Evidence requirements

Evidence that providers must maintain for each apprenticeship.

Evidence requirements

Evidence pack

New for 1 August 2022:

  • Where funding rules have been updated, the corresponding evidence pack requirements have also been reviewed and updated where necessary.

New for 30 September 2022 – version 2

  • EP307.2 - New evidence requirement in relation to secondments.

EP298

You must hold evidence to assure us that you are using the funding appropriately. Most evidence will occur naturally from your normal business process. If evidence is not available funding may be at risk.

EP299

The evidence pack must contain evidence to support the funding claimed, assure us that the apprentice exists and must be available to us on request.

EP300

The apprentice and / or you must confirm the information they provide is correct when it is collected. You must have evidence of this, which can include electronic formats.

EP301

Where information is held centrally, you only need to refer to the source. Introduction, purpose, relevant legislation (see paragraphs EP1 to EP20)

EP302

The evidence pack must include:

  • EP302.1 Evidence of approval from a regulatory body where a training provider needs to be approved by a regulatory body before delivering apprenticeship training.

Recruit an apprentice (see paragraph EP21)

EP303

The evidence pack must include:

  • EP303.1 Where you do not use the Recruit an apprentice service (for new recruits into the business), the reason for this must be recorded.

What is an apprenticeship (see paragraph EP22)

EP304

There are no evidence requirements for this section

Initial assessment (see paragraphs EP23 to EP24)

EP305

The evidence pack must include:

  • EP305.1 An assessment of the learner’s eligibility for the apprenticeship programme (see paragraphs EP57 to EP70);

  • EP305.2 Identification and recognition the individual’s prior learning and experience, in the form of a skills-scan, which enables the individual to can be assessed against the knowledge, skills and behaviour requirements of the relevant apprenticeship standard;

    • EP305.2.1 If considered relevant by you, or required by the standard, the skills scan can be supplemented with additional diagnostic testing of either occupational competence or of English and maths prior attainment;

    • EP305.2.2 The results of the skills scan and any supplemental diagnostic testing, must evidence that the individual requires significant new knowledge, skills and behaviours in order to be occupationally competent in their job role, and that the training required meets the funding rules relating to the minimum duration (paragraphs EP35 to EP39) and to off-the-job training (paragraphs EP40 to EP51);

    • EP305.2.3 There must be evidence that the programme content, duration and price has been reduced accordingly (see paragraph EP25 for further guidance, including how to calculate and document the price reduction);

  • EP305.3 Identification of any learning difficulties and / or disabilities;

    • EP305.3.1 Where your assessment identifies potential learning difficulties and / or disabilities, that may require a reasonable adjustment, you must follow the funding rules set out in EP71 to EP82 should you need to claim learning support; and
  • EP305.4 A discussion with the individual so that all parties have a shared understanding of the desired learning outcomes, the results of the initial assessment activities listed above (see paragraphs EP24.1 to EP24.3) and how this information will inform a tailored training plan; the parties must agree that:

    • EP305.4.1 The training programme aligns with an approved apprenticeship standard, at the most appropriate level;

    • EP305.4.2 An apprenticeship is the most appropriate training programme for the individual;

    • EP305.4.3 The individual’s job role has a productive purpose and that there is a direct link between this job role and the chosen apprenticeship standard;

    • EP305.4.4 You will provide the individual with the appropriate support and supervision to carry out both their job role and their apprenticeship (including the end-point assessment), particularly where the apprentice is working flexibly, including working from home;

    • EP305.4.5 You will release them for off-the-job training as required by the training plan; and

    • EP305.4.6 You will provide them with the opportunity to embed and consolidate the knowledge, skills and behaviours gained through off-the-job training into the workplace.

Recognition of prior learning (see paragraphs EP25 to EP26)

EP306

The evidence pack must include:

  • EP306.1 Evidence that you have assessed and agreed the individual’s current competence against the knowledge, skills and behaviours required to achieve the standard and identified and quantified relevant prior learning and experience.

