Explanation of this guidance
This guidance is mainly for End-point assessment organisations (EPAOs) and External quality assurance providers (EQAPs).
It defines the principles and parameters for End-point assessment organisations (EPAOs) to adhere to and External quality assurance providers (EQAPs) to monitor, when first considering and then applying each specific flexibility to EPA delivery.
It only applies to those end-point assessment plans published before 1 April 2022. End-point assessment plans published on or after 1 April 2022 should have these flexibilities considered during their development and be built into the published version where applicable.
Introduction
Flexibilities were introduced as options to support the delivery of apprenticeship end-point assessments through Covid-19.
There were ten different types of flexibility made available to use across all apprenticeships. Some of which required prior approval from the external quality assurance provider (EQAP) on a case-by-case basis to ensure validity and comparability.
Flexibilities are not about altering the intended EPA outcomes but about helping ensure that there is fair opportunity to achieve them.
The Institute has engaged extensively with the sector to listen to everyone’s views on what impact the flexibilities have had. This took the shape of a far-reaching survey, commissioned research targeting apprentices and employers, and speaking to end point assessment organisations (EPAOs), training providers, trailblazer groups and representative bodies. This engagement, along with considering other relevant factors (including the need to ensure value for money and quality of apprenticeship training), has informed our decisions on which flexibilities to retain.
Seven of the ten flexibilities will be retained as options to use beyond 1 April 2022. These are:
- Observations taking place in simulated environments
- Remote delivery of assessment (including invigilation)
- Pauses being allowed between assessment methods during end-point assessment period
- Assessments taking place outside of usual venues
- Delivery of assessment methods in any order (when a specified order is in the assessment plan)
- Exams/tests being online instead of on paper (where originally specified as paper-based only)
- Gateway sign off being done remotely (were originally specified as having to be face to face)
Three of the ten flexibilities will be switched off on 31 March 2022. These are listed below along with the reason why:
- Changes being made to who sits on the EPA interview/discussion panel (when someone in addition to the independent assessor is specified)
- during the Covid-19 period, it wasn’t always possible to have an employer sit on a panel as many were furloughed or busy elsewhere. As the economy returns to normal, the original assessment plan can now be delivered, helping to protect quality for apprentices, maintain validity and improve learning for future apprentices.
- Allowing other suitable evidence of achievements being used in replacement of functional skills qualifications at gateway (other mandated qualifications are covered under temporary discretions)
- this is no longer needed because the mandated qualifications should become available and achievable as restrictions are relaxed and training providers reopen.
- Extension to the length of the end-point assessment period (where specified)
- because it disadvantages apprentices to have a long wait for their end-point assessment (EPA) after passing through gateway.
Timing guidance for the three flexibilities being withdrawn
The cut-off point for those flexibilities which are being withdrawn is the date at which the actual assessment occurs, not the date of gateway. For example, apprentices that progress through gateway prior to or on 31 March 2022 but have their end-point assessment planned after 1 April 2022 will not be able to use the three flexibilities being withdrawn.
Any end-point assessments that begin prior to or on 31 March 2022 but are completed after 1 April 2022 can continue to make use of the flexibilities being withdrawn.
Apprentices that complete their end-point assessment before 31 March 2022, using a flexibility that is being withdrawn, but who require a resit/retake after 1 April 2022, are permitted to continue to use the withdrawn flexibility for their resit/retake.
Apprentices that are due to complete their end-point assessment before 31 March 2022 using the flexibility but, due to extenuating circumstances, are unable to do so prior to the flexibility being withdrawn should be given the opportunity to continue to be assessed using the flexibility, if that is still appropriate. The EPAO must keep clear records in these cases.
For those flexibilities which are retained the general principles and specific parameters around their use are defined in this guidance. This is to make sure quality, value for money and the needs of employers and apprentices are taken into account when making judgements of occupational competence.
