[Apprenticeship Levy-paying Employer] · Approved Apprenticeship Standard: has the meaning given in...

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© UCEM, WA CS (Levy) V3 of 18

Evidence Pack Part R (1)

Apprenticeship Delivery Agreement [Apprenticeship Levy-paying Employer]

THIS AGREEMENT is made on <<insert date/month/year>>

BETWEEN [1] University College of Estate Management [UCEM] – Horizons,

60 Queen’s Road, Reading, Berkshire RG1 4BS [The ‘Main Provider’]

UK Provider Reference Number: 10008173 [2] <<Employer name, employer address, employer postcode>>

Employer name must be as registered with HMRC [The ‘Employer’]

And each shall be a PARTY Introduction and recital of intention:

WHEREAS

[A] The Main Provider is a registered provider of apprenticeship training;

[B] The Employer wishes to provide apprenticeship education to an employee by making use of theservices of the Main Provider;

[C] The Main Provider and the Employer have agreed that their relationship should be governed by alegally binding contract and the agreed terms of the contract are those set out in this Agreement.

NOW THE PARTIES AGREE AS FOLLOWS

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Contents

1.0 Definitions and Interpretation ......................................................................................................................... 3 2.0 Principal Contacts for this Agreement ........................................................................................................... 5

3.0 Apprenticeship Service Account Details ........................................................................................................ 5 4.0 Apprenticeship Details ................................................................................................................................... 6 5.0 Apprentice Details.......................................................................................................................................... 6 6.0 Average Number of Employees ..................................................................................................................... 6 7.0 Apprentice Employment, Secondments and Employer Responsibilities ....................................................... 6 8.0 Training and On-Programme Assessment Services to be Provided ............................................................. 7 9.0 Off-the-Job Training ....................................................................................................................................... 7 10.0 Progress Monitoring and Reporting ............................................................................................................. 8 11.0 End-point Assessment [RICS Assessment of Professional Competence] .................................................. 8 12.0 Fees, Funding and Payments ...................................................................................................................... 8 13.0 Changes in Circumstance During Apprenticeship Delivery ....................................................................... 10 14.0 Safeguarding, Prevent Duty and Health and Safety ................................................................................. 10

15.0 Equality and Additional Learning Support ................................................................................................. 11 16.0 Main Provider Duties and Responsibilities ................................................................................................ 11 17.0 Employer Duties and Responsibilities ....................................................................................................... 11 18.0 Intellectual Property Rights ........................................................................................................................ 12 19.0 Data Protection .......................................................................................................................................... 12 20.0 Termination of Agreement ......................................................................................................................... 12 21.0 Complaints and Dispute Resolution .......................................................................................................... 13 22.0 Amendments and Variations ..................................................................................................................... 13 23.0 Limitation of Liability .................................................................................................................................. 14 24.0 Force Majeure............................................................................................................................................ 14 25.0 Waiver ........................................................................................................................................................ 14 26.0 Notices ....................................................................................................................................................... 14 27.0 Contracts (Rights of Third Parties) Act 1999 ............................................................................................. 14

28.0 Entire Agreement ....................................................................................................................................... 14 29.0 Assignment ................................................................................................................................................ 15 30.0 Variation ..................................................................................................................................................... 15 31.0 Governing Law........................................................................................................................................... 15 Signatures .......................................................................................................................................................... 15 Appendix A – Safeguarding of Apprentices ....................................................................................................... 16 Appendix B – Prevent Duty ............................................................................................................................... 18

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1.0 Definitions and Interpretation 1.1 In this Agreement the following terms shall have the following meanings:

Agreement: all parts of this Agreement and includes the Schedules and Appendices incorporated into it.

Apprentice: The person named in Clause 5.1 that is completing the Apprenticeship stated in Clause 4.1.

Apprentice Evidence Pack: The evidence required by the Funding Body to support the funding claimed.

End-point Assessment Organisation: any organisation on the Register of End-point Assessment Organisations which is selected by an Employer and contracted by a Training Provider to carry out End-point Assessment.

Apprenticeship: means an approved English apprenticeship in accordance with the Apprenticeships, Skills, Children and Learning [ASCL] Act 2009. An apprenticeship is a job with an accompanying skills development programme. This includes the training and where required End-point Assessment for an employee as part of a job with an accompanying skills development programme.

Apprenticeship Agreement: an approved English apprenticeship agreement; or an apprenticeship agreement within the meaning given in section 32 of the Apprenticeship, Skills, Children and Learning Act 2009 as it applies in relation to England by virtue of provision made under section 115[9] of the Deregulation Act 2015. This can be a written statement of particulars under the Employment Rights Act 1996, a contract of employment or a letter of engagement, where the employer’s duty under the 1996 Act is treated as met.

Approved Apprenticeship Standard: has the meaning given in Section A1 of the Apprenticeships, Skills, Children and Learning Act 2009.

Apprenticeship Completion Date: the date when the Apprentice has achieved all requirements of the Assessment

Apprenticeship Levy: the levy payable by all employers with an annual pay bill of more than £3 million which is used to support the funding of Apprenticeships.

Apprenticeship Planned End Date: the date entered onto the ILR when the Apprentice is expected to complete their Apprenticeship including End-point Assessment.

Apprenticeship Service: the service provided by the Funding Body to fund apprenticeship training undertaken by approved training providers using Government funds.

Apprenticeship Start Date: the date when the Apprentice started/is due to start their Apprenticeship.

Assessment Plan: a document that sets out the on-programme and synoptic assessment requirements in relation to a specific Approved Apprenticeship Standard.

