Evidence requirements

Evidence that providers must maintain for each apprenticeship.

Evidence Requirements

Evidence pack

New for 1 August 2022:

  • P327 to P362 - Updates: 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

  • P333.2 - New evidence requirement in relation to secondments.

P328

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

  • P328.1 This evidence pack must be available to us on request.

  • P328.2 The apprentice and / or employer must confirm the information they provide is correct when it is collected. You must have evidence of this, which can include electronic formats.

  • P328.3 Where information is held centrally, you only need to refer to the source. Introduction, purpose, relevant legislation (see paragraphs P1 to P20)

P329

The evidence pack must include:

  • P329.1 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 P21)

P330

The evidence pack must include:

  • P330.1 Confirmation that the employer was offered the option of the free Recruit an apprentice service (for new recruits into the business).Where an employer has declined the offer of using this service, either directly or through the provider, the reason for this must also be recorded. This can be recorded at either learner or employer level.

What is an apprenticeship (see paragraph P22)

P331

There are no evidence requirements for this section

Initial assessment (see paragraphs P23 to P24)

P332

The evidence pack must include:

  • P332.1 An assessment of the learner’s eligibility for the apprenticeship programme (see paragraphs P61 to P74);

  • P332.2 Identification and recognition the individual’s prior learning and experience, in the form of a skills-scan, which enables the individual to be assessed against the knowledge, skills and behaviour requirements of the relevant apprenticeship standard;

    • P332.2.1 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;

    • P332.2.2 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 P35 to P39) and to off-the-job training (paragraphs P40 to P55);

    • P332.2.3 There must be evidence that the programme content, duration and price has been reduced accordingly (see paragraph P25 for further guidance, including how to calculate and document the price reduction);

  • P332.3 Identification of any learning difficulties and / or disabilities;

    • P332.3.1 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 P75 to P86 should you need to claim learning support; and

  • P332.4 A discussion with the individual and their employer so that all parties have a shared understanding of the desired learning outcomes, the results of the initial assessment activities listed above (see paragraphs P24.1 to P24.3) and how this information will inform a tailored training plan; the parties must agree that:

    • P332.4.1 The training programme aligns with an approved apprenticeship standard, at the most appropriate level;

    • P332.4.2 An apprenticeship is the most appropriate training programme for the individual;

    • P332.4.3 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;

    • P332.4.4 The employer 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;

    • P332.4.5 The employer will release the apprentice for off-the-job training as required by the training plan; and

    • P332.4.6 The employer will provide the apprentice 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 P25 to P26)

P333

The evidence pack must include:

  • P333.1 Evidence that you have assessed and agreed with the employer, 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.

  • P333.2 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 P25.

Employment arrangements (see paragraphs P27 to P28)

P334

The evidence pack must include:

  • P334.1 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.

  • P334.2Evidence that the apprentice will spend at least 50% of their apprenticeship duration with their main employer (who’s PAYE scheme they are on).

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

Apprenticeship agreement (see paragraphs P29 to P31)

P335

The evidence pack must include:

  • P335.1 A copy of the apprenticeship agreement that meets the criteria set out in paragraph P30, namely that it evidences:

    • P335.1.1 The apprentice’s details (name, place of work);

    • P335.1.2 The apprenticeship standard and level being followed;

    • P335.1.3 The start and end date of the apprenticeship (including end-point assessment);

    • P335.1.4 The start and end date of the practical period (excluding end-point assessment);

    • P335.1.5 The duration of the practical period (see paragraphs P35 to P39 re minimum duration); and

    • P335.1.6 The amount of time the apprentice will spend in off-the-job training.

Alternative English apprenticeship (see paragraphs P32 to P33)

P336

The evidence pack must include:

  • P336.1 Evidence that the apprentice meets one of the conditions of an alternative English apprenticeship.

  • P336.2 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 P34)

P337

The evidence pack must include:

  • P337.1 Confirmation from the employer 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 P35 to P39)

P338

The evidence pack must include:

  • P338.1 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.

  • P338.2 Evidence that active learning (off-the-job training or English and maths) has taken place at least every 4 weeks.

  • P338.3 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.

  • P338.4 Evidence that for the circumstances described in P38, the total amount of time spent of the apprenticeship, which may include more than one episode of learning, meets the minimum duration requirement

Off-the job training (see paragraphs P40 to P55)

P339

The evidence pack must include:

  • P339.1 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.

  • P339.2 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. the apprentice may require more than the minimum policy requirement) and that prior learning has been recognised, where relevant.

  • P339.3 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 dates align.

  • P339.4 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.

    • P339.4.1 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.

    • P339.4.2 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).

  • P339.5 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 employer), there is statement on file to explain the difference.

    • P339.5.1 This statement must summarise volume changes to the training plan since the beginning of the programme and must be countersigned by the employer and apprentice to show that they 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 P54).

Training plan (see paragraphs P56 to P58)

P340

The evidence pack must include:

  • P340.1 A copy of the current training plan signed and dated by the apprentice, employer and main provider (and any previous versions). The training plan must meet the criteria set out in paragraph P57.

