2 365 days after the apprentice starts, the remaining 50% will be paid if the apprentice is still undertaking their apprenticeship.
  
  

Where there has been a change of employer, please refer to the Apprenticeships Technical Funding Guide as to how payments will be made.

E98

The main provider must pass these on in full to you within 30 working days of receiving this funding from us. Where an apprentice is employed by an ATA / FJAA, any applicable additional payments will be paid to the ATA / FJAA.

E99

We will monitor take-up of additional payments to identify any potential fraud or irregularity.

Care leavers bursary

E100

Eligible apprentices will receive a £1,000 payment if they have been in the care of a UK local authority as defined in paragraph E93.

E101

The bursary payment, due to the apprentice, will be generated to the main provider 60 days after they start. The main provider must pass this on in full to the apprentice within 30 days of receiving this funding from the ESFA.

E102

This is a one-off payment. An eligible apprentice must only receive this payment once. Therefore, an individual must not receive this funding again if they progress to another apprenticeship or leave before the end of their apprenticeship to commence another apprenticeship. It is the main provider’s responsibility to ensure that the apprentice has not received this payment previously. We will also monitor this to ensure that the apprentice only receives this payment once.

Extra support for small employers

E103

The government will fund all of the apprenticeship training costs, up to the maximum value of the funding band for the apprenticeship, for employers employing fewer than 50 people if, on the first day of their apprenticeship, the apprentice is:

• E103.1 Aged between 16 and 18 years old (or 15 years old if the apprentice’s 16th birthday is between the last Friday of June and 31 August); or

• E103.2 Aged between 19 and 24 years old and has either:

  • E103.2.1 an EHC plan provided by their local authority; or

  • E103.2.2 Been in the care of their local authority as defined in paragraph E93.

E104

Before any apprenticeship starts, you must have evidence that the apprentice and you are eligible for the waiving of the employer contribution. You must provide evidence that you employed an average of 49 or fewer employees in the 365 days before the apprentice was recruited (using the calculation set out in paragraph E105) and you must give this to the main provider to keep in the evidence pack.

E105

We define the number of employees as the number of people with a contract of service. This must be calculated using the average number of employees with a contract of service in the 365 days before the apprentice is recruited. If the average number of employees is 49 and the recruitment of apprentices takes this number to 50, you will still be eligible to receive this extra support. However, if the average number of employees is 50 and the recruitment of apprentices takes this number to 51, you will not be eligible to receive this extra support.

E106

If the price negotiated by you and the main provider is above the maximum value of the funding band for the apprenticeship, you must pay in full the difference between the band maximum and the negotiated agreed price. This cannot be funded from your apprenticeship service account.

Support for English and maths training

New for 1 August 2022:

• E107 – Clarification: We have clarified that English and / or maths must be provided for all apprentices where they do not have prior attainment in these subjects at level 2.

• E109.1 and E113.1 - New rule: To reflect the policy change that level 2 apprentices who do not have level 1 in English and maths must prioritise achieving level 1 in these subjects and are only required to work towards level 2 English and maths where they have time remaining to make meaningful progress, once they have achieved level 1. The requirement for apprentices assessed at level 1 but without a level 1 qualification to take level 2 before achieving level 1 has been removed. These rules will apply irrespective of the apprentice’s start date and will include existing learners who started their apprenticeship programme in previous funding years. Updated for version 1.

• E113.2 - Clarification: To reflect that apprentices must be assessed at level 2 for all three units of the English Functional Skills and the assessment for maths.
  
  

The flowchart has been updated.

New for 30 September 2022 - version 2

• E121 - We have added extra clarification to make it clear that an assessment at the level of English and maths specified in the apprenticeship standard does not remove the requirement to achieve the minimum required level in English and maths.

E107

English and maths are essential to supporting longer-term career prospects. This is why all apprentices must be supported to gain these essential skills and secure recognised qualifications.

E108

English and / or maths must be provided for all apprentices where they do not have prior attainment in these subjects at level 2.

Achievement levels

E109

As part of our ambition for a world-class technical education system and in line with recommendations from independent experts, progression towards and attainment of approved level 2 English and maths qualifications is an important part of the apprenticeship programme. For those undertaking a level 3 or higher apprenticeship, it is a requirement that they hold or achieve an approved level 2 in both subjects before they can successfully complete the apprenticeship.