Break in Learning: where an individual is not continuing with their Apprenticeship but has told the Employer beforehand that they intend to resume their Apprenticeship in the future.

Change of Control: has the meaning given in section 1124 of the Corporation Tax Act 2010.

Commitment Statement: a statement signed and held by the Main Provider, the Apprentice and their Employer that sets out how the Apprentice will be supported to successful achievement of the Apprenticeship.

Connected Company: an entity [being a distinct legal entity] that is connected to other companies [each with a distinct legal entity] for the purposes of the paying the Apprenticeship Levy and other HMRC related activity.

Data Controller: in relation to the Data Protection Act 1998 (DPA) means a person who (either alone or jointly or in common with other persons) determines the purposes for which and the manner in which any personal data are, or are to be processed

Employed: an individual who has a contract of employment. This does not include individuals who are self-employed.

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Employer Co-Investment: a financial contribution towards the cost of Training which is payable by the Employer to the Main Provider when there are insufficient funds in the Employer’s Digital Account.

Employer’s Digital Account: the part of the Apprenticeship Service which shows the amount of Apprenticeship Levy funds available via the Funding Body for the Employer to spend on apprenticeship training.

End-point Assessment: A synoptic assessment as specified within the Assessment Plan for an Approved Apprenticeship Standard. End-point assessment is the final activity for an Apprenticeship that is linked to an Approved Apprenticeship Standard.

Force Majeure: in relation to either Party, any circumstances beyond the reasonable control of that Party including acts of God, compliance with any law, order, rule or regulation of any governmental or other authority, acts of any governmental or super-national authority, war or national emergency, riots, civil commotion, acts of terrorism, fire, explosion, flood, severe weather conditions, epidemic, lock-outs, strikes and other industrial disputes.

Funding: the funding paid to the Main Provider on behalf of the Employer towards the cost of training and End-point Assessment in accordance with this Agreement.

Funding Body: the Education and Skills Funding Agency, an executive agency of the Department for Education.

Funding Rules: the Apprenticeship Funding and Performance Management Rules for Training Providers and, where applicable, the Apprenticeship Funding: Rules for Employer-Providers, both as revised and amended from time to time and available at: https://www.gov.uk/government/publications/apprenticeship-funding-and- performance-management-rules-2017-to-2018.

Gateway Requirements: the requirements set out in the Assessment Plan that must be met by the Apprentice prior to undertaking End-point Assessment of the Approved Apprenticeship Standard.

Insolvency Event: means any of the following circumstances: a) party suspends or threatens to suspend payment of its debts or is unable to pay its debts

as they fall due or is deemed unable to pay its debts within the meaning of any relevant provision of the Insolvency Act 1986;

b) a party commences negotiations with all or any class of its creditors with a view to rescheduling any of its debts, or makes a proposal for or enters into any compromise or arrangement with any of its creditors other than for the sole purpose of a bona fide reconstruction or amalgamation;

c) a petition is filed, a notice is given, a resolution is passed, or an order is made, for or in connection with the winding up of the relevant party other than for the sole purpose of a bona fide reconstruction or amalgamation;

d) a receiver, administrative receiver or similar officer is appointed over the whole or any part of the relevant party’s business or assets;

e) an application order is made either for the appointment of an administrator or for an administration order, an administrator is appointed, or notice of intention to appoint an administrator is given;

f) any event occurs, or proceeding is taken, with respect to the relevant party in any jurisdiction to which it is subject that has an effect equivalent or similar to any of the events mentioned in [a]-[e] [inclusive]; or

g) the relevant party suspends or ceases, or threatens to suspend or cease, carrying on all or a substantial part of its business.

Individualised Learner Record [ILR]: The primary data file prepared and submitted at required intervals by the Main Provider to the Funding Body.

Intellectual Property Rights: patents, utility models, rights to inventions, copyright and neighbouring and related rights, moral rights, trade marks and service marks, business names and domain names, rights in get-up and trade dress, goodwill and the right to sue for passing off or unfair competition, rights in designs, rights in computer software, database rights, rights to use, and protect the confidentiality of, confidential information (including Know-How and trade secrets) and all other intellectual property rights, in each case whether registered or unregistered and

https://www.gov.uk/government/publications/apprenticeship-funding-and-%20performance-management-rules-2017-to-2018

https://www.gov.uk/government/publications/apprenticeship-funding-and-%20performance-management-rules-2017-to-2018

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including all applications and rights to apply for and be granted, renewals or extensions of, and rights to claim priority from, such rights and all similar or equivalent rights or forms of protection which subsist or will subsist now or in the future in any part of the world.

Off-the-job training: Off-the-job training is defined as learning which is undertaken outside of the normal day-to-day working environment and leads towards the achievement of an apprenticeship. This can include training that is delivered at the apprentice’s normal place of work but must not be delivered as part of their normal working duties. Further details are given in https://www.gov.uk/government/publications/apprenticeships-off-the-job-training

Know-How: information, data, know-how or experience whether patentable or not and including but not limited to any technical and commercial information relating to research, design, development, manufacture, use or sale.

End-point Assessment Organisation: An organisation that is included in Register of End-point Assessment Organisations https://www.gov.uk/government/collections/register-of-apprentice-assessment-organisations

Register of Apprenticeship Training Providers: the online register of apprenticeship training providers which lists the organisations approved to deliver Training to Apprentices under this Agreement.

RIDDOR: Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013.

1.2 Unless the context otherwise requires, words in the singular shall include the plural and in the plural shall include the singular.

1.3 Unless the context otherwise requires, a reference to one gender shall include a reference to the other genders.

1.4 A reference to a statute or statutory provision is a reference to it as amended, extended or re-enacted from time to time.