General principles
Where possible, apprentices should continue with scheduled EPAs, that are in line with requirements set out in the assessment plan.
Where an EPA was published prior to 1 April 2022, EPAOs may use one or more of the seven retained flexibilities set out above, in accordance with the parameters detailed below, to facilitate the delivery of end-point assessment.
In order to use the following three flexibilities the EPAO must seek and gain permission from the Institute and/or EQAP prior to adopting them, full details of these permissions are explained within the flexibility parameters below:
- 1. observations taking place in simulated environments
- 2. remote delivery of observation or practical assessment
- 4. project specified to be completed under controlled conditions taking place outside of usual venues
This is to protect quality where the EPAOs proposed application of the flexibility needs further consideration as to whether it will maintain the validity of the assessment method for that specific apprenticeship and assessment method.
It should be noted that this guidance does not change the expected assessment and grading outcomes included in the published assessment plan. Flexibilities are about helping ensure that there is a fair opportunity to achieve them in an efficient and effective manner.
If an EPAO requires clarification on flexibilities, (including confirmation that their assessments correctly apply the flexibility) they should contact their EQAP in the first instance.
For all retained flexibilities
EPAOs should first communicate their intended use of any flexibility and the rationale for doing so with the employer and apprentice. This will test the employer and apprentice view on the flexibility and help identify any impact on EPA cost and wider funding implications in advance.
The EPAO and employer should consider, and mitigate against, any potential adverse impacts of the flexibility on other stakeholders within any assessment environment under their control (for example they should consider whether the use of video technology or a change of venue could compromise client or patient confidentiality and take appropriate steps to avoid this).
The need for flexibilities should be considered at the earliest possible opportunity to allow adequate time for any additional preparation required by the flexibility (for example new technology and training to use it).
Where responsibility for EQA is transferred from one EQAP to another we expect the new EQAP to honour any flexibility in place previously agreed by the Institute or former EQAP.
The Institute reserves the right to adjust the parameters of or withdraw any of these flexibilities in their entirety, subject to providing all those potentially affected with a reasonable notice period. The Institute may need to do this if it is apparent that the flexibilities are no longer required, relevant, or fit for purpose. We will make this decision having balanced all relevant factors, including the needs of employers and apprentices, the need to ensure the quality of apprenticeship training and assessment, and value for money.
Flexibility parameters
1. Observations taking place in simulated environments
If the apprentice’s workplace is explicitly specified as the only available option within the assessment plan then this flexibility does not apply.
This flexibility is primarily classed as a change in assessment method so the Trailblazer must be consulted as to the suitability for their occupation. Therefore the initial decision to allow this flexibility for a specific apprenticeship needs to be treated as a dispensation.
See revisions, adjustments and dispensations guidance for further information about what a dispensation is and how they are handled by the Institute.
Trailblazer to: Agree in principle the suitability and validity for their occupation and that occupational competence will not be compromised (or reject) – this will be processed as part of the dispensation request Confirm that the initial proposal is comparable with the original intended workplace observation, targets the original mapped KSBs and satisfies all parameters – this will be processed as part of the dispensation request Incorporate their decisions in any future revision
Retained from 1 April 2022?
Yes
End-point assessment organisation must:
- Request a dispensation, through the EQAP, from the Institute in advance of developing assessment materials.
- This flexibility is primarily classed as a change in assessment method so the Trailblazer must be consulted as to the suitability for their occupation, through the dispensation process
- The initial proposal must outline how the parameters here will be met.
- If dispensation is granted it will apply across all EPAOs for the apprenticeship standard so only needs to be secured by the first applicant.
- If the dispensation request is rejected the flexibility cannot be applied to the apprenticeship.
EPAOs must not contact the Trailblazer directly.
