V1.1
This document explains the requirements for end-point assessment (EPA) for the senior compliance and risk specialist apprenticeship. End-point assessment organisations (EPAOs) must follow this when designing and delivering the EPA.
Senior compliance and risk specialist apprentices, their employers and training providers should read this document.
An approved EPAO must conduct the EPA for this apprenticeship. Employers must select an approved EPAO from the Education and Skills Funding Agency’s Register of end-point assessment organisations (RoEPAO).
A full-time apprentice typically spends 36 months on-programme (this means in training before the gateway) working towards competence as a senior compliance and risk specialist. All apprentices must spend at least 12 months on-programme. All apprentices must complete the required amount of off-the-job training specified by the apprenticeship funding rules.
This EPA has 2 assessment methods.
The grades available for each assessment method are:
Assessment method 1 - professional discussion:
Assessment method 2 - project report, 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 up to 5 months.
The expectation is that the EPAO will confirm the gateway requirements have been met and the EPA starts as quickly as possible.
The apprentice’s employer must confirm that they think their apprentice is working at or above the occupational standard. The apprentice will then enter the gateway. The employer may take advice from the apprentice's training provider(s), but the employer must make the decision.
The apprentice must meet the gateway requirements before starting their EPA.
These are:
Portfolio of evidence requirements:
Professional discussion: Apprentices must compile a portfolio of evidence during the on-programme period of the apprenticeship. It should only contain evidence related to the KSBs that will be assessed by this assessment method. It will typically contain 15 discrete pieces of evidence. Evidence must be mapped against the KSBs. EPAOs should provide mapping documents for the apprentice to complete prior to submission.
Evidence may be used to demonstrate more than one KSB; a qualitative as opposed to quantitative approach is suggested.
Evidence sources may include:
Workplace documentation and records, for example:
This is not a definitive list; other evidence sources can 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 contain a statement from the employer and apprentice confirming this.
The EPAO should not assess the portfolio of evidence directly as it underpins the discussion . The independent assessor should review the portfolio of evidence to prepare questions for the discussion . They are not required to provide feedback after reviewing the portfolio..
Once the apprentice has submitted the professional discussion portfolio, the EPAO will review the portfolio within 2 weeks. The EPAO will communicate with the apprentice and employer to decide on a date for the professional discussion. Typically any time within the 5 month EPA period.
Project report, presentation and questions: The employer and the apprentice must confirm that the apprentice has completed the work themselves.
Apprentices must compile a project during the on-programme period of the apprenticeship, specifically within the last 6 months prior to gateway. It should contain evidence related to the KSBs that will be assessed by this assessment method. The portfolio of evidence will typically contain evidence of 1-2 projects. Evidence should be mapped against the KSBs. The apprentice should also provide a maximum 300-word context summary outlining the project(s).
Evidence may be used to demonstrate more than one KSB; a qualitative as opposed to quantitative approach is suggested. Evidence sources may include:
Workplace documentation /records, for example:
This is not a definitive list, other evidence sources can be included.
The portfolio 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 contain a statement from the employer and apprentice confirming this.
The EPAO should not assess the portfolio of evidence directly as it underpins the question stage of the presentation. The independent assessor should review the portfolio of evidence to prepare questions. They are not required to provide feedback after reviewing the portfolio.
The project may be based on any of the following:
The project may also be based on:
Once the apprentice has submitted the project(s) portfolio, the EPAO will review the portfolio within 2 weeks to enable a decision on a suitable project report scope and title. The EPAO will communicate the scope and title to the apprentice within 1 week of the review. The employer and apprentice are not involved in the decision on the project report, scope and title.
The EPA period starts when the EPAO confirms all gateway requirements have been met. The EPAO must complete this within 15 working days.
The apprentice must submit any policies and procedures as requested by the EPAO.
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 project report must be completed and written prior to the presentation and questions.
The rationale for this is that the presentation must be based on the content of the project report. The presentation will enable the apprentice to present their findings within the report and also give the assessor the opportunity to assess any of the KSBs which have not been captured within the report. The presentation will also give the assessor the opportunity to verify that the report is the work of the apprentice.
In the professional discussion, an independent assessor and apprentice have a formal two-way conversation. It gives the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method.
This assessment method is being used because:
reduces the assessment burden on the apprentice
The professional discussion 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 professional discussion.
The purpose of the independent assessor’s questions will be to assess the apprentice’s competence against the following themes:
The purpose of the independent assessor's questions will be to assess the apprentice on the following themes:
The EPAO must give an apprentice 3 weeks' notice of the professional discussion.
The independent assessor must have at least 2 weeks to review the supporting documentation.
The apprentice must have access to their portfolio of evidence during the professional discussion.
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 professional discussion must last for 90 minutes. The independent assessor can increase the time of the professional discussion by up to 10%. This time is to allow the apprentice to respond to a question if necessary.
The independent assessor must explain to the apprentice the format and timescales of the professional discussion before it starts. This does not count towards the assessment time.
The independent assessor must ask at least 10 questions. The independent assessor 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 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 professional discussion must take place in a suitable venue selected by the EPAO for example, the EPAO’s or employer’s premises.
The professional discussion 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 professional discussion 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 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.
The EPAO must produce the following materials to support the professional discussion:
The EPAO must ensure that the EPA materials are subject to quality assurance procedures including standardisation and moderation.
The report involves the apprentice completing a written report based on a significant and defined project that has a real business application and benefit. The project must be completed on-programme in the last 6 months prior to gateway, and is not assessed. The report must then be written during the EPA period and will be assessed.