• E109.1 For apprentices at all levels with formally recognised special educational needs, learning difficulties or disabilities who struggle to achieve the regular English and / or maths minimum requirement due to the nature of their difficulty or disability we will accept achievement at entry level 3 functional skills in English and / or maths (see paragraphs E122 to E128 below); and

• E109.2 Every effort must be made to enable apprentices with special educational needs, learning difficulties or disabilities achieve the minimum English and maths requirements of the specific apprenticeship as set out in paragraphs E108 to E121. This includes the appropriate use of access arrangements, reasonable adjustments and other approved qualifications that are detailed in the ESFA list of qualifications approved for funding.

E110

For apprentices undertaking a level 2 apprenticeship:

• E110.1 We want as many apprentices as possible to achieve level 2 English and maths. We require all apprentices to achieve level 1 (where they have not already), as a minimum and where appropriate, work towards level 2 English and maths. Not all level 2 apprentices will be required to take the assessment at level 2. Level 2 English/maths must be achieved if specified within the apprenticeship standard.

What we will fund

E111

We will fund an apprentice to achieve up to an approved level 2 qualification in English and maths where they do not already hold a suitable equivalent qualification. Acceptable equivalents are set out in a published list on GOV.UK called ‘Acceptable Current and Prior Equivalent Qualifications for English and Maths Minimum Requirements in Apprenticeship Standards at Level 2 and Above’.

E112

We will pay the main provider for this at the single rate set by us for each eligible qualification undertaken. It will not be deducted from your apprenticeship service account or require co-investment.

E113

Main providers can claim funding for apprentices who have not previously attained a GCSE grade A* to C (or 9 to 4) in English or maths (or both) on the day they start the following qualifications:

• E113.1 GCSE English language or maths (or both); or

• E113.2 Functional skills English or maths at level 2 (or both).

E114

For level 2 apprenticeships, where a level 2 qualification in English or maths is not required for the apprenticeship and the apprentice does not already hold the acceptable qualifications for their standard, then main providers must adopt the following approach and can claim funding for an apprentice in the following scenarios:

• E114.1 Where the apprentice holds neither level 1 nor level 2 approved qualifications:

• Apprentices must study towards and achieve English and maths qualifications of at least level 1 (functional skills level 1 or GCSE grade E or 2). Once level 1 (Functional Skills level 1 or GCSE grade E or 2) is secured, apprentices must work towards level 2 English and / or maths (Functional Skills level 2 or GCSE) where there is time to make meaningful progress (a minimum of three months remaining prior to gateway). In recognition that a level 2 English and maths is at least two levels above the level of prior attainment, they are not required to be assessed at level 2 unless the provider is satisfied they are ready for assessment, or they have evidence of being ready for assessment (for example from mock/practice attempts).

• E114.2 Where the apprentice already holds approved level 1 qualifications:

• Apprentices must start, continue to study and take the assessments for a level 2 English and / or maths (functional skills level 2 or GCSE). This requirement must be fulfilled before the apprentice takes the end-point assessment. Apprentices should be assessed at level 2 for all three units of the English Functional Skills and the assessment for maths.

E115

We will fund functional skills English and / or maths at level 1 or below where main providers (or a subcontractor) has conducted an initial assessment that shows the apprentice needs to study at a lower level before being able to achieve their level 2. The apprentice must be assessed at below level 1 to be funded for a level 1 qualification.

E116

For level 3 and above apprenticeships where a level 2 qualification in English and maths is required and the apprentice does not already hold the acceptable level 2 English and maths qualifications, we will fund the apprentice to achieve the qualification. The apprentice must commence tuition at the English and maths level immediately above the level at which they have been assessed at the start of their apprenticeship programme. In instances where this starting level is lower than the exit requirements, progression through the appropriate English and maths levels (as required in the apprenticeship standard) must be achieved.

E117

In exceptional circumstances, we will fund:

• E117.1 Re-takes of English and / or maths qualifications where apprentices receive further teaching to achieve the required English and / or maths functional skills qualification; and

• E117.2 Other approved qualifications (including components, where applicable) where an apprentice will need significant, additional numeracy and literacy support that is not met through immediate entry onto a GCSE or functional skills course.

