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1.2
This document explains the requirements for end-point assessment (EPA) for the compliance and risk officer apprenticeship. End-point assessment organisations (EPAOs) must follow this when designing and delivering the EPA.
Compliance and risk officer apprentices, their employers and training providers should read this document.
A full-time compliance and risk officer apprentice typically spends 15 months on-programme (this means in training before the gateway). The apprentice must spend at least 12 months on-programme and complete the required amount of off-the-job training in line with the apprenticeship funding rules.
The apprentice must complete their training and meet the gateway requirements before starting their EPA. The EPA will assess occupational competence.
An approved EPAO must conduct the EPA for this apprenticeship. Employers must select an approved EPAO from the register of end-point assessment organisations (RoEPAO).
This EPA has 2 assessment methods.
The grades available for each assessment method are below.
Assessment method 1 - interview underpinned by a portfolio of evidence:
Assessment method 2 - written project report with presentation and questions:
The result from each assessment method is combined to decide the overall apprenticeship grade. The following grades are available for the apprenticeship:
The EPA is taken in the EPA period. The EPA period starts when the EPAO confirms the gateway requirements have been met and is typically 5 months.
The EPAO should confirm the gateway requirements have been met and the EPA should start as quickly as possible.
The apprentice’s employer must be content that the apprentice has attained sufficient KSBs to complete the apprenticeship. The employer may take advice from the apprentice's training provider, but the employer must make the decision. The apprentice will then enter the gateway.
The apprentice must meet the gateway requirements before starting their EPA.
They must:
Portfolio of evidence requirements
The apprentice must compile a portfolio of evidence during the on-programme period of the apprenticeship. The portfolio should only contain evidence related to the KSBs (Knowledge, Skills and Behaviours) that will be assessed by the interview assessment method. Typically, it will contain 10 discrete pieces of evidence and must be mapped against the KSBs for the interview assessment method. Evidence may be used to demonstrate more than one KSB; a qualitative approach is suggested as opposed to a quantitative one.
Evidence sources may include:
This is not a definitive list and other evidence sources can also be included.
The portfolio of evidence should not include reflective accounts or any methods of self-assessment. Any employer contributions should focus on direct observation of performance (for example, witness statements) rather than opinions. The evidence provided should be valid and attributable to the apprentice. The portfolio of evidence should include a statement from the employer and apprentice confirming its authenticity.
The EPAO should not assess the portfolio of evidence directly as it underpins the interview. The independent assessor should review the portfolio of evidence to prepare questions for the interview. They are not required to provide feedback after this review.
Written project report requirements
The project title and scope will be agreed between the employer and EPAO at gateway to ensure sufficient coverage of the assigned KSBs.
The apprentice must submit the gateway evidence to their EPAO, including any organisation specific policies and procedures requested by the EPAO.
The assessment methods must be delivered in the following order:
Assessment methods 1 and 2 can be delivered in any order or concurrently. However, the assessment components in assessment method 2 cannot be delivered in any order. The written project report must be completed before the presentation and questions can take place.
Consideration can be given to which KSBs are best evidenced by the different aspects of assessment method 2. Whilst all KSBs attached to this assessment method must be demonstrated, it is not necessary to duplicate demonstration in both the written project report and the presentation.
In the interview, an independent assessor will ask the apprentice questions. It gives the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method.
The rationale for this assessment method is that:
reduces the assessment burden on the apprentice
The interview must be structured to give the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method to the highest available grade.
An independent assessor must conduct and assess the interview.
The purpose of the independent assessor’s questions will be to assess the apprentice’s competence against the following themes:
The EPAO must give an apprentice 3 weeks' notice of the interview.
The independent assessor must have at least 2 weeks to review the supporting documentation and generate appropriate questions for the interview. The independent assessor must use questions from the EPAO's question bank or create their own questions in line with the EPAO's training.
The apprentice must have access to their portfolio of evidence during the interview.
The apprentice can refer to and illustrate their answers with evidence from their portfolio of evidence however, the portfolio of evidence is not directly assessed.