1.5 References to clauses and Schedules and Appendices are to the clauses and Schedules and Appendices of this Agreement.

1.6 A reference to a person or body includes a reference to its successor and permitted assigns.

1.7 Any words following the terms “including”, “include”, “in particular”, “for example” or any similar expression shall be construed as illustrative and shall not limit the sense of the words, description, definition, phrase or term preceding those terms.

2.0 Principal Contacts for this Agreement 2.1 The Employer nominates the following principal contact for this Agreement:

Title: <<Insert details>> Name: <<Insert details>> Position in business: <<Insert details>> Contact telephone number[s]: <<Insert details>> Email address: <<Insert details>> 2.2 The Main Provider nominates the following principal contact for this Agreement: Title: Dr. Name: Wendy Finlay Position in business: Vice Principal – Student Experience Contact telephone number[s]: 0118 467 2028 Email address: [email protected]

3.0 Apprenticeship Service Account Details 3.1 The Apprenticeship Service account through which this Apprenticeship will be administered and

funded [subject to sufficient levy funds being available] is: <<Insert name of Apprenticeship Service Account>>

https://www.gov.uk/government/publications/apprenticeships-off-the-job-training

https://www.gov.uk/government/collections/register-of-apprentice-assessment-organisations

https://www.gov.uk/government/collections/register-of-apprentice-assessment-organisations

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3.2 In relation to the account named in Clause 3.1, the Employer is <<the account holder>> <<a Connected Company>>.

4.0 Apprenticeship Details 4.1 This Agreement relates to the delivery of the following Approved Apprenticeship Standard: Title: Chartered Surveyor Issue No: 2 Issue Date: 26/05/2016 4.2 The Apprenticeship Start Date is: 03/04/2018 4.3 The Apprenticeship Planned End Date is: <<Date>> 4.4 The planned overall Apprenticeship duration is <<?>> months.

5.0 Apprentice Details 5.1 This Agreement relates to the delivery of the Approved Apprenticeship Standard named under

Clause 4.0 above for the Apprentice detailed below: Name: NI Number: Age on Apprenticeship Start Date: EHC/Care leaver status: Choose an item.

6.0 Average Number of Employees 6.1 The average number of employees employed by the Employer in the 365 days before the

Apprenticeship Start Date was <<fewer than 49>> <<50 or more>>. 7.0 Apprentice Employment, Secondments and Employer Responsibilities 7.1 In entering into this Agreement, the Employer, confirms that relevant checks have been made and

the Apprentice: a) has the right to work in England; and is either b) a citizen of a country within the European Economic Area [EEA] [including other countries

determined within the EEA or those with bilateral agreements], or have the right of abode in the UK, and have been ordinarily resident in the EEA [including other countries determined within the EEA or those with bilateral agreements], for at least the previous three years on the first day of the Apprenticeship; or

c) a non-EEA citizen with permission from the UK government to live in the UK, [not for educational purposes] and have been ordinarily resident in the UK for at least the previous three years before the start of the Apprenticeship

7.2 The Employer undertakes to issue the Apprentice with an Apprenticeship Agreement prior to the

Apprenticeship Start Date. 7.3 In entering into this Agreement, the Employer confirms that it is their intention to keep the

Apprentice in relevant employment for at least the duration between the Apprenticeship Start Date and the Planned End Date as set out in Clauses 4.2 and 4.3. This does not remove the Employer’s right to end the Apprentice’s employment in accordance with relevant employment law.

7.4 In entering into this Agreement, the Employer, confirms that the Apprentice will spend at least 50% of their working hours in England over the duration of the Apprenticeship.

7.5 The Employer undertakes to consult with the Main Provider prior to placing the Apprentice on a secondment with another employer.

7.6 The Employer undertakes to provide the Main Provider with documentary evidence of any changes to the Apprentice’s employment resulting from a change in circumstance.

7.7 In entering into this Agreement and in addition to usual employment-related duties and responsibilities, the Employer confirms that the Apprentice will:

a) have a job role [or roles] within the organisation that provides the opportunity for them to gain the knowledge, skills and behaviours needed to achieve their Apprenticeship;

b) be provided with a company induction including a workplace health and safety induction;

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c) be provided with workplace training, mentoring and support and provide access to relevant work experience and assessment opportunities to enable the Apprentice to fulfil the requirements of their Apprenticeship and to enable them to effectively undertake their job role;

d) be paid at least in accordance with the National Minimum Wage and provided with payslips;

e) be released from their normal work duties during their paid hours or employment to participate in off-the-job training [see Clause 9.0];

f) be provided with all personal protective clothing and safety equipment required for them to safely to carry out their day-to-day work duties;

g) not be required to pay their own travel costs where they are required to travel to a place other than their normal place of work in order to undertake training and/or assessment related to their Apprenticeship.

7.8 In entering into this Agreement, the Employer confirms that they will fulfil their responsibilities in accordance with the Commitment Statement for the Apprenticeship stated under 4.1 and the Apprentice named under 5.1.

7.9 The Employer undertakes to promptly [within five working days] inform the Main Provider if they become aware of any circumstances that bring in to question the Apprentice’s:

7.8.1 right to work in England; and/or 7.8.2 eligibility for Funding in accordance with the Funding Rules.

8.0 Training and On-Programme Assessment Services to be Provided 8.1 The Main Provider undertakes to provide off-the-job training and on-programme assessment for

the Apprentice as follows: 8.1.1 Choose an item. 8.1.2 Professional practice workshops linked to the knowledge, skills and behaviour

requirements of the Approved Apprenticeship Standard named in Clause 4.1 and related Assessment Plan.