- Get agreement from the EQAP that each developed simulated environment is comparable with the original intended workplace observation, targets the original mapped KSBs and satisfies all parameters here and any outlined in the dispensation, before delivering first assessment
- Supplement the simulated environment with a scenario and specification of defined tasks for the apprentice to complete (or an equivalent structure/format)
- Replicate normal working conditions and the naturally occurring activities the apprentice would have likely undertaken in the workplace observation, as far as practicable (including pressures, considerations and hazards they would reasonably encounter in employer and/or customer premises)
- Ensure comparable assessment demand to the workplace observation within the original parameters of the assessment plan (e.g. adhere to original durations, assessor/apprentice ratios, questions)
- Afford the apprentice the opportunity to meet all existing grading descriptors at all levels (including fail)
- Retain evidence for the need to use a simulated environment for a particular cohort and/or employer and/or timeframe. This evidence will include a request and rationale from the employer contracting them for the EPA in scope (e.g. it may not be appropriate to conduct the EPA in their customer's premises).
- Ensure validity, consistency, reliability and comparability
External quality assurance provider to:
- Communicate EPAO request and proposal for dispensation to the Institute
- Input into the dispensation decision making process where requested
- Communicate dispensation decision across all EPAOs on the apprenticeship standard.
- Confirm that each developed simulated environment is comparable with the original intended workplace observation, targets the original mapped KSBs and satisfies all parameters here and any outlined in the dispensation, for each EPAO, prior to them delivering first assessment.
- Communicate this confirmation to the EPAO and record in Qualitas
- Monitor consistency and comparability between different EPAOs’ simulated environments
- Incorporate into routine monitoring and risk profiling
2. Remote delivery of assessment (including invigilation)
Assessor views/conducts the assessment method(s) remotely using video technology. The assessment is still conducted “live” in real-time.
Retained from 1 April 2022?
Yes
End-point assessment organisation must:
- Get agreement in advance from EQAP if using for observation or practical assessment (agreement not required for other assessment methods such as discussion/interview, test, presentation)
- Ensure the remote delivery allows the assessor to make valid, consistent and reliable judgements against all grading criteria (e.g tolerances, surface finishes, inspection of artefacts, movements of the apprentice)
- Verify the apprentice’s identity
- Ensure the apprentice is not being aided in any way which would give them an unfair advantage
- Appropriately train the invigilator or independent assessor(s) that supervises the apprentice (this supervision can happen remotely). The invigilator or independent assessor(s) must meet the following criteria:
- hold the necessary qualifications, training or experience (as detailed in the assessment plan for their role)
- not have been involved in the training, preparation or line management of the apprentice
- Consider the impact on apprentices is taken into consideration to ensure a fair and reliable assessment of occupational competence (e.g access to and familiarity with any required technology)
- Ensure validity, consistency, reliability, security and independence
External quality assurance provider to:
- Agree whether remote delivery of observation or practical assessment remains valid for that specific end-point assessment plan (e.g. can the assessor make accurate judgements against the grading criteria if the evidence they see is relayed via live video?)
- Communicate decision across all EPAOs on the apprenticeship standard and record in Qualitas
- Incorporate into routine monitoring and risk profiling
3. Pauses being allowed between assessment methods during end-point assessment period
A 'pause' takes place post-gateway and is used where the EPA plan sets out a particular timeframe within methods (where components exist) and/or between methods.
Retained from 1 April 2022?
Yes
End-point assessment organisation must:
- Minimise pauses as far as practicable so as not to disadvantage the employer or apprentice
- Not extend the EPA period beyond any limit specified in the assessment plan (where not specified recommend typically 3 months and should not take longer than 6 months).
External quality assurance provider to:
- Incorporate into routine monitoring
4. Assessments taking place outside of usual venues
Does not relate to simulated environments replacing workplace observation which is classed primarily as a change of assessment method and dealt with separately in flexibility no.1
Relates solely to the venue changing and all other parameters remain the same
e.g. the apprentice being located at their home for a professional discussion when usually they would have been in a room at their usual place of work
This may be used in conjunction with remote delivery of assessment (no.2)
Retained from 1 April 2022?
