Roles and responsibilities for apprenticeship gateway and resits for end-point assessment.

End-point assessment temporary flexibility

There is a temporary flexibility to allow apprentices to take their end-point assessment (EPA) without waiting for the calculated results of their functional skills qualifications (FSQs) in English and maths to take their end-point assessment. For learners who are approaching gateway after 1 August 2020 we expect them to take a live FSQ test.

This enables apprentices who would otherwise be waiting for these calculated results to pass through gateway and take their EPA without undue delay.

This flexibility applies to all apprentices who are:

  • awaiting their calculated FSQ result
  • deemed by their training provider to have the required level of functional skills and sufficient evidence to demonstrate this to receive an FSQ pass
  • occupationally competent at gateway and are ready to progress to their EPA

Where calculated results for FSQs are issued, this only applies to assessments that would have been taken by apprentices between 20 March and 31 July 2020. We do not expect calculated results to be issued after 31 July 2020.

Apprentices will only achieve their apprenticeship once they have passed their EPA and received their FSQ pass.

Training providers will be expected to provide prompt confirmation of the apprentice’s FSQ results to EPA assessment organisations once these have been awarded.

This guidance explains the apprenticeship gateway and resits process and the roles and responsibilities for:

  • employers
  • apprenticeship training providers (training providers)
  • end-point assessment organisations (EPAOs)
  • apprentices

End-point assessment

End-point assessment (EPA) tests the knowledge, skills and behaviours that an apprentice has gained during their training. Unique to each standard, EPA demonstrates the competence of an apprentice in their role. This competence is valued by current and future employers.

You can find EPA plans on the Institute for Apprenticeships and Technical Education’s (the Institute) website. Only approved EPAOs can carry out assessments as set out in the assessment plan.

Gateway

Gateway takes place before an EPA can start. The employer and training provider will review their apprentice’s knowledge, skills and behaviours to see if they have met the minimum requirements of the apprenticeship set out in the apprenticeship standard, and are ready to take the assessment.

Minimum requirements

To meet the minimum requirements set out in the apprenticeship standard an apprentice needs to:

  • display occupational competency
  • have evidence of or pass functional skill levels in English and maths
  • complete mandatory training
  • take any qualifications set out in the standard
  • meet the minimum duration for their apprenticeship training

Only apprentices who complete gateway successfully can start the EPA.

Resits and retakes

Apprentices who fail one or more assessment method will be offered the opportunity to take a resit or a retake.

When the result notification recommends a re-take, the employer and training provider should consider a supportive action plan that responds to the weaknesses identified from the original EPA result notification.

The action plan should clearly state the nature and extent of the re-training and include the estimated time to prepare the apprentice for the retake. The timescales and fee for a retake must be agreed between the employer and EPAO.

A resit involves the apprentice sitting one or more failed assessment components again, without the need to undertake further training.

Following failure of EPA, the EPAO will provide a result statement showing the assessment components the apprentice has failed and that no further training is needed. Some EPA plans set out specific criteria for resits which need to be followed.

A resit cannot be taken with the intention of increasing the original grade if an apprentice has passed their EPA. Resits are only to be taken in the event of a failure.

Who is responsible for resit costs?

The employer has responsibility for the majority of their apprentice’s training. Employers are expected to financially support apprentices until completion, including paying the cost of resits, when necessary. Resits are ineligible costs and are not funded by the Education and Skills Funding Agency (ESFA).

The EPAO and training provider are not responsible for resit costs but may agree to contribute and can include this in their agreement at the beginning of the apprenticeship.

For example, a training provider may contribute to the cost of a resit if the apprentice fails a theoretical element of the training. An EPAO may offer one or more resits in the initial contract price.

The number of resits that can be taken by an apprentice will be at the discretion of their employer, unless the assessment plan limits this to one.

The ESFA recommends a limit of 2 resits, however more than 2 resits can be taken if needed, unless otherwise specificed in the assessment plan.

Apprentices cannot be asked to pay for costs of training and assessment and are not responsible for resit costs.