8.2 The Employer undertakes to provide training for the Apprentice as follows: 8.2.1 Workplace training, including appropriate supervision, to support the Apprentice to

develop the technical knowledge, practical experience, skills and behaviours as required by the Approved Apprenticeship Standard [and related Assessment Plan] and the competencies required for the selected End-point Assessment pathway (see Clause 11.2) for their immediate job and future career.

8.2.2 Relevant elements of off-the-job training [see Clause 9.0] as set out in the Commitment Statement for the Apprenticeship.

9.0 Off-the-Job Training 9.1 Off-the job training shall be delivered for a minimum of 20% of the Apprentice’s normal working

hours across the duration of the Apprenticeship overall as set out in the Commitment Statement for the Apprenticeship. excluding time spent undertaking Maths and English training and assessment [where applicable].

9.2 Other than the requirement to attend face-to-face training and on-programme assessment sessions as scheduled by the Main Provider, the scheduling of release of the Apprentice during normal working hours to undertake off-the-job training and location of the off-the-job training is a matter for the Employer and the Apprentice; however, the scheduling must be aligned with the requirements of the training and on-programme assessment undertaken by the Main Provider and must be conducive to supporting the Apprentice’s progress.

9.3 The Main Provider and the Employer jointly agree to regularly monitor the Apprentice’s participation in off-the-job training and to intervene if the requirement for minimum of 20% off-the-job training during Apprentice’s normal working hours across the Apprenticeship is at risk of not being met.

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9.4 The Employer agrees to support the recording of off-the-job training activity to enable compliance with Funding Body funding rules to be evidenced. This includes regular checking and endorsing off-the-job training records produced by the Apprentice.

9.5 In addition to agreeing release the Apprentice from their working duties for a minimum of 20% of their normal working hours across the Apprenticeship overall to undertake off-the-job training; where applicable, the Employer agrees to release the Apprentice during normal working hours to undertake Functional Skills Maths or English training and assessment. The additional release time shall be 45 hours per Functional Skill qualification.

10.0 Progress Monitoring and Reporting 10.1 The Main Provider and the Employer, in conjunction with the Apprentice, shall review the

Apprentice’s progress at maximum 12-week intervals. The participant employer representative must have knowledge of the Apprentice’s current and planned work duties, their personal development and welfare in the workplace.

10.2 Apprentice participation in progress monitoring and review activity does not contribute to off-the-job training hours.

10.3 Apprentice progress shall be recorded and reported by the Main Provider via an online tracking system. The Apprentice and nominated Employer representative[s] shall be provided with access to the online tracking system.

11.0 End-point Assessment [RICS Assessment of Professional Competence] 11.1

The End-point Assessment Organisation selected to conduct End-point Assessment is the Royal Institution of Chartered Surveyors [RICS].

11.2 The selected End-point Assessment pathway is: Choose an item. 11.3 The Employer and the Main Provider shall jointly determine when the Apprentice has met the

Gateway Requirements and is ready to undertake End-point Assessment. 11.4 The Main Provider is responsible for booking the End-point Assessment and contracting with the

selected End-point Assessment Organisation [see Clause 11.1]. 11.5 The Employer authorises the Main Provider to share relevant information about the Apprentice so

that End-point Assessment and certification can take place. 12.0 Fees, Funding and Payments 12.1 The elemental and total agreed cost for the Apprenticeship is as follows: Element Element Cost Off-the-job training, including BSc (Hons) degree tuition and

assessment £17,255

Apprenticeship administration (including apprenticeship coordination and management)

£8645

Functional Skills maths (this is a full cost element) Functional Skills English (this is a full cost element) End-point Assessment £1,100 Total agreed cost [VAT exempt] £27,000 12.2 The total agreed cost stated under Clause 12.1 includes one attempt at each BSc module and

one attempt at the End-point Assessment only. Further costs will be incurred by the Employer for each subsequent attempt at a BSc module at the rate of 50% of the current UCEM full module fee and each subsequent attempt at End-point Assessment shall be at the retake fee charged by the End-point Assessment Organisation which may be up to 100% of the fee charged for the first attempt.

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12.3 For the avoidance of doubt, the Apprentice must not make any cash contribution for training and on-programme assessment that is specified in the Approved Apprenticeship Standard or be asked to contribute financially to the direct cost of training or End-point Assessment.

12.4 Her Majesty’s Government [HMG] will fund the total agreed cost of the Apprenticeship [excluding any full cost Functional Skills provision] in full where:

12.4.1 The Employer has employed an average of 49 or fewer employees [calculated in accordance with the Funding Rules] in the 365 days before the Apprenticeship Start Date; and

12.4.2 The Apprentice is aged between 16 and 18 years old [or 15 years of age if the apprentice’s 16th birthday is between the last Friday of June and 31 August] or is aged between 19 and 24 years old and has either an education, health and care plan provided by the local authority, or has been in the care of the local authority [as defined in the Funding Rules].

12.5 Where Clause 12.4 does not apply and where the Employer’s Digital Account has sufficient funds, the full cost of the Apprenticeship [excluding any full cost Functional Skills provision] will be paid by the Funding Body from the Employer’s Digital Account.

12.6 Where Clause 12.4 does not apply and where the Employer’s Digital Account has insufficient funds the cost of the Apprenticeship [excluding any full cost Functional Skills provision] will be paid through co-investment by the Employer and Her Majesty’s Government [HMG] via the Funding Body.

12.7 Co-investment as referred to under Clause 12.5 requires the Employer to pay 10% of total agreed cost [excluding any full cost Functional Skills provision] and HMG will pay 90%.