The interview must last for 60 minutes. The independent assessor can increase the time of the interview by up to 10%. This time is to allow the apprentice to respond to a question if necessary.
The independent assessor must ask at least 6 questions. Follow-up questions are allowed where clarification is required.
The apprentice may choose to end the assessment method early. The apprentice must be confident they have demonstrated competence against the assessment requirements for the assessment method. The independent assessor or EPAO must ensure the apprentice is fully aware of all assessment requirements. The independent assessor or EPAO cannot suggest or choose to end the assessment methods early, unless in an emergency. The EPAO is responsible for ensuring the apprentice understands the implications of ending an assessment early if they choose to do so. The independent assessor may suggest the assessment continues. The independent assessor must document the apprentice’s request to end the assessment early.
The independent assessor must make the grading decision.
The independent assessor must keep accurate records of the assessment. They must record:
The independent assessor must use the assessment tools and procedures that are set by the EPAO to record the response to questions.
The interview should be recorded (audio or video, including online) for quality assurance and moderation purposes. The recordings will be kept safe and stored by the EPAO in line with data protection legislation and their own internal policies.
The interview must take place in a suitable venue selected by the EPAO for example, the EPAO’s or employer’s premises.
The interview can be conducted by video conferencing. The EPAO must have processes in place to verify the identity of the apprentice and to ensure the apprentice is not being aided.
The interview should take place in a quiet room, free from distractions and influence.
The EPAO must develop a purpose-built assessment specification and question bank. It is recommended that this is created in consultation with employers of the occupation. The EPAO must maintain the security and confidentiality of EPA materials when consulting with employers. The assessment specification and question bank must be reviewed at least once a year to ensure they remain fit-for-purpose.
The assessment specification must be relevant to the occupation and demonstrate how to assess the KSBs mapped to this assessment method. The EPAO must ensure that questions are refined and developed to a high standard. The questions must be unpredictable. A question bank of sufficient size will support this.
The EPAO must ensure that the apprentice has a different set of questions in the case of re-sits or re-takes.
The EPAO must produce the following materials to support the interview underpinned by a portfolio of evidence:
The EPAO must ensure that the EPA materials are subject to quality assurance procedures including standardisation and moderation.
This assessment method involves the apprentice completing a defined piece of work that has a real business application and benefit. The scope of the work completed must meet the needs of the employer's business and be relevant to the apprentice's occupation and apprenticeship. Work towards this assessment method must be carried out after gateway. Please note: the recommendations of the written project report do not need to be implemeted as part of the EPA, but there must be evidence of all the KSBs mapped to this assessment method being demonstrated during the EPA period.
This assessment method has 2 components:
Together, these components give the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method. They are assessed by an independent assessor.
This assessment method is being used because:
The apprentice must write a report of a project that investigates a topic based on any of the following themes:
Examples of types of project that could be used for the written project report are:
The project output should be a written report summarising the analysis and findings of the investigation and the resulting conclusions and recommendations. Apprentices are not required to implement the recommendations of their report as part of the EPA.
The written report should be based on, or relevant to, the apprentice's work area and presented in a format relevant to the project topic. For example, a business proposal, a report to a committee or board, or a proposal for a change plan. The written report should be presented electronically or on paper.
This assessment method should typically take 6 weeks to complete. A suggested timeline might involve 2 weeks for research, 2 weeks for writing the report, and 2 weeks for planning the presentation. However, the suggested timeline is only guidance, and the timeline should align with organisational requirements.
Marking
The independent assessor will review and mark the project in a timely manner, as determined by the EPAO, and without extending the EPA unnecessarily. Similarly, all quality control processes will also be conducted in a timely manner, as determined by the EPAO.
Supporting material
EPAOs will produce the following material to support this assessment method:
To ensure the project allows the apprentice to meet the KSBs mapped to this assessment method to the highest available grade, the EPAO must sign-off the project’s title and scope at the gateway to confirm it is suitable. The EPAO must refer to the grading descriptors to ensure that projects are pitched appropriately.