Yes
End-point assessment organisation must:
- Get agreement in advance from EQAP if using for a project specified to be completed under controlled conditions (agreement not required for other assessment methods)
- Ensure that the alternative assessment environment is secure and suitable for conducting the assessment and for the apprentice.
- Verify the apprentice’s identity
- Ensure the apprentice is not being aided in any way which would give them an unfair advantage, for example, monitoring with the use of a 360 degree camera and/or appropriate software
- Invigilate the assessment. Invigilators can be specifically recruited for this role or be the independent assessor, but training and supervision needs to be in-line with the EPAO’s invigilation procedures. All invigilators must be trained and meet the usual independence criteria including:
- attending training as directed by the EPAO
- have no direct connection or conflict of interest with the apprentice, employer or training provider
- invigilate and supervise apprentices in breaks during assessment methods to prevent malpractice.
- Ensure validity, consistency, reliability, independence and comparability
External quality assurance provider to:
- Agree, if relating to a project which must be completed under controlled conditions, whether the EPAO can adequately replicate the controlled conditions, as they are specified in the original assessment plan, for the new venue. (e.g. a quiet room, away from the normal place of work, with a dedicated work-station, with access to all the required equipment and with someone responsible for the controlled environment to ensure it is their own work and to respond to any questions in a consistent way)
- Communicate decision across all EPAOs on the apprenticeship standard and record in Qualitas
- Incorporate into routine monitoring
5. Delivery of assessment methods in any order (when a specified order is in the assessment plan)
Unless EPA is integrated or the re-order risks non completion of EPA (displacement), compromises safety or the results of one method impact the next
Retained from 1 April 2022?
Yes
End-point assessment organisation must:
- Ensure the completion of all assessment methods and any professional, regulatory, safety or qualification requirements are not compromised by the re-order
External quality assurance provider to:
- Incorporate into routine monitoring
6. Exams/tests being online instead of on paper (where originally specified as paper based only)
This relates to a change from paper to electronic delivery.
This flexibility does not relate specifically to remote delivery (no.2) or change of venue (no.4) which are dealt with separately but can be used in conjunction with them.
Retained from 1 April 2022?
Yes
End-point assessment organisation must:
- Ensure validity, consistency, reliability, security and reasonable adjustments
External quality assurance provider to:
- Incorporate into routine monitoring
7. Gateway sign off being done remotely (where originally specified as having to be face to face)
This refers to the gateway sign-off “meeting” being conducted remotely and still requires any live interaction as required by the assessment plan, albeit remotely.
Retained from 1 April 2022?
Yes
End-point assessment organisation must:
- Replicate the usual due diligence checks normally carried out face to face (e.g verification of identity, authenticity of documents)
External quality assurance provider to:
- Incorporate into routine monitoring
8. Changes being made to who sits on the EPA interview/discussion panel (when someone in addition to the independent assessor is specified)
Retained from 1 March Aprl?
No
End-point assessment organisation must:
- Revert back to the published assessment plan
External quality assurance provider to:
9. Allowing other suitable evidence of achievements being used in replacement of functional skills qualifications at gateway (other mandated qualifications are covered under temporary discretions)
Retained from 1 April 2022?
No
End-point assessment organisation must:
- Comply with ESFA funding rules current at the time
External quality assurance provider to:
- Incorporate into routine monitoring of gateway compliance with ESFA funding rules current at the time
10. Extension to the length of the end-point assessment period (where specified)
Retained from 1 April 2022?
No
End-point assessment organisation must:
- Revert back to published assessment plan
External quality assurance provider to:
For more information
If you have any queries about this guidance please email enquiries.ifa@education.gov.uk. To help us identify and prioritise your query please use the following title in the subject box: EPA_flexibilities [your Organisation name]
If an EPAO requires clarification on flexibilities, (including confirmation that their assessments correctly apply the flexibility) they should contact their EQAP in the first instance.