12.8 Where Clause 12.4 does not apply, 80% of the total agreed cost shall be payable in equal monthly instalments across the duration of the Apprenticeship. The remaining 20% shall be payable when the Apprentice has taken the End-point Assessment.

12.9 Where the Apprenticeship is fully-funded [excluding any full cost Functional Skills provision] from the Employer’s Digital Account, payment of the 80% shall be due in equal monthly instalments and shall be made from the Employer’s Digital by the Funding Body Account to the Main Provider.

12.10 Based upon the Employer having sufficient funds in their Digital Account, the indicative breakdown of payments [excluding any full cost Functional Skills provision] is as follows:

Month(s) Monthly Payment Total <<months>> <<£??>> <<£??>> <<month>> <<£??>> <<£??>> 12.11 If the Apprentice completes the Apprenticeship earlier than the Apprenticeship Planned End Date,

any balance between the total of the payments made and the total agreed cost [see 12.1] shall immediately become due and shall be paid either from the Employer’s Digital Account and/or through HMG/Employer Co-investment as appropriate.

12.12 Where Employer Co-investment applies, the Main Provider will invoice the Employer for the required co-investment payments at three-monthly maximum intervals. Prompt payment of invoices is required for the Main Provider to be able to justify HMG’s co-investment and the Employer agrees to pay co-investment payment invoices on or before the due date. Co-investment payments shall be visible in both the Employer’s financial system and the Main Provider’s financial system.

12.13 The Employer is responsible for recording the required details of the Apprenticeship in their Digital Account. The Employer may give the Main Provider permission to do this on their behalf.

12.14 The Employer is responsible for authorising apprentice details and confirming the spending of funds from their Digital Account and in signing this Agreement undertakes to do so in a timely manner.

12.15 The Employer has the right to suspend payments from their Digital Account but agrees not to do so without first informing the Main Provider of their intent to do so and the reasons why.

12.16 If the Funding Body needs to adjust the balance in the Employer’s Digital Account downwards as a result of retrospective changes to the amount of Apprenticeship Levy declared to HMRC and as a result, there would have been insufficient funds in the Employer’s Digital Account to cover a payment or payments already made to the Main Provider, the Employer is responsible for paying any co-investment due and shall make such payments directly to the Funding Body.

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12.17 Where full cost Functional Skills delivery is included under Clause 12.1, the Main Provider will invoice the Employer for the full fee at the commencement of delivery of the Functional Skills qualification.

12.18 The Apprentice must be in learning for a minimum 42 days between the Apprenticeship Start Date and the Apprenticeship Planned End Date before they qualify for funds from Employer’s Digital Account or government/Employer Co-investment including learning support.

12.19 If the Apprentice does not remain in learning for a minimum 42 days from the Apprenticeship Start Date, the Main Provider will charge the Employer an administration fee of £400.00 to cover the administrative cost of setting up the Apprenticeship and providing access to the UCEM Virtual Learning Environment. This fee shall be paid in full by the Employer using funds other than those funds in the Employer’s Digital Account.

12.20 If the Apprentice does not remain in learning until the Apprenticeship Planned End Date [see Clause 4.3], the Main Provider will charge the Employer for any non-recoverable fees/costs (e.g. costs related to end-point assessment, provision of learning support or learning support materials etc.) paid to a third-party organisation in relation to the Apprenticeship and where the said costs have not been covered by the Funding received at the point at which the Apprentice left the Apprenticeship. The fees/costs shall be paid in full by the Employer using funds other than those funds in the Employer’s Digital Account.

12.21 Where the Apprentice is aged between 16 and 18 years old [or 15 years of age if the Apprentice’s 16th birthday is between the last Friday of June and 31 August] or is aged between 19 and 24 years old and has either an education, health and care plan provided by the local authority, or has been in the care of the local authority [as defined in the Funding Rules] the Employer is, subject provision of suitable evidence, eligible for an additional payment of £1,000 from the Funding Body. Where the Employer is confirmed as being eligible for the additional payment, the Funding Body will make the additional payment in two instalments that will be paid via the Main Provider. The payments will be paid to the Main Provider as follows:

a) 90 days after the Apprenticeship Start Date, 50% will be paid b) 365 days after the Apprenticeship Start Date, the remaining 50% will be paid

The Main Provider will pass each payment on in full to the Employer within 30 working days of receiving the payment from the Funding Body.

13.0 Changes in Circumstance During Apprenticeship Delivery 13.1

Following a change in circumstance during apprenticeship delivery, it may be necessary for a new or revised Agreement and/or a new Commitment Statement to be issued and agreed for the Apprenticeship to continue.

13.2 This Agreement is non-transferable and should either Party change ownership [other than within a group of Connected Companies] the other Party may, at its discretion, terminate the Agreement.

14.0 Safeguarding, Prevent Duty and Health and Safety 14.1

The Employer has primary responsibility for safeguarding of the Apprentice other than when the Apprentice is in direct contact with UCEM staff i.e. face-to-face-delivery, progress reviews sessions etc.

14.2 The Employer agrees to cooperate with the Main Provider in relation to safeguarding of the Apprentice as set out in Appendix A.

14.3 The Employer agrees to cooperate with the Main Provider in relation to the Prevent Duty as set out in Appendix B.

14.4 The Employer agrees to notify the Main Provider in writing to [email protected] of any accidents or near misses in the workplace involving the Apprentice. Notification shall be provided within one working day of the incident.

