Governance officers provide administrative and operational support.
This occupation is found in small, medium, and large organisations within the public, private or third sectors. Governance officers are found in all sectors such as government, retail, food and drink, education, charities, and professional services and work in varied environments including in an office or remotely.
The broad purpose of the occupation is to provide and manage an organisation’s governance and governance operations-related services. These include reviewing and maintaining legal and compliance documents; filing returns with regulators (e.g., Companies House); and providing advice on internal and external governance requirements.
This is a technical and specialist role which interacts with senior levels within an organisation to ensure compliance with legal and regulatory requirements, which may include responses to climate change or other sustainability commitments. In addition, they manage the meetings of the governing decision-making body (e.g., board of directors, trustees, or governors; committees of the governing decision-making body), and the information flow to and from them.
The role, and the governance function in general, is concerned with structure and processes for decision making, accountability, control, and behaviour at the top of an organisation. Governance influences how an organisation’s objectives are set and achieved, how risk is managed and how performance is optimised. Governance is a system and process, not a single activity and successful implementation of a good governance strategy therefore requires a systematic approach that incorporates strategic planning, risk management and performance management.
A governance officer is a core member of a critical function within every successful organisation – the governance function. A governance officer supports the governing decision-making body to run the organisation effectively within its governance framework. The role is typically found in the governance or secretariat division of an organisation. The duties and responsibilities of the role sit alongside those of the governing decision-making body.
In their daily work, an employee in this occupation interacts with a range of internal stakeholders including members of their own team and other departments such as IT, legal, finance, strategy, HR, marketing, fundraising, sustainability, senior management, and governing decision-making bodies. They also interact with a range of external stakeholders such as members of the public, investors, customers, regulators, suppliers, auditors, and partners. They will typically report to the Head of the Governance function (or equivalent).
An employee in this occupation will be responsible for supporting the organisation in the application of its internal governance framework including its operating principles and policies, processes, and procedures. As part of this governance officers maintain and manage the organisation’s formal records such as minutes of the governing decision-making body meetings, register of directors/governors/trustees, and register of shareholders/members. They prepare and submit legal and regulatory compliance documents (e.g., to Companies House, Charity Commission, and Government bodies), and support the preparation and publication of corporate documents (e.g., performance against legislative targets, annual reports, legal contracts).
In addition, they typically advise colleagues on the requirements of these documents and any potential implications involved. The increasing focus on an organisation’s carbon footprint means that governance officers need to have an awareness of climate change and net zero carbon policies and regulatory impacts in their sector. Governance officers analyse and research data and information and prepare briefings and recommendations for their function on matters of governance, governance operations, compliance, legislation, and regulation.
The role typically involves supporting the scheduling and convening of meetings of the governing decision-making body. They develop and produce structured governance documents, and presentation materials for the meetings. Governance officers contribute to the management of meetings, formal Secretariat and stakeholder management and liaison for Board and Board Committees including accurate minutes and collation and distribution of committee papers. They ensure accurate minutes of the meeting are taken which will then be approved and signed. The role may also include ensuring all follow up actions are captured then tracked and completed in a timely manner and to the governing decision-making body’s satisfaction.
Governance officers will have an understanding of the organisation so they can implement governance and facilitate the development of the organisation.
Typically, a governance officer arranges annual general meetings (AGMs) of the organisation’s members or other stakeholders, as applicable, which will involve managing a project team that may consist of suppliers and in-house colleagues from across the organisation. Supporting the delivery of the induction and training for members of the governing decision-making body forms part of the role. They will have strong communication and stakeholder management skills at all levels, with the ability to influence and get involved with all staff and working cross functionally.
An employee in this occupation may also be expected to support the governance function to deliver programmes aimed at improving and enhancing the services it provides and how it provides them, for example to reduce risk, improve efficiency and move towards a sustainable delivery model for the organisation.
Governance officers work on their own and in a range of team settings. They work within agreed budgets and available resources, and work without high levels of supervision, usually reporting to senior stakeholders. They may occasionally be responsible for decision making, but more often will guide or influence the decisions of others.