  • EP306.2 Evidence to show how you have adjusted the apprenticeship content, duration and price to reflect prior learning. You must use the formula set out in paragraph EP25.

Employment arrangements (see paragraphs EP27 to EP28)

EP307

The evidence pack must include:

  • EP307.1 Evidence of employed status and evidence that this employment is for a period which is long enough for the apprentice to complete the apprenticeship successfully, including the end-point assessment (e.g. a relevant extract from a contract of employment or a signed declaration by the employer). This information will be cross-checked with HMRC PAYE data.

  • EP307.2 Evidence that the apprentice will spend at least 50% of their apprenticeship duration with their main employer (whose PAYE scheme they are on).

  • Where an exception is in place, confirmation to support this

Apprenticeship agreement (see paragraphs EP29 to EP31)

EP308

The evidence pack must include:

  • EP308.1 A copy of the apprenticeship agreement that meets the criteria set out in paragraph EP30, namely that it evidences:

    • EP308.1.1 The apprentice’s details (name, place of work);

    • EP308.1.2 The apprenticeship standard and level being followed;

    • EP308.1.3 The start and end date of the apprenticeship (including the end-point assessment);

    • EP308.1.4 The start and end date of the practical period (excluding the end-point assessment);

    • EP308.1.5 The duration of the practical period (see paragraphs EP35to EP39 re minimum duration); and

    • EP308.1.6 The amount of time the apprentice will spend in off-the-job training.

Alternative English apprenticeship (see paragraphs EP32 to EP33)

EP309

The evidence pack must include:

  • EP309.1 Evidence that the apprentice meets one of the conditions of an alternative English apprenticeship.

  • EP309.2 In the case of redundancy, such evidence may be a copy of the apprentice’s dismissal notice from the employer, which cites the reason for dismissal as redundancy. In the absence of a notice of dismissal, other evidence which allows one reasonably to conclude that the apprentice has been made redundant would also be acceptable (e.g. an email informing employees that the business is closing, or other evidence that the business with whom the apprentice had an apprenticeship agreement with has recently closed). See the Glossary definition for the situations which amount to redundancy in law.

Wages (see paragraph EP34)

EP310

The evidence pack must include:

  • EP310.1 Confirmation that the apprentice is receiving a wage in line with the national minimum wage requirements and that the apprentice rate was not used prior to the apprenticeship start date (as shown on a valid apprenticeship agreement). This confirmation can either be a copy of the employment terms and conditions or a written statement regarding wages on the signed training plan.

Minimum duration of practical period (see paragraphs EP35 to EP39)

EP311

The evidence pack must include:

  • EP311.1 Evidence that following an initial assessment the individual requires an apprenticeship practical period that meets the minimum duration of 12 months, after any prior learning has been recognised.

  • EP311.2 Evidence that active learning (off-the-job training or English and maths) has taken place at least every 4 weeks.

  • EP311.3 Evidence that where the apprentice works part-time (less than 30 hours per week) or is on a zero hours contract, the minimum duration has been extended as required.

  • EP311.4 Evidence that for the circumstances described in paragraph EP38, the total amount of time spent on the apprenticeship, which may include more than one episode of learning, meets the minimum duration requirement.

Off-the job training (see paragraphs EP40 to EP55)

EP312

The evidence pack must include:

  • EP312.1 Evidence that following an initial assessment the individual requires a training plan that meets the minimum off-the-job training requirement. To be clear, once statutory leave is accounted for, this equates to a minimum of 278 hours of off-the-job training for a 12 month apprenticeship (46.4 weeks x 6 hours = 278 hours) for a full-time apprentice. The minimum hours per week would be pro-rated and the duration extended for a part-time apprentice.

  • EP312.2 Evidence that the planned volume of off-the-job training hours has taken into account the information obtained through the apprentice’s initial assessment (e.g. that the apprentice may require more than the minimum policy requirement) and that prior learning has been recognised, where relevant.