Pre-gateway agreements

It is recommended that employers, training providers and EPAOs agree how any resits will be paid for at the beginning of their contract. Employers and training providers should also agree in advance who will pay for resits not included in their contract.

Employer role and responsibilities

Before gateway

EPA is a vital part of an apprenticeship and should be planned for at the start of an apprenticeship programme. The apprenticeship funding rules explain how EPA is funded. Employers are responsible for deciding when their apprentices are ready to pass through gateway and take their EPA.

To support their understanding of EPA and to inform their gateway decisions employers should:

  • download and understand the standard and assessment plan for the apprenticeship from the Institute’s website

  • choose an EPAO at the same time as choosing a training provider, (training providers may do this on behalf of employers if they have been given permission)

  • choose the correct EPAO for registered professions

  • agree a gateway date at the beginning of the apprenticeship, or at least three months before the apprentice is expected to be ready for EPA – share this date with the training provider and apprentice

  • tell the apprentice about EPA at the start of the programme, so that they are aware of all requirements

  • inform the EPAO of planned gateway and EPA dates at least three months in advance to give them enough time to prepare

  • make the EPAO aware of any additional needs of the apprentice so that they can make reasonable adjustments

  • check the dates that the apprentice will sit other qualifications in the apprenticeship standard early on – mandatory qualifications need to have been completed in advance of gateway

  • hold regular reviews throughout training with the training provider and the apprentice to assess their progression against the assessment plan and familiarise apprentices with assessment methods; this way the apprentice can be passed through gateway at the correct time

  • actively engage with the chosen EPAO from the beginning of the apprenticeship, making good use of the materials they provide to prepare the apprentice

  • keep everyone (apprentice, provider and EPAO) up to date on any changes to the original plans for gateway and EPA

  • take into account and plan around factors that might reduce the apprentice’s EPA window, for example annual leave, so that the apprentice is not disadvantaged and passes through gateway at an appropriate time

  • ensure apprentices are supported in practical terms through EPA, for example providing access to sites where their EPA will take place

At gateway

When an apprentice reaches the planned gateway date, their employer should hold a final meeting with their training provider to discuss if the apprentice is ready to sit their EPA.

Who is responsible for passing an apprentice through gateway?

Employers have the final say on whether an apprentice should be put forward for EPA based on whether they feel that the apprentice:

  • displays occupational competence

  • meets the gateway criteria

  • is ready to complete their assessment

However, both the employer and training provider have a shared responsibility to decide whether the apprentice has demonstrated the knowledge, skills and behaviours required to be competent in their job role.

It is important to refer back to the assessment plan when approaching gateway to check that the apprentice is able to demonstrate all of the required knowledge, skills and behaviours and can do so in a live EPA.

To minimise the risk of needing to resit, it is important that the apprentice has passed all of the criteria listed in the assessment plan before they are put through for EPA.

Once the employer and training provider have discussed the relevant evidence and have agreed that the apprentice is ready to be assessed, the employer can pass them through gateway. Employers should give final confirmation to their chosen EPAO that the apprentice is ready to take their EPA.

Where there is a disagreement about whether the apprentice is ready to take their EPA, the employer and training provider should discuss whether additional training is appropriate and, if agreed, put this in place.

To provide an apprentice with the best chance of success, it is important that they do not pass through gateway until all parties agree that they are ready to take their EPA. By ensuring that apprentices are only passed through gateway when they are ready, employers will be less likely to incur resit costs.

Temporary flexibility for employers

We are temporarily suspending the funding rule that states your apprentice must have the approved level of functional skills qualifications (FSQs) in English and maths before gateway, only where the apprentice is awaiting calculated FSQ results.

Your apprentice should be allowed to sit their EPA if they are awaiting a calculated FSQ result once they:

  • have finished all of their training
  • are deemed by their training provider to have the necessary functional skills and sufficient evidence to demonstrate this to receive a calculated FSQ pass
  • have reached gateway and are deemed to be occupationally competent by you and the training provider as outlined in the usual gateway process in the apprenticeship funding rules

Your apprentice will not be deemed to have completed the apprenticeship until they have passed both their EPA and received confirmation of their FSQ pass.