This is a summary of the key things that you – the apprentice and your employer need to know about your end-point assessment (EPA). You and your employer should read the EPA plan for the full details. It has information on assessment method requirements, roles and responsibilities, and re-sits and re-takes.
An EPA is an assessment at the end of your apprenticeship. It will assess you against the knowledge, skills, and behaviours (KSBs) in the occupational standard. Your training will cover the KSBs. The EPA is your opportunity to show an independent assessor how well you can carry out the occupation you have been trained for.
Your employer will choose an end-point assessment organisation (EPAO) to deliver the EPA. Your employer and training provider should tell you what to expect and how to prepare for your EPA.
The length of the training for this apprenticeship is typically 18 months. The EPA period is typically 5 months.
The overall grades available for this apprenticeship are:
When you pass the EPA, you will be awarded your apprenticeship certificate.
The EPA gateway is when the EPAO checks and confirms that you have met any requirements required before you start the EPA. You will only enter the gateway when your employer says you are ready.
The gateway requirements for your EPA are:
Project with report
You will complete a project and write a report. You will be asked to complete a project. The title and scope must be agreed with the EPAO at the gateway. The report should be a maximum of 3500 words (with a 10% tolerance).
You will have 12 weeks to complete the project and submit the report to the EPAO.
You need to prepare and give a presentation to an independent assessor. Your presentation slides and any supporting materials should be submitted at the same time as the project output. The presentation with questions will last at least 45 minutes. The independent assessor will ask at least 4 questions about the project and presentation.
Professional discussion underpinned by a portfolio of evidence
You will have a professional discussion with an independent assessor. It will last 75 minutes. They will ask you at least 8 questions. The questions will be about certain aspects of your occupation. You need to compile a portfolio of evidence before the EPA gateway. You can use it to help answer the questions.
The EPAO will confirm where and when each assessment method will take place.
You should speak to your employer if you have a query that relates to your job.
You should speak to your training provider if you have any questions about your training or EPA before it starts.
You should receive detailed information and support from the EPAO before the EPA starts. You should speak to them if you have any questions about your EPA once it has started.
If you have a disability, a physical or mental health condition or other special considerations, you may be able to have a reasonable adjustment that takes this into account. You should speak to your employer, training provider and EPAO and ask them what support you can get. The EPAO will decide if an adjustment is appropriate.
This apprenticeship aligns with Chartered Governance Institute for Foundation Level
Please contact the professional body for more details.
This occupation is found in small, medium, and large organisations within the public, private or third sectors. Governance officers are found in all sectors such as government, retail, food and drink, education, charities, and professional services and work in varied environments including in an office or remotely.
The broad purpose of the occupation is to provide and manage an organisation’s governance and governance operations-related services. These include reviewing and maintaining legal and compliance documents; filing returns with regulators (e.g., Companies House); and providing advice on internal and external governance requirements.
This is a technical and specialist role which interacts with senior levels within an organisation to ensure compliance with legal and regulatory requirements, which may include responses to climate change or other sustainability commitments. In addition, they manage the meetings of the governing decision-making body (e.g., board of directors, trustees, or governors; committees of the governing decision-making body), and the information flow to and from them.
The role, and the governance function in general, is concerned with structure and processes for decision making, accountability, control, and behaviour at the top of an organisation. Governance influences how an organisation’s objectives are set and achieved, how risk is managed and how performance is optimised. Governance is a system and process, not a single activity and successful implementation of a good governance strategy therefore requires a systematic approach that incorporates strategic planning, risk management and performance management.
A governance officer is a core member of a critical function within every successful organisation – the governance function. A governance officer supports the governing decision-making body to run the organisation effectively within its governance framework. The role is typically found in the governance or secretariat division of an organisation. The duties and responsibilities of the role sit alongside those of the governing decision-making body.
In their daily work, an employee in this occupation interacts with a range of internal stakeholders including members of their own team and other departments such as IT, legal, finance, strategy, HR, marketing, fundraising, sustainability, senior management, and governing decision-making bodies. They also interact with a range of external stakeholders such as members of the public, investors, customers, regulators, suppliers, auditors, and partners. They will typically report to the Head of the Governance function (or equivalent).