E118

If the apprentice is made redundant, they are allowed to continue with their English and/ or maths up to and including level 2. Main providers can continue to claim funds at the published apprenticeship English and maths rates

E119

Main providers must not claim funding from the adult education budget for English and/or maths undertaken by an apprentice.

E120

Any English and / or maths requirements for the achievement of an apprenticeship standard not set out above must be funded from your apprenticeship service account or through government-employer co-investment.

E121

Main providers must provide evidence of prior attainment of English and maths. Guidance for obtaining acceptable evidence is provided in the evidence pack.

Judgement of an apprentice’s current level

E122

If an apprentice does not have acceptable evidence of previous attainment of English and / or maths, main providers must carry out a judgement of their current level. The assessment must use current assessment tools based on the national literacy and numeracy standards and core curriculum or DFE published English and maths functional skills subject content. The judgement of the current level is used to determine the level the apprentice must start working towards, and does not remove the requirement to achieve the minimum required level in English and maths, (refer to paragraphs E109 and E115).

Exceptions to the regular English and maths minimum requirements, for people with special educational needs, learning difficulties or disabilities

E123

Individuals must be considered on a case-by-case basis and must satisfy all of the following conditions:

• E123.1 The apprentice has either an existing or previously issued education, health and care (EHC) plan, a statement of special educational need (SEN) or a learning difficulty assessment (LDA). Self-declaration of a learning difficulty or a disability is insufficient.

• E123.2 You and the main provider expect the apprentice to achieve all other aspects of the apprenticeship requirements, become occupationally competent and achieve entry level 3 functional skills in the adjusted subject(s) before the end of their apprenticeship.

• E123.3 The main provider holds or has conducted an evidenced judgement demonstrating that even with support, reasonable adjustments and stepping stone qualifications, the apprentice will not be able to achieve English and / or maths to the minimum level within the timeframe projected for them to complete all the occupational elements.

E124

Depending on the apprentice’s individual circumstances and outcome of the main provider’s judgement, the exception outlined in paragraph E122 may apply to either English and / or maths. If the exception applies to only one subject, the regular requirements for the non-adjusted subject will apply.

E125

Although the apprentice will be exempt from the regular English and / or maths minimum requirements, main providers must plan and evidence how the apprentice will access further literacy and numeracy development, including level 1 and level 2 courses, as part of their overall training provision, if appropriate.

E126

The judgement must be formal and structured and conducted by an appropriate professional associated with the main provider (or subcontractor), such as the head of SEN or student support. It must be conducted within eight weeks of an apprentice beginning their apprenticeship and must include:

• E126.1 Judgement of the apprentice’s current English and maths ability;

• E126.2 Information on how the learning difficulty or disability affects the apprentice’s English and maths abilities and a clear indication of whether one or both English and maths are affected;

• E126.3 Judgement of the apprentice’s ability to meet the regular English and maths requirements even with appropriate support in place;

• E126.4 Creation of a recommended learning plan to enable the apprentice to achieve entry-level 3 functional skills in the adjusted subject(s) and, where appropriate, to continue to build on their literacy and numeracy skills by accessing further courses; and

• E126.5 Copies of an education, health and care (EHC) plan, a statement of special educational need (SEN) or a learning difficulty assessment (LDA).

E127

The main provider must retain all elements of the judgement in the evidence pack.

E128

If the apprentice disagrees with the judgement outcome, the main provider must provide a facility for the apprentice to request a second opinion. The main provider must ensure that a second SEN professional independently reviews the outcome. The main provider may determine the format of the review process.

E129

Where the apprentice needs to change to entry level 3 for English and / or maths due to their disability or learning difficulty the main provider must record this in the ILR as a change in the usual way.

Flow chart: find out if an apprentice needs to do English and maths i.e functional skills or GCSE

End-point assessments

New for 1 August 2022:

• E140 to E141 - Clarification: We have moved relevant information relating to integrated standards, from elsewhere in the rules to a new section.

• E140 - Clarification: To reflect requirements for end-point assessment of integrated standards. Updated for version 1.

E130

End-point assessment is a holistic and independent assessment of the knowledge, skills and behaviours which have been learnt throughout an apprenticeship standard. The requirements for end-point assessment are set out in the assessment plan for each specific standard.

E131

Apprentices will not be able to achieve an apprenticeship standard without satisfying all the requirements of its assessment plan, including the end-point assessment.