14.5 The Employer agrees to notify the Main Provider in writing to [email protected] of any incidents, reportable under RIDDOR, that occur in the business unit and/or workplace in which the Apprentice is based. Notification shall be provided within one working day of the incident.

mailto:[email protected]


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15.0 Equality and Additional Learning Support 15.1 Where the Apprentice declares [or has declared] a health condition, disability or learning difficulty

the following shall apply: 15.1.1 The Main Provider shall, subject to the Apprentice giving consent, inform the Employer

of the declaration and any required diagnostic assessment and/or support needs. 15.1.2 The Employer is responsible for meeting the cost of any required diagnostic

assessment that is not able to be funded through government funding. 15.1.3 The Main Provider shall, at the Employer’s request, support the employer in arranging

any required diagnostic assessment that is not able to be funded through government funding.

15.1.4 The Employer will assess if reasonable adjustments [as defined in the Equality Act 2010] in relation to the Apprentice’s employment and shall make such reasonable adjustments as are deemed necessary.

15.1.5 The Main Provider will either put in place a learning support plan for the Apprentice or arrange for a learning support plan to be put in place.

15.1.6 Subject to support funding availability and Apprentice eligibility, the Main Provider will directly claim [via the Funding Body] support funding.

16.0 Main Provider Duties and Responsibilities 16.1 In addition to the duties and responsibilities imposed by the other clauses in this Agreement, the

Main Provider’s duties and responsibilities are as follows: 16.1.1 To fulfil their responsibilities in accordance with the Commitment Statement for the

Apprenticeship stated under 4.1 and the Apprentice named under 5.1. 16.1.2 To monitor the quality of the training and assessment that it provides in relation to this

Agreement. 16.1.3 To at appropriate intervals, review its curriculum and training to ensure that it is in line

with the Approved Apprenticeship Standard and Assessment Plan. 16.1.4 Creating and maintaining the Apprentice Evidence Pack 16.1.5 Prepare and submit the ILR in line with the ILR collection timetable and timeliness

standards to ensure that there are no delays with the processing of any additional payments which the Employer is eligible to receive.

16.1.6 To, as far as is reasonably practicable, guide and support the Employer to ensure that the Employer does not breach any of the applicable Funding Rules.

16.1.7 To notify the Employer as soon as possible if it is subject to any actual or potential Insolvency Event or Change of Control or any other financial circumstances which could impact on its ability to comply with its obligations under this Agreement.

17.0 Employer Duties and Responsibilities 17.1 In addition to the duties and responsibilities imposed by the other clauses in this Agreement, the

Employer’s duties and responsibilities are as follows: 17.1.1 To comply with the ‘Apprenticeship funding: rules and guidance for employers’

document. 17.1.2 To notify the Main Provider promptly in writing to [email protected] if they

consider that the Apprentice needs to go on a Break in Learning. 17.1.3 To notify the Main Provider promptly in writing to [email protected] if they

consider that the Apprentice is at risk of not completing or not being able to complete the Apprenticeship.

17.1.4 To reasonably cooperate with the Main Provider if the Main Provider is subject to third-party audit or inspection in relation to services provided under this Agreement.

17.1.5 To notify the Main Provider as soon as possible if it is subject to any actual or potential Insolvency Event or Change of Control or any other financial circumstances which could impact on its ability to comply with its obligations under this Agreement.



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18.0 Intellectual Property Rights 18.1 The Employer and the Main Provider agree that all rights, title and interest in or to any

information, data, reports, documents, procedures, forecasts, technology, Know-How and any other Intellectual Property Rights whatsoever owned by either the Employer or the Main Provider before the Commencement Date or developed by either party during the term of this Agreement, shall remain the property of that party.

19.0 Data Protection 19.1 The Main Provider is the Data Controller for all data other than employment related data provided

by the Employer to the Main Provider. The Employer is the Data Controller for employment related data that it provides to the Main Provider in connection with this Agreement.

19.2 The Main Provider shall (and shall ensure that any of its staff and any subcontractor involved in connection with the activities under the Agreement) comply with any notification requirements under the Data Protection Act 1998 (DPA) and from May 2018, the General Data Protection Regulations (GDPR).

19.3 The Main Provider will have the appropriate organisational and technical measures in place to prevent unauthorised, unlawful processing of the personal data and against accidental loss, destruction and/or damage to the personal data.

19.4 Both Parties will duly observe all their obligations under the DPA and from May 2018, the GDPR, which arise in connection with the Agreement including producing and maintaining records of its data processing activities and ensuring that all staff that have access to personal data are appropriately trained in and comply with non-disclosure processes.

19.5 The Main Provider shall only use employment related data provided by the Employer for the purposes of Funding Rule compliance and shall not without the written agreement of the Employer share or transfer employment related data with any third party other than the Funding Body.

19.6 The Main Provider shall ensure secure destruction of all data relating to this agreement including employment related data once the Funding Body’s Apprentice Evidence Pack retention period has been exceeded.

19.7 The Main Provider shall not transfer data relating to this Agreement outside of the European Economic Area (EEA) without the prior written consent of the Employer.

19.8 Each party agrees to indemnify and keep indemnified and defend at its own expense the other party against all costs, claims, damages or expenses incurred by the other party or for which the other party may become liable due to any failure by the first party or its employees or agents to comply with any of its obligations under this Clause 19.

20.0 Termination of Agreement 20.1 The Employer may terminate this Agreement in the event of the Apprentice leaving their

employment, being dismissed from their employment or being made redundant by providing written notification to [email protected]

20.2 Where the Employer terminates the Agreement, the date of termination shall be the date of receipt of the written notification or later if requested by the Employer. Termination of the Agreement cannot be back-dated.