Once the FSQ pass has been confirmed and the apprentice has passed their EPA, they will receive their apprenticeship certificate.

If the FSQ has been failed, your training provider will need to provide further training as soon as possible to enable the apprentice to re-sit and pass the FSQ so that they can successfully achieve their apprenticeship.

Training provider role and responsibilities

Training providers are jointly responsible with the employer for keeping the apprentice on track with their off the job training. This will help to ensure that the apprentice is able to sit their EPA on the planned date.

To keep apprentices on track, and to assist employers to make a good gateway decision, training providers should:

  • prompt the employer to select an EPAO early on, (training providers may do this on the employer’s behalf where the employer has given permission)

  • agree a proposed gateway date with the employer at the beginning of the apprenticeship (or at least three months in advance of gateway) – taking into account any prior learning or additional needs of the apprentice.

  • plan in dates for completing the required mandatory qualifications in advance of gateway

  • hold regular reviews with the apprentice to assess their progress against the assessment plan – this way the apprentice can be passed through gateway at the right time

  • familiarise the apprentice with the EPA assessment components and grade requirements

  • hold regular reviews with the employer to update them about the apprentice’s progress and development needs

  • ensure that there is time for the apprentice to use any preparatory and practice materials provided by the EPAO

  • inform the EPAO as early as possible if the apprentice will need reasonable adjustments to be made during the EPA

  • provide appropriate on-programme training and assessment (including maths and English) to ensure each apprentice meets the required skills and knowledge level of their apprenticeship

  • keep all parties (apprentice, employee and EPAO) up to date on any changes to gateway review and EPA dates

At gateway

By the time an apprentice reaches the planned gateway date, the employer and training provider should have a good idea whether the apprentice has demonstrated the knowledge, skills and behaviours required to be occupationally competent.

Regular progress checks during the training element of the apprenticeship will confirm that the apprentice is making progress so all parties should be clear that the apprentice is ready to go through gateway.

If an apprentice is not deemed to be ready to pass through gateway, the training provider should communicate with the employer regarding what additional training the apprentice needs. This should then be put into place to get the apprentice ready to pass through gateway and take their EPA.

It is important that an apprentice does not pass through gateway until the employer and training provider consider them to be occupationally component and ready to take their assessment, avoiding any unnecessary resit costs to the employer.

It is also important that the apprentice understands what EPA is from an early stage in their apprenticeship, that they understand the different assessment methods and feel confident that they are ready to take their assessment.

Temporary flexibility for training providers

We are temporarily suspending the funding rule that states the apprentice must have the approved level of FSQs in English and maths before gateway where the apprentice is awaiting calculated FSQ results.

1: The apprentice should be allowed to progress to sit their EPA if they are awaiting a calculated FSQ result once they:

  • have finished all of their training
  • are deemed by you to have the necessary functional skills and sufficient evidence to demonstrate this to receive a calculated FSQ pass or have received confirmation that they have passed their FSQs when able to take a live FSQ after 31 July 2020
  • have reached gateway and are deemed to be occupationally competent by you and the employer, as outlined in the usual gateway process in the apprenticeship funding rules

2: You should explain to the apprentice that if they pass their EPA, they will not be able to achieve their apprenticeship until there is confirmation that they have also passed their FSQ. You should explain that they will need to do further training if they fail their FSQ.

This flexibility should only be used where apprentices are still awaiting calculated FSQ results. This cannot be used when live FSQ tests have restarted after 31 July 2020 and the correct gateway process must be followed.

3: Once the EPA has taken place, you should add a dated note to the apprentice’s evidence pack explaining that the apprentice was able to take their EPA ahead of receiving their FSQ due to revised guidance during coronavirus (COVID-19).

4: The outcome field on the individualised learner record (ILR) should then be completed as usual. You should mark the apprentice as ‘learning activities are complete but the outcome is not yet known’. This will enable the completion payment to be paid to you. We expect you to issue payment to the EPAO for the EPA once it has taken place.

5: Once the FSQ result has been awarded, it is your responsibility to update the ILR field to ‘completed’ and to notify the EPAO of the result as soon as possible.