  • P340.2 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 P59 to P60)

P341

The evidence pack must include:

  • P341.1 Evidence of progress reviews taking place in accordance with paragraphs P59 to P60 and the agreed outcome or actions of these reviews, including progress towards the training plan, signed by all three parties (apprentice, employer, provider)

Learner eligibility (see paragraphs P61 to P74)

P342

The evidence pack must include:

  • P342.1 Confirmation of date of birth to ensure that an apprentice is aged over 15 and confirmation that the apprentice has legally left school. The school leaving age can be found on GOV.UK.

  • P342.2 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.

  • P342.3 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 the following:

    • P342.3.1 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 get a replacement exam certificate on GOV.UK;

    • P342.3.2 Evidence of proof of equivalency from UK ENIC where an individual has an international qualification;

    • P342.3.3 Details of previous qualifications, including modules / units undertaken compared to the content of the apprenticeship, demonstrating how they are materially different where appropriate;

    • P342.3.4 Skills gap analysis, demonstrating the new skills needed by the individual and how the apprenticeship will address these; or

    • P342.3.5 Details of any relevant experience and achievements, both inside and outside their current working role.

  • P342.4 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.

  • P342.5 Confirmation that the apprentice is not:

    • P342.5.1 Enrolled on another apprenticeship

    • P342.5.2 Enrolled on a DfE funded HE / FE programme (excluding AEB) where that programme is more than 4 weeks from completion

    • P342.5.3 Enrolled on an AEB funded programme where that programme does not comply with rules P74.2.

P343

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 P75 to P86)

Apprentices accessing learning support (see paragraphs P77 to P88)

P344

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

  • P344.1 Evidence that an assessment to identify the reasonable adjustments that the apprentice requires has been carried out (see paragraphs P79 and P80). This evidence must include:

    • P344.1.1 A copy of the assessment which identifies the apprentice’s learning difficulty or disability;

    • P344.1.2 Details of the reasonable adjustments necessary to enable the apprentice to complete the apprenticeship on which they are enrolled; and

    • P344.1.3 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.

  • P344.2 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.

  • P344.3 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 months where the reasonable adjustments are required and are being delivered).

  • P344.4 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.

  • P344.5 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.

Flexi-job apprenticeship agencies (see paragraphs P89 to P94)

P345

Documented details of the apprentice’s placement(s) – this includes the name of the host employer(s) and the duration of the placement(s)

Eligible and ineligible costs (see paragraphs P101 to P108)

P346

The evidence pack must include the contract for services between the main provider and employer. This must:

  • P346.1 Include 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 P103, namely:

    • P346.1.1 Initial assessment

    • P346.1.2 Off-the-job training

    • P346.1.3 Materials and consumables

    • P346.1.4 Peripheral costs including assessment

    • P346.1.5 Programme governance, management and administration

  • P346.2 Include the agreed price for end-point assessment (if known) (that will be entered into field TNP2 on the ILR); this is the price that the employer has negotiated with an end-point assessment organisation.

  • P346.3 Not include any ineligible cost.

P347

Evidence that, where either the TNP1 or the TNP2 changes, the reason for this change and the fact that this has been agreed in advance with the employer.

Additional payments (including the care leavers bursary) (see paragraphs P109 to P126)

New for 1 August 2022:

  • P348.1 - New evidence requirement: To confirm the evidence required for passing on the additional payment to the employer is now through financial systems records and confirmation notification to the employer. To confirm the evidence required if you are unable to pass the payment to the employer. Updated for version 1.

P348

Where applicable, the evidence pack must include:

  • P348.1 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:

    • P348.1.1 Confirmation of age (where appropriate)

    • P348.1.2 Evidence of care leaver status (where appropriate) in line with P110

  • P348.2 For the care leavers bursary, a signed declaration by the apprentice to confirm that they:

    • P348.2.1 Understand that they are eligible for and would like to receive a bursary as a care leaver;

    • P348.2.2 Understand that if they have been found to have accepted the payment when they are ineligible then government will require it to be repaid; and

    • P348.2.3 Have not been paid a care leavers bursary before.

  • P348.3 Evidence of payment to the apprentice where they receive the care-leaver bursary and forwarded within deadlines (30 days). This must be a confirmation from the apprentice and not only a receipt of transaction.

  • P348.4 Signed consent from the apprentice that they have provided you with permission to share their care leaver status (or EHC plan) with their employer on their behalf.

  • P348.5 Evidence of additional payments paid to the employer and forwarded within deadlines – this must be evidenced within your financial systems (to show transaction of payment) and must include your confirmation, to the employer, that this payment has been sent. Where you have been unable to pass this payment to the employer, you must evidence the attempts that you have made and confirmation that the payment has been returned to the department.

Extra support for small employers (see paragraphs P127 to P131)

P349

Where applicable, the evidence pack must include confirmation of eligibility for where the employer contribution is waived including evidence from the employer that they had an average of 49 or fewer employees with a contract of service in the 365 days before the apprentice was recruited.

Support for English and maths (see paragraphs P132 to P154)

P350

Where applicable, the evidence pack must include:

  • P350.1 Details of how English and maths will be delivered, including a plan of delivery and evidence of delivery taking place against that plan.