The project output must be in the form of a written report and presentation.
The apprentice must start the project after the gateway. The employer should ensure the apprentice has the time and resources, within the project period, to plan and complete their project.
The apprentice may work as part of a team to complete the project, which could include internal colleagues or technical experts. The apprentice must however, complete their written project report and presentation unaided and they must be reflective of their own role and contribution. The apprentice and their employer must confirm this when the written report and any presentation materials are submitted.
The written project report must include at least:
The report must also include:
Work towards this assessment method can only commence after the apprentice has gone through the gateway process. The apprentice will typically have 12 weeks in total to complete their project once the EPAO has agreed the project title and scope.
In advance of the apprentice entering the gateway process, the EPAO must provide a generic specification for a range of qualifying projects, to enable the employer to select a project that will meet the requirements of the EPA. Note that the employer is not restricted to this selection; however, the project scope and title must be signed off at the gateway by the EPAO to ensure sufficient coverage of the assigned KSBs.
The written project report must have a word count of 2500 words. A tolerance of 10% above or below is allowed at the apprentice’s discretion. Appendices, references and diagrams are not included in this total. The apprentice must produce and include a mapping in an appendix, showing how the report evidences the KSBs mapped to this assessment method.
The apprentice must complete and submit the report and any presentation materials to the EPAO by the end of week 12 of the EPA period.
The presentation with questions must be structured to give the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method to the highest available grade.
The apprentice must prepare and deliver a presentation to an independent assessor. After the presentation, the independent assessor must ask the apprentice questions about their project, report and presentation.
The presentation should cover:
The presentation with questions must last 45 minutes. This will typically include a presentation of 20 minutes and questioning lasting 25 minutes. The independent assessor must use the full time available for questioning. The independent assessor can increase the time of the presentation and questioning by up to 10%. This time is to allow the apprentice to complete their last point or respond to a question if necessary.
The independent assessor must ask at least 6 questions. They must use the questions from the EPAO’s question bank or create their own questions in line with the EPAO’s training. Follow up questions are allowed where clarification is required.
The purpose of the independent assessor's questions is to:
The apprentice must submit any presentation materials to the EPAO at the same time as the report - by the end of week 12 of the EPA period. The apprentice must notify the EPAO, at that point, of any technical requirements for the presentation.
During the presentation, the apprentice must have access to:
The independent assessor must have at least 2 weeks to review the project report and any presentation materials, to allow them to prepare questions.
The apprentice must be given at least 2 weeks’ notice of the presentation with questions.
The apprentice may choose to end the presentation early. The apprentice must be confident they have demonstrated competence against the assessment requirements for the assessment method. The independent assessor or EPAO must ensure the apprentice is fully aware of all assessment requirements. The independent assessor or EPAO cannot suggest or choose to end the assessment methods early, unless in an emergency. The EPAO is responsible for ensuring the apprentice understands the implications of ending an assessment early if they choose to do so. The independent assessor may suggest the assessment continues. The independent assessor must document the apprentice’s request to end the assessment early.
The independent assessor must make the grading decision. They must assess the project components holistically when deciding the grade.
The independent assessor must keep accurate records of the assessment. They must record:
The presentation with questions must take place in a suitable venue selected by the EPAO for example, the EPAO’s or employer’s premises. It should take place in a quiet room, free from distractions and influence.
The presentation with questions can be conducted by video conferencing. The EPAO must have processes in place to verify the identity of the apprentice and ensure the apprentice is not being aided.
The EPAO must develop a purpose-built assessment specification and question bank. It is recommended this is done in consultation with employers of this occupation. The EPAO must maintain the security and confidentiality of EPA materials when consulting with employers. The assessment specification and question bank must be reviewed at least once a year to ensure they remain fit-for-purpose.
The assessment specification must be relevant to the occupation and demonstrate how to assess the KSBs mapped to this assessment method. The EPAO must ensure that questions are refined and developed to a high standard. The questions must be unpredictable. A question bank of sufficient size will support this.