6: If an FSQ pass has been confirmed and the EPA has been passed, the EPAO can then start the process of requesting the apprenticeship certificate.If the FSQ has been failed, you will need to:

  • notify the apprentice, EPAO and employer

  • provide further training to enable the apprentice to re-sit and pass the FSQ so that they can achieve their apprenticeship as soon as possible

End-point assessment organisation role and responsibilities

As soon as an EPAO is selected, they should engage with the employer (or training provider, where the employer has given permission).

EPAOs should:

  • take note of the proposed gateway date in order to help with resource planning for carrying out assessments

  • agree ways of working with the employer and training provider, including advanced notification of any changes to the planned gateway date

  • provide assessment preparation and practice resources to the employer and training provider to help them prepare the apprentice for EPA and decide when their apprentice is occupationally competent and ready to take EPA

  • have in place a process for checking with the employer and provider that the apprentice has met the gateway requirements

  • check that reasonable adjustments have been made where required

  • ensure operational readiness towards delivering EPA on time

  • provide EPA for the apprentice in a timely manner once they have passed through gateway

  • communicate any change of date, venue or method for EPA to the employer and training provider in good time

Temporary flexibility for EPAOs

We are temporarily suspending the EPAO conditions of acceptance relating to your obligation to confirm that an apprentice has achieved any necessary FSQs at the appropriate level, before passing through gateway and taking their EPA, where the apprentice is awaiting calculated FSQ results.

This flexibility should only be used where apprentices are still awaiting calculated FSQ results. This cannot be used when live FSQ tests have restarted after 31 July 2020 and the correct gateway process must be followed.

1: The apprentice should be allowed to progress to sit their EPA if they are awaiting a calculated FSQ result, once they:

  • have finished all of their training

  • are deemed by the training provider to have the necessary functional skills and sufficient evidence to demonstrate this to receive a calculated FSQ pass or have received confirmation that they have passed their FSQs when able to take a live FSQ after 31 July 2020

  • have reached gateway and are deemed to be occupationally competent by their training provider and employer, as outlined in the apprenticeship funding rules

2: Once the EPA has taken place, you should notify the training provider and apprentice of their EPA result as you would normally. We expect the training provider to issue payment for the EPA once it has taken place.

If the apprentice passes their EPA you should not request the certificate until after their FSQ pass is awarded. You should explain to apprentices that have passed their EPA that they will not receive an apprenticeship certificate until there is confirmation they have passed their FSQs.

3: Once the FSQ result has been awarded, the training provider should notify you of the result so that:

  • if a pass has been confirmed and the EPA has been passed, you can start the process of requesting the apprenticeship certificate
  • if the FSQ has been failed, the apprentice will need to resit and pass the FSQ before you can request their certificate

Apprentice role and responsibilities

An apprentice cannot achieve their apprenticeship unless they take and pass their EPA.

Apprentices are more likely to pass their EPA if they:

  • take ownership of their journey towards EPA at the beginning of the apprenticeship

  • know when they are expected to take their EPA

  • stay on track with their learning and take part in progress reviews with their employer

  • download and understand the relevant apprenticeship standard and assessment plan so that they have a good understanding of the knowledge, skills and behaviours they are required to demonstrate and the methods which will be used to assess them

  • understand which mandatory qualifications they need to take as part of their apprenticeship and ensure they complete them

  • monitor their own progress against the knowledge, skills and behaviours specified in the standard

  • make full use of the materials provided by the EPAO to prepare for EPA

  • make use of employer and training provider support

  • talk to their employer and training provider about the different assessment methods for their apprenticeship standard

  • see EPA as an opportunity to showcase their knowledge, skills and behaviour

At gateway

The apprentice should have the opportunity to express their views about whether they feel ready to pass through gateway and to voice any concerns they might have about taking their EPA.

Published 14 February 2020
Last updated 31 July 2020 + show all updates

  1. We have updated the guidance for temporary flexibilities around functional skills qualifications and end-point assessment.

  2. We have updated the guidance with new temporary flexibilities around functional skills qualifications and end-point assessment.

  3. First published.

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