The project report, presentation and 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 EPAO must refer to the grading descriptors to ensure that the report is pitched appropriately
This assessment method includes 2 components:
The project report and any components must be assessed holistically by the independent assessor when they are deciding the grade for this assessment method.
This assessment method is being used because:
The project report, presentation and 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 complete a project in the last 6 months of the apprenticeship before entering gateway. The project may be based on any of the following:
This piece of work may also be based on:
The project report must be completed during the EPA period and will be based on the project completed pre-gateway. The project will not be assessed, however the project report will be assessed.
To ensure the report allows the apprentice to meet the KSBs mapped to this assessment method to the highest available grade, the EPAO should decide the project report title and scope at gateway to ensure it is suitable.
The apprentice can only start the project report after the gateway. They must complete and submit the report to the EPAO within 8 weeks of receiving confirmation of the report title from the EPAO. The employer should ensure the apprentice has the time and resources within this period, to plan and complete their project report. The project report and content should be completed unaided.
The apprentice may work as part of a team which could include technical internal or external support. However, the project report must be the apprentice’s own work and will be reflective of their own role and contribution. The apprentice and their employer must confirm that the project report is the apprentice’s own work when it is submitted.
The report must include at least:
In order to ensure the report is robust and sufficiently covers the KSBs, the report should include, at least:
The project report has a maximum word count of 3500 words. A tolerance of 10% above the word count is allowed at the apprentice’s discretion. Appendices, references and diagrams are not included in this total. An appendix must be included showing how the project report maps to the KSBs that are being assessed by this method.
Should an apprentice fail component 1, the apprentice will need to re-take component 1 before progressing to component 2.
In the presentation with questions the apprentice delivers a presentation to an independent assessor based on the report and critically evaluates their outcomes and results. The independent assessor must ask questions following the presentation. This gives the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method.
The purpose of the questions is:.
The presentation will provide an overview and salient points of the apprentice’s report with the opportunity for questions and answers presentation with questions and answers. The independent assessor must ask questions after the presentation. All presentations must include at least:
The apprentice must prepare and submit their presentation to the EPAO at the same time as the apprentice submits the project report.
The apprentice must notify the EPAO, at the submission of the presentation, of any technical requirements for the presentation. For the presentation, the apprentice will have access to:
The independent assessor must have at least 2 weeks to mark the report to allow the independent assessor to prepare questions.
The EPAO must give the apprentices at least 1 week(s) notice of the date and time of the presentation with questions.
The apprentice must deliver their presentation to the independent assessor on a one-to-one basis
The independent assessor must ask questions after the presentation.
The presentation and questions must last 60 minutes. This will typically include a presentation of 20 minutes and questioning lasting 40 minutes. The independent assessor can increase the total 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 8 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 independent assessor must use the full time available for questioning. There is equal weighting between the presentation and questioning components.
The presentation with questions must take place in a suitable venue selected by the EPAO (for example the EPAO’s or employer’s premises).
The presentation with questions should take place in a quiet room, free from distractions and influence.
The presentation with questioning 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 write an assessment specification and question bank. The specification must be relevant to the occupation and demonstrate how to assess the KSBs mapped to this assessment method. It is recommended this is done in consultation with employers of this occupation. EPAOs should maintain the security and confidentiality of EPA materials when consulting employers. The questions must be unpredictable. A question bank of sufficient size will support this. The assessment specification and questions must be reviewed at least once a year by the EPAO to ensure they remain fit-for-purpose.
The EPAO must develop purpose-built question banks and ensure that appropriate quality assurance procedures are in place, for example, considering standardisation, training and moderation. EPAOs must ensure that questions are refined and developed to a high standard.
The EPAO must ensure that 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 report, presentation and questions:
The assessment methods contribute equally to the overall EPA pass grade.
Performance in the EPA will determine the apprenticeship grade of:
Independent assessors must individually grade the: professional discussion, project report 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 methods
Grades from individual assessment methods should be combined in the following way to determine the grade of the EPA overall.
An apprentice who fails one or more assessment method(s) 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.
An apprentice should have a supportive action plan to prepare for a re-sit or a re-take.
The employer and EPAO 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.
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.
An 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 how the EPAO ensures valid, consistent and reliable EPA decisions. The EPAO must adhere to the requirements within the roles and responsibilities section and:
Affordability of the EPA will be aided by using at least some of the following:
This apprenticeship aligns with The Chartered Institute for Securities and Investment (CISI) qualification. Successful completion of this qualification will give access to full membership of the Institute and MCSI designatory letters.
This apprenticeship aligns with The Institute of Risk Management qualifications. Successful completion of a qualification would give recognition as a Certificate Member (IRMCert) when completing the Certificate qualifications and Graduate Member (GradIRM) when completing the Diploma.
This apprenticeship aligns with The Chartered Banking Institute qualification. An apprentice successfully completing the qualification would be eligible for recognition as a Certified Member (CCBI) and would be able to use the professional designation 'CRP' (Climate Risk Professional).
The apprenticeship aligns with The International Compliance Association qualifications. Successful completion of a qualification will give access to full professional membership of the ICA and permit the use of the MICA designatory letters.
This apprenticeship aligns with The Chartered Institute of Credit Management qualification. An apprentice successfully completing this qualification would be eligible for Graduate Membership MCICM(Grad).
| Version | Change detail | Earliest start date | Latest start date |
|---|---|---|---|
| 1.1 | End-point assessment plan, standard and funding revised. | 04/02/2023 | Not set |
| 1.0 | Approved for delivery | 19/09/2016 | 03/02/2023 |
Crown copyright © 2025. You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. Visit www.nationalarchives.gov.uk/doc/open-government-licence