  • EP312.3 Evidence that the planned volume of off-the-job training hours has been documented on the apprenticeship agreement, training plan and the ILR and that the volumes and the dates align.

  • EP312.4 Evidence that the actual volume of off-the-job training hours delivered has been documented (where required) on the ILR and that there is proof of delivery in the evidence pack that corresponds with the value entered.

    • EP312.4.1 The proof of delivery must be both quantifiable and demonstrate compliance with the off-the-job training definition, namely that the activity is directly relevant to the apprenticeship, teaches new knowledge, skills and behaviours; takes place in the apprentice’s normal working hours; and is not English and maths up to Level 2.

    • EP312.4.2 You are also advised to keep information on the training content delivered and the distance travelled by the apprentice (what has been achieved by the apprentice as a result of the off-the-job training); whilst this is outside the scope of an ESFA funding audit, it may be required by other parties (such as Ofsted and OfS).

  • EP312.5 Evidence that where the volume of off-the-job training hours delivered is less than the original volume of planned hours (agreed at the beginning of the programme with the apprentice), there is statement on file to explain the difference.

    • EP312.5.1 This statement must summarise volume changes to the training plan since the beginning of the programme and must be countersigned by you and apprentice to show that you are satisfied with the quantity of training delivered (even though it is different to the volume agreed at the beginning of the programme) (see paragraph EP54).

Training plan (see paragraphs EP56 to EP58)

EP313

The evidence pack must include the following

  • EP313.1 A copy of the current training plan signed and dated by the apprentice and employer-provider (and any previous versions). The training plan must meet the criteria set out in paragraph EP57.

  • EP313.2 Written confirmation from the employer that the apprentice will be allowed to complete the apprenticeship within their normal working hours, including any English and maths required.

Progress reviews (see paragraphs EP59 to EP60)

EP314

The evidence pack must include:

  • EP314.1 Evidence of progress reviews taking place in accordance with paragraphs EP59 to EP60 and the agreed outcome or actions of these reviews, including progress towards the training plan, signed by all parties.

Learner eligibility (see paragraphs EP61 to EP77)

EP315

The evidence pack must include:

  • EP315.1 Confirmation of date of birth to ensure that the apprentice is aged over 15 and confirmation that the apprentice has legally left school. The school leaving age can be found on GOV.UK.

  • EP315.2 Confirmation that you have seen the learner’s identity documents or immigration permission to verify their residency eligibility in line with Annex A. Confirmation that you are satisfied the learner is eligible for funding and (where necessary) where a learner’s permission to stay has expired you must hold evidence that an application to remain has been made.

  • EP315.3 Your assessment and evidence of eligibility for funding and a record of what evidence the apprentice has provided, including that the apprenticeship leads to substantive new skills and that the learning is materially different where the apprenticeship is at the same level as, or lower level than, prior qualifications. This assessment must include an analysis of the apprentice’s existing knowledge, skills and behaviours versus those required to complete the apprenticeship. This also includes evidence of prior attainment for English and maths. This evidence could include:

    • EP315.3.1 Information from the apprentice’s personal learning record, where this information is unavailable or an apprentice is unable to provide evidence of prior attainment please refer to GOV.UK;

    • EP315.3.2 Evidence of proof of equivalency from UK ENIC where an individual has an international qualification;

    • EP315.3.3 Details of previous qualifications, including modules / units undertaken compared to the content of the apprenticeship, demonstrating how they are materially different where appropriate;

    • EP315.3.4 Skills gap analysis, demonstrating the new skills needed by the individual and how the apprenticeship will address these; or

    • EP315.3.5 Details of any relevant experience and achievements, both inside and outside their current working role.

  • EP315.4 Evidence that the apprentice will spend at least 50% of their working hours in England over the duration of the apprenticeship including time spent on off-the-job training. Where the business footprint is larger than England this could include a roster for a typical month for the apprentice along with written confirmation from the employer.