20.3 In addition to the provision of Clause 13.2, either Party may terminate this Agreement if: 20.3.1 there is a repudiatory breach [that is not capable of remedy] by the other Party of the

terms of this Agreement including a breach of the applicable Funding Rules; and/or 20.3.2 the Funding Body withdraws funding or reduces funding resulting in it being uneconomic

for either Party to continue to deliver the Apprenticeship. 20.4 Following the termination of this Agreement, the following clauses shall remain in full force and

effect: 1 [Definitions and Interpretation]; 19 [Data Protection], 21 [Complaints and Dispute Resolution], 23 [Limitation of Liability], 26 [Notices], 27 [Contracts [Rights of Third Parties] Act 1999] and 31 [Governing Law].


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21.0 Complaints and Dispute Resolution 21.1 Where the Employer has an issue or dispute relating to the provision of the delivery of services

undertaken by the Main Provider, the Employer shall make the matter known to the Main Provider in writing by email to [email protected].

21.2 The Main Provider will investigate the matter in accordance with its published Employer Complaints Procedure. A copy of the Employer Complaints Procedure is available at https://www.ucem.ac.uk/about-ucem/ucem-policies/

21.3 If the Employer is dissatisfied with the processing of, or response received, in relation to any complaint submitted under Clause 21.1 the Employer has the right to escalate the complaint to the Funding Body. Any complaint, concerns or enquiries regarding the apprenticeship may be escalated to the Funding Body via the apprenticeship helpline on 0800 015 0400 or 0247 682 6482, or by email at [email protected].

22.0 Amendments and Variations 22.1 This Agreement constitutes the entire contract between the parties and shall not be amended or

varied except by an instrument in writing signed by the parties. 22.2 The Main Provider reserves the right to issue a new agreement where amendment or variation of

this Agreement is not considered appropriate.


https://www.ucem.ac.uk/about-ucem/ucem-policies/


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23.0 Limitation of Liability 23.1 The Main Provider accepts no liability for any consequences, whether direct or indirect, that

may come about from the Employer being involved in the delivery of any training for the Apprenticeship.

23.2 Neither party seeks to limit or exclude its own liability for death or personal injury caused by its own negligence, fraud, fraudulent misrepresentation or any other liability which cannot be limited or excluded by law.

23.3 Subject to Clauses 23.1 and 23.2, both Parties liability under this Agreement is limited to the total agreed cost for the Apprenticeship as stated under Clause 12.1.

23.4 Subject to Clause 23.2, neither Party shall be liable to the other Party, whether in contract, tort (including negligence), for breach of statutory duty, or otherwise, arising under or in connection with this Agreement for loss of profits; loss of sales or business; loss of agreements or contracts; loss of anticipated savings; loss of or damage to goodwill; loss of use or corruption of software, data or information; or any indirect, special or consequential loss.

24.0 Force Majeure 24.1 Neither party shall be in breach of this Agreement nor liable for delay in performing, or failure

to perform, any of its obligations under this Agreement if such delay or failure result from events, circumstances or causes beyond its reasonable control. In such circumstances the affected party shall be entitled to a reasonable extension of the time for performing such obligations.

25.0 Waiver 25.1 No failure or delay by either party to exercise any right or remedy under this Agreement shall

be construed as a waiver of any other right or remedy.

26.0 Notices 26.1 All notices and other communications in relation to this Agreement shall be in writing and

shall be deemed to have been duly given if personally delivered, e-mailed, or mailed [first class postage prepaid] to the address of the relevant party, as referred to above or otherwise notified in writing. If personally delivered or if e-mailed all such communications shall be deemed to have been given when received except that if received on a non-working day or after 5.00 pm on any working day they shall be deemed received on the next working day and if mailed all such communications shall be deemed to have been given and received on the second working day following such mailing.

27.0 Contracts (Rights of Third Parties) Act 1999 27.1 This Agreement does not and is not intended to confer any contractual benefit on any person

pursuant to the terms of the Contracts (Rights of Third Parties) Act 1999.

28.0 Entire Agreement 28.1 This Agreement and the related Commitment Statement constitutes the entire agreement

between the parties in relation to the Apprentice named in Clause 5.1 and the Apprenticeship named in Clause 4.1 and supersedes and extinguishes all previous agreements, promises, assurances, warranties, representations and understandings between them, whether written or oral, relating to its subject matter.

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29.0 Assignment 29.1 This Agreement is personal to the parties and the parties shall not assign, transfer, mortgage,

charge, subcontract, declare a trust over or deal in any other manner with any of its rights and obligations under this Agreement.

30.0 Variation 30.1 No variation of this Agreement shall be effective unless it is in writing and signed by the parties (or

their authorised representatives). 31.0 Governing Law 31.1 This Agreement will be governed by and interpreted according to the laws of England and the

parties irrevocably submit to the exclusive jurisdiction of the English courts.

Signatures IN WITNESS WHEREOF the Parties hereto have executed this Agreement to commence on the date stated on Page 1. Authorised Employer Representative

Name: [Print]

Position: [Print]

Signature: Date: Authorised Main Provider Representative

Name: [Print]

Position: [Print]

Signature: Date:

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Appendix A – Safeguarding of Apprentices UCEM is required through legislation [The Children’s Act 2004] to ensure that everyone working with young people [up to the age of 18] and vulnerable adults* understands their responsibility to keep them safe. For the purpose of this document, in accordance with ‘Working together to safeguard children’ (2013) UCEM defines safeguarding as:

• protecting children/vulnerable adults from maltreatment • preventing impairment of children/vulnerable adult’s health and development • ensuring that children grow up in circumstances consistent with the provision of safe and effective

care • taking action to enable all children/vulnerable adults to have the best outcomes.