The EPAO must ensure that the apprentice has a different set of questions in the case of re-sits or re-takes.
EPAO must produce the following materials to support the project:
The EPAO must ensure that the EPA materials are subject to quality assurance procedures including standardisation and moderation.
Performance in the EPA determines the overall grade of:
An independent assessor must individually grade the interview underpinned by a portfolio of evidence and written project report with presentation and questions in line with this EPA plan.
The EPAO must combine the individual assessment method grades to determine the overall EPA grade.
If the apprentice fails one assessment method or more, they will be awarded an overall fail.
To achieve an overall pass, the apprentice must achieve at least a pass in all the assessment methods. The assessment methods contribute equally to the overall EPA pass grade. Performance in the EPA will determine the apprenticeship grade of: fail, pass, merit, and distinction.Independent assessors must individually grade the: professional discussion, project proposal and presentation and questions according to the requirements set out in this EPA plan.EPAOs must combine the individual assessment method grades to determine the overall EPA grade.An apprentice who fails one or more assessment method will be awarded an overall EPA fail.An apprentice must achieve at least a pass in all the assessment methods to get an overall pass. To achieve an overall EPA 'pass', the apprentice must achieve a pass in both assessment methods. To achieve an overall EPA ‘merit,’ the apprentice must achieve a pass in one of the assessment methods and a distinction in the other. To achieve an overall EPA ‘distinction’, apprentices must achieve a distinction in both assessment methodsGrades from individual assessment methods should be combined in the following way to determine the grade of the EPA overall.
Grades from individual assessment methods must be combined in the following way to determine the grade of the EPA overall.
If the apprentice fails one assessment method or more, they can take a re-sit or a re-take at their employer’s discretion. The apprentice’s employer needs to agree that a re-sit or re-take is appropriate. A re-sit does not need further learning, whereas a re-take does. The apprentice should have a supportive action plan to prepare for a re-sit or a re-take.
The employer and the EPAO should agree the timescale for a re-sit or re-take. A re-sit is typically taken within 3 months of the EPA outcome notification. The timescale for a re-take is dependent on how much re-training is required and is typically taken within 4 months of the EPA outcome notification.
If the apprentice fails the project assessment method, they must amend the project output in line with the independent assessor’s feedback. The apprentice will be given 2 weeks to rework and submit the amended report.
Failed assessment methods must be re-sat or re-taken within a 6-month period from the EPA outcome notification, otherwise the entire EPA will need to be re-sat or re-taken in full.
Re-sits and re-takes are not offered to an apprentice wishing to move from pass to a higher grade.
The apprentice will get a maximum EPA grade of pass for a re-sit or re-take, unless the EPAO determines there are exceptional circumstances.
The EPAO must have reasonable adjustments arrangements for the EPA.
This should include:
Adjustments must maintain the validity, reliability and integrity of the EPA as outlined in this EPA plan.
Internal quality assurance refers to the strategies, policies and procedures that an EPAO must have in place to ensure valid, consistent and reliable EPA decisions.
EPAOs for this EPA must adhere to the requirements within the roles and responsibilities table.
They must also appoint independent assessors who:
Affordability of the EPA will be aided by using at least some of the following:
This apprenticeship aligns with: International Compliance Association (ICA) for Associate membership of the ICA (AICA) or Affiliate membership of the ICA
This apprenticeship aligns with: Chartered Institute for Securities and Investment (CISI) for Associate member status (ACSI)
This apprenticeship aligns with: Chartered Institute of Credit Management (CICM) for Associate Membership ACICM
| Version | Change detail | Earliest start date | Latest start date |
|---|---|---|---|
| 1.3 | Occupational standard and end point assessment revised | 05/09/2024 | Not set |
| 1.2 | Occupational standard, end point assessment and funding band revised | 29/07/2024 | 04/09/2024 |
| 1.1 | End-point assessment plan and standard revised | 21/03/2023 | 28/07/2024 |
| 1.0 | Approved for delivery | 19/09/2016 | 20/03/2023 |
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