  • EP315.5 Confirmation that the apprentice is not;

    • EP315.5.1 Enrolled on another apprenticeship

    • EP315.5.2 Enrolled on a DfE funded HE / FE programme (excluding AEB) where that programme is more than 4 weeks from completion

    • EP315.5.3 Enrolled on an AEB funded programme where that programme does not comply with rules EP75.

EP316

To support the evidence pack you must confirm the type of evidence you have seen to satisfy that the apprentice meets all eligibility criteria. Apprentices accessing learning support (see paragraphs EP78 to EP89)

EP317

Where learning support funding has been claimed, the evidence pack must include:

  • EP317.1 Evidence that an assessment to identify the reasonable adjustments that the apprentice requires has been carried out (see paragraphs EP80and EP81). This evidence must include:

    • EP317.1.1 A copy of the assessment which identifies the apprentice’s learning difficulty or disability;

    • EP317.1.2 Details of the reasonable adjustments necessary to enable the apprentice to complete the apprenticeship on which they are enrolled; and

    • EP317.1.3 A documented assessment of how progress towards the completion of the apprenticeship would be directly impacted without the reasonable adjustments being put in place for the apprentice.

  • EP317.2 Documented evidence of how you plan to deliver the necessary reasonable adjustments throughout the apprenticeship. This plan is to be agreed and signed-off by the apprentice.

  • EP317.3 For months where learning support funding is claimed, provide evidence and documented details of the necessary reasonable adjustments that have been delivered in that period (learning support funding will only be paid in the months where the reasonable adjustments are required and are being delivered)

  • EP317.4 Documented evidence of monthly progress reviews throughout the apprenticeship to ensure that reasonable adjustments are necessary in respect of the content of training, English and maths tuition and / or end-point assessment at different points during the apprenticeship. This evidence will need to confirm the effectiveness of the reasonable adjustments and how these have been adapted where necessary.

  • EP317.5 Additional information where exceptional learning support (ELS) is claimed for an apprentice. In these circumstances, you must also include the application and supporting evidence for the claim – which includes details of the reasonable adjustments and the actual costs incurred.

Eligible and ineligible costs (see paragraphs EP90 to EP97)

EP318

You must include in your evidence:

  • EP318.1 A breakdown of the total negotiated price (TNP1), associated with the delivery of training and on-programme assessment, against the headings of any of the eligible costs listed in P95, namely:

    • EP318.1.1 Initial assessment

    • EP318.1.2 Off-the-job training

    • EP318.1.3 Materials and consumables

    • EP318.1.4 Peripheral costs including assessment

    • EP318.1.5 Programme governance, management and administration

  • EP318.2 The agreed price for end-point assessment (if known) (that will be entered into field TNP2 on the ILR). This is the price that you, as the employer, has negotiated with an end-point assessment organisation.

EP319

You must not include any ineligible cost in the price.

EP320

As an employer-provider only actual costs of delivery are permitted. Evidence for training and on-programme assessment costs may include payroll, pay slips, expenses claims, hourly pay rates for staff delivering training and assessment and training plans that include the hours delivered.

  • EP320.1 Where the total negotiated price changes, the reason for this change. Additional payments (including the care-leaver bursary) (see paragraphs EP98 to EP111)

EP321

Where applicable, the evidence pack must include:

  • EP321.1 Confirmation of eligibility for any additional payments, including an email or letter confirmation from a personal advisor or local authority confirming the individual’s care leaver status or evidence of an education, health and care (EHC) plan where the apprentice is aged between 19 and 24 years old. Eligibility evidence must include:

    • EP321.1.1 Confirmation of age (where appropriate)

    • EP321.1.2 Evidence of care leaver status (where appropriate) in line with EP100

  • EP321.2 For the care leavers bursary, a signed declaration by the apprentice to confirm that they:

    • EP321.2.1 Understand that they are eligible for and would like to receive a bursary as a care leaver;

    • EP321.2.2 Understand that if they have been found to have accepted the payment incorrectly or when they are ineligible then government will require it to be repaid; and

    • EP321.2.3 Have not been paid a care leavers bursary before.