An employee in this occupation will be responsible for supporting the organisation in the application of its internal governance framework including its operating principles and policies, processes, and procedures. As part of this governance officers maintain and manage the organisation’s formal records such as minutes of the governing decision-making body meetings, register of directors/governors/trustees, and register of shareholders/members. They prepare and submit legal and regulatory compliance documents (e.g., to Companies House, Charity Commission, and Government bodies), and support the preparation and publication of corporate documents (e.g., performance against legislative targets, annual reports, legal contracts).
In addition, they typically advise colleagues on the requirements of these documents and any potential implications involved. The increasing focus on an organisation’s carbon footprint means that governance officers need to have an awareness of climate change and net zero carbon policies and regulatory impacts in their sector. Governance officers analyse and research data and information and prepare briefings and recommendations for their function on matters of governance, governance operations, compliance, legislation, and regulation.
The role typically involves supporting the scheduling and convening of meetings of the governing decision-making body. They develop and produce structured governance documents, and presentation materials for the meetings. Governance officers contribute to the management of meetings, formal Secretariat and stakeholder management and liaison for Board and Board Committees including accurate minutes and collation and distribution of committee papers. They ensure accurate minutes of the meeting are taken which will then be approved and signed. The role may also include ensuring all follow up actions are captured then tracked and completed in a timely manner and to the governing decision-making body’s satisfaction.
Governance officers will have an understanding of the organisation so they can implement governance and facilitate the development of the organisation.
Typically, a governance officer arranges annual general meetings (AGMs) of the organisation’s members or other stakeholders, as applicable, which will involve managing a project team that may consist of suppliers and in-house colleagues from across the organisation. Supporting the delivery of the induction and training for members of the governing decision-making body forms part of the role. They will have strong communication and stakeholder management skills at all levels, with the ability to influence and get involved with all staff and working cross functionally.
An employee in this occupation may also be expected to support the governance function to deliver programmes aimed at improving and enhancing the services it provides and how it provides them, for example to reduce risk, improve efficiency and move towards a sustainable delivery model for the organisation.
Governance officers work on their own and in a range of team settings. They work within agreed budgets and available resources, and work without high levels of supervision, usually reporting to senior stakeholders. They may occasionally be responsible for decision making, but more often will guide or influence the decisions of others.
| Duty | KSBs |
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Duty 1 Support the governing decision-making body of the organisation to ensure it is efficient and effective, and supported in its decision-making. |
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Duty 2 As required by the internal governance framework, legislation and regulation, document meetings, including decisions, and ensure the actions arising from decisions are taken. |
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Duty 3 Support the recruitment, development, and succession of the members of the governing decision-making body within the organisation. |
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Duty 4 Deliver the induction of new members of the governing decision-making body (e.g., directors, governors, trustees). |
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Duty 5 Review and contribute to the development of organisational governance controls and associated documents that set out how the organisation runs and co-ordinate compliance with them. |
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Duty 6 Monitor, analyse and apply relevant laws, regulations, and governance best practice to ensure compliance, and make recommendations on areas of change that should be applied. |
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Duty 7 Co-ordinate and maintain the governing decision-making body’s records of internal and external activities. |
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Duty 8 Periodically review operational processes to seek efficient ways of working to facilitate the governance of the organisation. |
K3 K4 K5 K8 K11 K13 K15 K16 K17 K19 |
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Duty 9 Work with stakeholders on projects to support the organisation's governance framework. |
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Duty 10 Attend meetings and contribute to communications with external stakeholders such as regulators, shareholders, and members on matters relating to the governance of the organisation. |
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Duty 11 Manage external suppliers of governance-related products and/or services and support procurement processes to appoint or re-appoint them. |
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Duty 12 Analyse and interpret data and qualitative information, including financial information, to inform the governance of the organisation. |
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Duty 13 Promote awareness of the governance function to stakeholders, explaining what its role is and sharing information on governance matters. |
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Duty 14 Contribute to the identification of governance initiatives and execute them collaboratively with internal and external stakeholders. |
K1 K3 K4 K5 K6 K11 K15 K16 K17 K19 |
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Duty 15 Contribute to the operation of the governance function to optimise how the function operates. |
K1 K3 K4 K5 K7 K11 K12 K15 K16 K17 K19 |
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Duty 16 Work with internal and external auditors in the co-ordination of audits and in responding to audit questions and findings. |
K1: The role of the company secretary or governance professional.