  • P350.2 All initial assessments for English and maths, including evidence of prior attainment.

  • P350.3 Additional information where the apprentice is assessed as exempt from the normal English and maths requirements. In these circumstances you must also include:

    • P350.3.1 A copy of the authorisation by an appropriate professional, for example the head of special education needs (SEN) or student support;

    • P350.3.2 Evidence of how the apprentice’s learning difficulty or disability affects their English and / or maths abilities;

    • P350.3.3 The apprentice’s recommended learning plan to achieve entry level 3 in English and / or maths (as appropriate); and

    • P350.3.4 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 P155 to P166)

New for 1 August 2022:

  • P350 - Clarification: To clarify the evidence requirements on end-point assessment. New for version 1.

New for 30 September 2022 – version 2

  • P350 - Clarification: To confirm that the provider can collect evidence of completion from their EPAO. This is no longer confined to the EPAO portal.

P351

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:

  • P351.1 signed statement by employer and provider that the apprentice is still employed until the end-point assessment is completed;

  • P351.2 evidence from the EPAO that the EPA has been attempted and either:

    • P351.2.1 Achieved and the certificate claimed (this could include a screenshot from the EPAO portal); or

    • P351.2.2 Failed (and no resit taken).

Contracting and subcontracting (see paragraphs P172 to P204)

P352

Where applicable, the evidence pack must include:

  • P352.1 Details of any subcontractor, clearly identifying who they are. This must match the information reported to us in the ILR;

  • P352.2 An up to date written agreement with each employer that includes the information about the delivery of the apprenticeship programme; and

  • P352.3 A legally binding contract with each subcontractor.

Price of an apprenticeship (see paragraphs P205 to P258)

P353

Where applicable, the evidence pack must include:

  • P353.1 A signed and dated written agreement (contract for services) between you and the employer, updated as required.

  • P353.2 The supporting evidence about why you have claimed funding and the level of funding for an apprentice, including details of any employer contribution.

  • P353.3 Copies of any subsidy control declarations and waiving of the employer contribution for small employers.

  • P353.4 Evidence of the written agreement with and payments made to the end-point assessment organisation for conducting the end-point assessment where appropriate.

  • P353.5 Additional information where an apprenticeship or part of an apprenticeship is funded through government-employer co-investment. In these circumstances you must:

    • P353.5.1 Evidence you have collected the required employer co-investment contribution; and

    • P353.5.2 Ensure employer co-investment payments match information on the ILR.

P354

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 P275 to P276)

P355

Where appropriate, the evidence pack must include the following:

  • P355.1 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 with has recently closed). See the Glossary definition for the situations which amount to redundancy in law.

  • P355.2 Evidence that you have made reasonable efforts to find the apprentice a new employer.

  • P355.3 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:

    • P355.3.1 The apprentice details,

    • P355.3.2 The level and subject,

    • P355.3.3 The start date and planned end date,

    • P355.3.4 The percentage of the apprenticeship completed,

    • P355.3.5 A summary of the knowledge, skills and behaviours that you consider they have developed and evidenced,

    • P355.3.6 In the case of apprenticeships with mandatory qualifications, the qualification, or units thereof, achieved.

Maternity, adoption, shared parental leave (see paragraphs P277 to P285)

P356

Where appropriate, the evidence pack must include the following:

  • P356.1 A copy of the agreement, signed by you, the employer and the apprentice, that complies with the detail in paragraph P281, namely:

    • P356.1.1 The apprentice’s reason behind the request to continue apprenticeship training during KIT / SPLIT* days;

    • P356.1.2 The number of KIT / SPLIT* days intended to be used and the type of training and number of hours proposed to be undertaken on these days. Any training carried out any KIT / SPLIT day would constitute a day’s work (and therefore one KIT / SPLIT day);

    • P356.1.3 The employer’s support and endorsement of this use of KIT / SPLIT* days;

    • P356.1.4 The provider’s support and endorsement of this arrangement;

    • P356.1.5 An acknowledgement by the apprentice that in undertaking training and / or assessment, including end-point assessment, on KIT / SPLIT* days this will impact 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

    • P356.1.6 An agreement by the employer and provider in relation to the timing of KIT / SPLIT* days relative to the monthly payments that the provider will continue to receive if a break in learning is not utilised. (delete as appropriate e.g. KIT / SPLIT, maternity / adoption /shared parental)

Confirmation and signatures

P357

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.

P358

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.

  • P358.1 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.

  • P358.2 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.

  • P358.3 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.

P359

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:

  • P360 - Clarification: To reflect that an accurate National Insurance number for the apprentice must be reported in the ILR and that this must be linked to the PAYE scheme used in the employer’s apprenticeship service account for that apprentice.

P360

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.

P361

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. Employers must also make sure that the PAYE scheme used in the apprenticeship service account for the apprentice is linked to the National Insurance number for the apprentice declared by you in the ILR. Where your data does not support the funding you have claimed, we will take action to get this corrected and could recover funds.

P362

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

P363

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