  • EP321.3 Evidence of payment to the apprentice where they receive the care-leaver bursary and forwarded within 30 days. This must be a confirmation from the apprentice and not only a receipt of transaction.

  • EP321.4 Evidence and copies of receipts for any additional payments you claim.

Support for English and maths (see paragraphs EP113 to EP135)

EP322

Where applicable, the evidence pack must include:

  • EP322.1 Details of how English and maths will be delivered, including a plan of delivery and evidence of delivery taking place against that plan.

  • EP322.2 All initial assessments for English and maths, including evidence of prior attainment.

  • EP322.3 Additional information where the apprentice is assessed as exempt from the normal English and maths requirements. In these circumstances you must also include:

    • EP322.3.1 A copy of the authorisation by an appropriate professional, for example the head of special education needs (SEN) or student support;

    • EP322.3.2 Evidence of how the apprentice’s learning difficulty or disability affects their English and / or maths abilities;

    • EP322.3.3 The apprentice’s recommended learning plan to achieve entry level 3 in English and / or maths (as appropriate); and

    • EP322.3.4 The apprentice’s education, health and care (EHC) plan, statement of special educational need (SEN), or learning difficulty assessment (LDA).

End-point assessment (see paragraphs EP136 to EP147)

New for 1 August 2022:

  • EP323 - Clarification: To clarify the evidence requirements on end-point assessment. Updated for version 1.

New for 30 September 2022 – version 2

  • EP323 - Clarification: To confirm that the provider can collect evidence of completion from their EPAO. This is no longer confined to the EPAO portal.

EP323

The evidence pack must include records and evidence of completion of the end-point assessment for audit purposes. This must be available within three months of you reporting it in the ILR. Evidence of completion would include:

  • EP323.1 Signed statement that the apprentice is still employed until the end-point assessment is completed;

  • EP323.2 Evidence from the EPAO portal that the EPA has been attempted and either:

  • EP323.3 Achieved and the certificate claimed (this could include a screenshot from the EPAO portal); or

  • EP323.4 Failed (and no resit taken).

Contracting and subcontracting (see paragraphs EP153 to EP182)

EP324

Where applicable, the evidence pack must include:

  • EP324.1 Details of any subcontractor, clearly identifying who they are. This must match the information reported to us in the ILR; and

  • EP324.2 A legally binding contract with each subcontractor.

Paying for an apprenticeship (see paragraph EP183)

EP325

The evidence pack must include:

  • EP325.1 The supporting evidence about why you have claimed funding and the level of funding for an apprentice, it must be clear only eligible costs have been included in the price.

  • EP325.2 Copies of any subsidy control declarations where applicable.

  • EP325.3 Evidence of the written agreement with and payments made to the end-point assessment organisation for conducting the end-point assessment where appropriate.

  • EP325.4 Evidence that you are paying for apprenticeship training above the funding band maximum.

  • EP325.5 Where the apprenticeship is being funded by a transfer of levy funds, you must hold confirmation of who the sending employer is.

Redundancy (see paragraphs EP257 to EP258)

EP326

Where appropriate, the evidence pack must include:

  • EP326.1 Evidence that the apprentice meets the conditions of an alternative English apprenticeship. In the case of redundancy such evidence may be a copy of the apprentice’s dismissal notice from the employer, which cites the reason for dismissal as redundancy. In the absence of a notice of dismissal, other evidence which allows one reasonably to conclude that the apprentice has been made redundant would also be acceptable (e.g. an email informing employees that the business is closing, or other evidence that the business with whom the apprentice had an apprenticeship agreement has recently closed). See the Glossary definition for the situations which amount to redundancy in law.

  • EP326.2 Evidence that you have made reasonable efforts to find the apprentice a new employer.