Back to Duty
K2: Regulatory and legislative frameworks and requirements such as company law, charity law, and data protection.
Back to Duty
K3: Organisational structures, governance roles and decision-making frameworks.
Back to Duty
K4: The application of governance codes, constitutional requirements, and an organisation’s governance policies and processes.
Back to Duty
K5: How the role of company secretary or governance officer fits into the organisation’s governance function, and how it adds value to it.
Back to Duty
K6: The roles of the key stakeholders in their organisation and how they interact with their own role.
Back to Duty
K7: Governance and compliance record-keeping requirements.
Back to Duty
K8: Governance practices and associated administration for meetings.
Back to Duty
K9: Financial accounting concepts and working knowledge of financial statements and reports.
Back to Duty
K10: Governance reporting and disclosure obligations of the organisation such as legal and regulatory filings and announcements, and annual reports.
Back to Duty
K11: Technology and software used in the performance of governance activities.
Back to Duty
K12: The risks associated with data processing.
Back to Duty
K13: Continuous development of organisational systems, processes, and procedures to ensure that regulatory, governance, and risk management requirements are met.
Back to Duty
K14: Organisational changes and developments.
Back to Duty
K15: The importance of horizon scanning for future changes to regulation and developments in governance practices that affect the organisation.
Back to Duty
K16: Frameworks used to assess, capture, mitigate and report on risk, such as its link to climate change and sustainability for that organisation.
Back to Duty
K17: The context and concepts for governance today.
Back to Duty
K18: The purpose and application of measures requiring the disclosure and verification of individuals' and entities’ identity and connected relationships.
Back to Duty
K19: Project management principles and techniques.
Back to Duty
S1: Interpret regulation, legislation and governance practices and advise and train stakeholders on its practical application.
Back to Duty
S2: Establish, maintain, and influence relationships with key stakeholders and team members.
Back to Duty
S3: Use IT systems to manage, share and store information in accordance with regulatory requirements and organisational policies and procedures.
Back to Duty
S4: Communicate complex information through a variety of media to enable key stakeholders to understand what is required.
Back to Duty
S5: Review instructions, following them to a conclusion through the execution of tasks.
Back to Duty
S6: Identify and use precedents adapted for specific circumstances such as resolutions, announcements, reports.
Back to Duty
S7: Produce work which is factually accurate and well presented for submission to the members of a decision-making governing body and for publication by the organisation.
Back to Duty
S8: Develop and maintain structure charts for the organisation.
Back to Duty
S9: Plan and prioritise their workload to meet deadlines.
Back to Duty
S10: Maintain and organise forward looking plans and calendars, keeping relevant stakeholders informed of upcoming events such as meetings, reporting timetables, compliance deadlines.
Back to Duty
S11: Gather, analyse, use, and share data to inform the decision-making process and make judgements on actions to take.
Back to Duty
S12: Identify problems and present potential solutions to stakeholders.
Back to Duty
S13: Respond to stakeholder questions and requests, knowing when to consult with others or escalate on matters of a more complex or sensitive nature.
Back to Duty
S14: Identify and implement improvements to support the governance of the organisation.
Back to Duty
B1: Operates professionally with integrity and confidentiality.
Back to Duty
B2: Works collaboratively and shares knowledge with colleagues and stakeholders across the organisation.
Back to Duty
B3: Has accountability and ownership of their tasks and workload.
Back to Duty
B4: Seeks learning opportunities and continuous professional development.
Back to Duty
B5: Works flexibly and adapts to circumstances.