E132

An apprentice can only take the end-point assessment once they have:

• E132.1 Met the minimum duration of the apprenticeship (see paragraph E28). You must ensure that the entire duration of the apprenticeship standard for both training and end-point assessment is a minimum of 372 days to be eligible for funding;

• E132.2 Satisfied the gateway requirements set out in its assessment plan (including any specific duration criteria); and

• E132.3 You (in consultation with the main provider) are content they have attained sufficient skills, knowledge and behaviours to successfully complete the apprenticeship. In the case of an apprentice made redundant, where we are funding the apprenticeship to completion, the main provider can act as a proxy employer for the purposes of providing any required employer competency statement (see paragraph E133).

E133

You, in consultation with the main provider must ensure that the apprentice is prepared and understands the end-point assessment process. Engaging the end-point assessment organisation can be at any time, but to ensure timely delivery of the end-point assessment the dialogue must commence at least 6 months before the planned end date of the apprenticeship. As part of this process all information required for the end-point assessment must be ready to present to the end-point-assessment-organisation for the gateway.

E134

The apprentice must be employed until the end-point assessment is completed. Consideration must be given to the potential time needed for any re-sit and / or re-training prior to re-taking the end-point assessment so the apprentice remains employed during this time.

• E134.1 The only exception is where the apprentice has been made redundant and we are funding the apprenticeship to completion.

E135

At least 3 months before the apprentice reaches the gateway, you must have:

• E135.1 selected an organisation from the Register of End-Point Assessment Organisations (RoEPAO) to deliver the end-point assessment;

• E135.2 negotiated a price with the end-point assessment organisation. Only those organisations listed on the RoEPAO will be eligible to be funded.

E136

Although you and the main provider will be involved in administrative arrangements for end-point assessment, the assessment itself must be independent (subject to paragraph E140 below). Some assessment plans give the employer and the training provider specific roles but, with the exception of integrated standards, training providers who have delivered the training cannot make an end-point assessment judgement for that same group of apprentices.

E137

The main provider must contract with the end-point assessment organisation that has been selected by you and lead the relationship with them including where the delivery of apprenticeship training is subcontracted. This allows the main provider, on your behalf, to make payment to the end-point assessment organisation for conducting the end-point assessment. The written agreement must set out the arrangements for sharing relevant information about the apprentice so end-point assessment and certification can take place, including arrangements for any re-takes and payments. This must also include arrangements for a change of circumstances, which may delay, or lead to the cancellation of, the end-point assessment.

E138

You must ensure that the price you agree with the main provider for the apprenticeship includes the amount that you have negotiated with the end-point assessment organisation. This includes any cost of external quality assurance of the end-point assessment. Costs for external quality assurance will depend on the body undertaking it. You must ensure that you engage actively with any request for information from the external body, where applicable.

E139

Eligible costs for end-point assessment organisations are set out in the Conditions of Acceptance document for organisations on the RoEPAO.

E140

We expect that the cost of end-point assessment will not usually exceed 20% of the funding band maximum. This does not mean that end-point assessment must cost 20%; the cost that individual employers will pay for assessment varies between standards and we expect you to negotiate with assessment organisations to secure value for money. Where the total negotiated price is higher than the funding band maximum the difference must be paid by you.

End-point assessment process for integrated standards

E141

The end-point assessment organisation for an integrated degree standard may be the higher education training provider or a professional body, although to remain independent the assessment must involve someone from the occupation in the delivery and grading decision who has not been involved in the training element of the apprenticeship.

E142

The end point assessment activities within an integrated standard can include but are not limited to a professional discussion, an interview and a presentation. Delivery of new learning must not take place during the end-point assessment period.

Certification

New for 1 August 2022:

• We have moved this section from the back of the document.

E143

The end-point assessment organisation (or the provider in the case of an integrated standard) is responsible for claiming the apprenticeship completion certificate from us (including for those apprentices who are not funded by us and recorded in the ILR under Funding Model 99).

E144

The end-point assessment organisation must not claim the apprenticeship completion certificate from us until they have received evidence from the provider that the apprentice has met all the requirements of the apprenticeship including English and maths.

E145

Where applicable you must apply for and give apprentices certificates from awarding organisations for achieving a mandatory qualification and evidence this in the evidence pack.