  • EP326.3 Where an apprentice is withdrawn because they have been unable to find a new employer, you must record the withdrawal reason as redundancy and you must provide a ‘record of apprenticeship part-completion’ to support the individual to find new employment. This record must include, as a minimum:

    • EP326.3.1 The apprentice details,

    • EP326.3.2 The level and subject,

    • EP326.3.3 The start date and planned end date,

    • EP326.3.4 The percentage of the apprenticeship completed,

    • EP326.3.5 A summary of the knowledge, skills and behaviours that you consider they have developed and evidenced,

    • EP326.3.6 In the case of apprenticeships with mandatory qualifications, the qualification, or units thereof, achieved.

Maternity, adoption, shared parental leave (see paragraphs EP259 to EP267)

EP327

Where appropriate, the evidence pack must include:

  • EP327.1 A copy of the agreement, signed by you, the employer and the apprentice, that complies with the detail in paragraph EP263, namely:

    • EP327.1.1 The apprentice’s reason behind the request to continue apprenticeship training during KIT / SPLIT* days and details of how they would meet their training objectives;

    • EP327.1.2 The number of KIT / SPLIT* days being used and the employer’s support and endorsement of this use of KIT /SPLIT* days;

    • EP327.1.3 The provider’s support and endorsement of this arrangement;

    • EP327.1.4 An acknowledgement by the apprentice that in undertaking training and / or assessment, including end-point assessment, on KIT / SPLIT* days this impacts on their entitlement to KIT / SPLIT* days as well as statutory maternity / adoption / shared parental* leave and pay (i.e. they may lose statutory maternity / adoption / shared parental* leave and pay if KIT / SPLIT* days are exceeded); and

    • EP327.1.5 An agreement by the employer and provider in relation to the timing of KIT / SPLIT* days relative to the payments that the provider will continue to receive monthly if a break in learning is not utilised. For example, it may be appropriate once the maximum number of KIT / SPLIT* days are used to still use a break in learning to temporarily stop payments to the provider.(delete as appropriate e.g. KIT / SPLIT, maternity / adoption /shared parental)

Confirmation and signatures

EP328

We accept electronic evidence, including electronic / digital signatures. Where evidence is electronic, you must have wider systems and processes in place to assure you that apprentices exist and are eligible for funds.

EP329

Where an electronic or digital signature is being held, from any party for any reason, you must ensure it is non-refutable. Systems and processes must be in place to assure to us that the original signature has not been altered. Where any document needs to be renewed and a new signature taken, it must be clear from when the new document takes effect and both must be held. Both electronic and digital signatures are acceptable, we do not specify which must be used, only that a secure process to obtain and store signatures is followed:

  • EP329.1 An electronic signature is defined as any electronic symbol or process that is associated with any record or document where there is an intention to sign the document by any party involved. An electronic signature can be anything from a check box to a signature.

  • EP329.2 A digital signature is where a document with an electronic signature is secured by a process making it non-refutable. It is a digital fingerprint which captures the act of signing by applying security to a document. Usually documents which have a digital signature embedded are extremely secure and cannot be accessed or amended easily.

EP330

You must keep effective and reliable evidence. You are responsible for making the evidence you hold easily available to us when we need it.

Individualised learner record (ILR)

New for 1 August 2022:

  • EP332 - Clarification: To reflect that an accurate National Insurance number for the apprentice must be reported in the ILR.

EP331

The evidence pack must include all information reported to us in the ILR and the earnings adjustment statement (EAS) and if it applies, the supporting evidence for the data you report.

EP332

You must accurately complete all ILR fields for an apprentice as required in the ILR specification, even if they are not used for funding. This includes reporting an accurate National Insurance number for the apprentice. Where your data does not support the funding you have claimed, we will take action to get this corrected and could recover funds.

EP333

The ILR must accurately reflect what has happened. You must not report inaccurate information even where you perceive that this would result in a more equitable claim for funding or accurate record of performance.

Self-declarations

EP334

Where a self-declaration is needed, this must state the apprentice or employer’s details and describe what is being confirmed.