Requirements where the Employer has a safeguarding policy and procedure

Where the Employer has a safeguarding policy and procedure, a copy of this must be provided to UCEM. In the event that you receive a disclosure, or complaint/reported issue about a safeguarding related matter relating to a 16-17-year-old and/or a vulnerable adult apprentice named in this Agreement you are required to provide written details including any action taken to: [email protected]. A member of staff will acknowledge receipt of your email, and may contact you to gain further information.

Requirements where the Employer does not have a safeguarding policy and procedure

If your business does not have a Safeguarding policy and procedure, this appendix provides information on how we need to work together to fulfil our safeguarding responsibility. UCEM is required to ensure, as far as is reasonably practicable, that Employers:

• provide young people or vulnerable adults with a safe working environment; • recognise and report any young people or vulnerable adults who are suffering or likely to suffer

significant harm, and take appropriate action with the aim of making sure they are kept safe both at home, whilst participating in off-the-job training and assessment and in their workplace.

If you have an apprentice who is aged 16-17 and/or a vulnerable adult, you are required to: 1. Identify a named member of staff to be the key point of contact for the young person/vulnerable adult 2. Make sure that:

− apprentices feel that the learning environment including their workplace is safe and welcoming, and that all individuals are respected equally;

− apprentices understand abuse, discrimination, bullying and harassment and know what actions to take if they occur;

− apprentices are aware of their own duties and responsibilities in creating a safe environment for everyone;

− apprentices are appropriately supervised and implement safe working practices − apprentices that are vulnerable adults are involved in individual risk assessments and understand

the arrangements to help them stay safe; − apprentices understand and use internet safety measures; − address complaints or reported issues about safety-related matters rapidly and effectively; − record and date all concerns [following the procedure below for any disclosures from a young

person or vulnerable adult] and pass onto: [email protected]. A member of staff will acknowledge receipt of your email, and may contact you to gain further information.

Where a named member of staff deals with a disclosure about possible abuse from a young person or vulnerable adult the named member of staff should:

1. Inform the young person/vulnerable adult that they may need to pass the information on, but that only those that need to know about it will be told. Never promise confidentiality.

2. Listen carefully and stay calm. Try not to show distress, as this may deter the young person from continuing with their disclosure.

3. Ask questions calmly and without pressure to clarify what the young person/vulnerable adult is saying, rather than to interview them.

4. Not put words into the young person’s/vulnerable adult’s mouth. 5. Note the main points carefully as they are disclosed, using the young person/vulnerable adult’s own

words where possible



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6. Reassure the young person/vulnerable adult that by telling them, they have done the right thing. 7. Inform the young person/vulnerable adult to whom they will report the matter. 8. Ensure that disclosed information is not shared with others in their organisation. 9. Send the report as soon as possible after the event to [email protected] along with contact

details should UCEM need to further discuss the matter.


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Appendix B – Prevent Duty The Main Provider [UCEM] has a duty under the Counter-Terrorism and Security Act [2015] ‘to have due regard to the need to prevent people from being drawn into terrorism’. UCEM’s Prevent Policy provides high-level information on the requirements of the Prevent Duty and UCEM’s approach to complying with this duty.

Requirements where the Employer [or where applicable has a Prevent Policy and procedure

Where the Employer has a Prevent Policy, a copy of this must be provided to UCEM. In the event that you identify a concern or issue regarding radicalisation of the apprentice named in this Agreement you are required to provide written details including any action taken to: [email protected]

Requirements where the Employer [or where applicable does not have a Prevent Policy

If your business does not have a Prevent Policy, this appendix provides information on how we need to work together to fulfil our Prevent responsibility. UCEM is required to ensure, as far as is reasonably practicable, that Employers:

• monitor apprentices for signs of radicalisation; • identify situations where the apprentice is displaying actual or potential signs of being radicalised; • report to UCEM situations where the apprentice is displaying actual or potential signs of being

radicalised

Some examples of behaviour that could be linked to radicalisation are: • Inappropriate behaviour and/or language linked to extremist views • An apprentice displaying a change in their normal pattern of behaviour; for example, an apprentice

that was previously motivated no longer participating in their studies, or becoming withdrawn • Owning or distributing extremist materials • Expressing extremist views • Sympathising with extremist causes • Advocating violence • Use of discriminatory language or actions towards specific groups of people • Showing or sharing materials online which is of an extreme nature • Attempting or planning to recruit others to an extremist group or ideology

The Home Office has developed an online programme that offers an introduction to the Prevent duty, and explains how it aims to safeguard vulnerable people from being radicalised to supporting terrorism or becoming terrorists themselves. https://www.elearning.prevent.homeoffice.gov.uk/ UCEM recommends that employers of apprentices make use of this resource. What will UCEM do if you raise a concern? Upon receipt of a Prevent related concern, UCEM will apply the following procedure:

1. A UCEM Designated Safeguarding Lead (DSL) will contact the referred to discuss the concern, and to take their own written report.

2. The UCEM DSL will decide if there is an immediate risk to the learner or to others. If so, they will contact the relevant authority to inform them of the risk before taking any further action.

3. If there is no immediate risk to the learner, the UCEM DSL will contact the learner to discuss the allegations and take a report. Where possible, this discussion will take place face-to-face.

4. The UCEM DSL will decide if there is a risk to the learner or to others. If so, UCEM will contact Channel and make a referral for specialist support. If the risk is immediate, the DSL may contact the police.

5. Where the UCEM DSL feels that there is no risk, or that the incident was isolated, appropriate parties within UCEM and the employer will be informed to help monitor for future risk.

6. The UCEM DSL will contact the learner regularly, to assess risk and offer additional support as appropriate.


https://www.elearning.prevent.homeoffice.gov.uk/

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