Back to Duty
Apprentices without level 2 English and maths will need to achieve this level prior to taking the End-Point Assessment. For those with an education, health and care plan or a legacy statement, the apprenticeship’s English and maths minimum requirement is Entry Level 3. A British Sign Language (BSL) qualification is an alternative to the English qualification for those whose primary language is BSL.
This standard aligns with the following professional recognition:
V1.0
This document explains the requirements for end-point assessment (EPA) for the governance officer apprenticeship. End-point assessment organisations (EPAOs) must follow this when designing and delivering the EPA.
Governance officer 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 18 months on-programme (this means in training before the gateway) working towards competence as a governance officer. 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 - work based report with presentation and questioning.:
Assessment method 2 - professional discussion underpinned by a portfolio of evidence.:
The result from each assessment method is combined to decide the overall apprenticeship grade. The following grades are available for the apprenticeship:
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On-programme - typically 18 months
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The apprentice must complete training to develop the knowledge, skills and behaviours (KSBs) of the occupational standard. The apprentice must complete training towards English and mathematics qualifications as specified by the apprenticeship funding rules, if required. The apprentice must compile a portfolio of evidence. |
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End-point assessment gateway
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The employer must be content that the apprentice is working at or above the occupational standard. The apprentice’s employer must confirm that they think the apprentice:
The apprentice must have achieved English and mathematics at Level 21. For the work based report with presentation and questioning., the apprentice must submit the following supporting material: report scoping document requirements. To ensure the report allows the apprentice to meet the KSBs mapped to this assessment method to the highest available grade, the EPAO should sign-off the report’s title and scope at the gateway to confirm it is suitable. A brief report summary must be submitted to the EPAO. It should be no more than 500 words. This needs to show that the report will provide the opportunity for the apprentice to cover the KSBs mapped to this assessment method. It is not assessed. For the professional discussion underpinned by a portfolio of evidence. the apprentice must submit a portfolio of evidence. The apprentice must submit any policies and procedures as requested by the EPAO. |
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End-point assessment - typically 5 months
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Grades available for each assessment method: Work based report with presentation and questioning.
Professional discussion underpinned by a portfolio of evidence.
Overall EPA and apprenticeship can be graded:
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Professional recognition
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This apprenticeship aligns with Chartered Governance Institute for Foundation Level. The apprenticeship will either wholly or partially satisfy the requirements for registration at this level. |
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Re-sits and re-takes
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The EPA is taken in the EPA period. The EPA period starts when the EPAO confirms the gateway requirements have been met and is typically 5 months.
The EPAO should confirm the gateway requirements have been met and the EPA should start as quickly as possible.
The apprentice’s employer must be content that the apprentice has attained sufficient KSBs to complete the apprenticeship. The employer may take advice from the apprentice's training provider, but the employer must make the decision. The apprentice will then enter the gateway.
The apprentice must meet the gateway requirements before starting their EPA.
They must:
For the work based report with presentation and questioning, the apprentice must submit a report scoping document (typically 500 words). This is not assessed. The EPAO should sign-off the report title, at gateway, to confirm its suitability prior to the report commencing.
Portfolio of evidence requirements:
The apprentice 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 16 discrete pieces of evidence. Evidence must be mapped against the KSBs. Evidence may be used to demonstrate more than one KSB; a qualitative as opposed to quantitative approach is suggested.
Evidence sources may include:
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 this review.
The apprentice must submit the gateway evidence to their EPAO, including any organisation specific policies and procedures requested by the EPAO.
The assessment methods can be delivered in any order.
The result of one assessment method does not need to be known before starting the next.
A report involves the apprentice completing a significant and defined piece of work that has a real business application and benefit. The report must meet the needs of the employer’s business and be relevant to the apprentice’s occupation and apprenticeship.
This assessment method has 2 components:
report with a report output
presentation with questions and answers
Together, these components give the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method. They are assessed by an independent assessor.
This assessment method is being used because:
The apprentice must complete a report based on any of the following:
Examples of the types of projects an apprentice could submit include:
To ensure the report allows the apprentice to meet the KSBs mapped to this assessment method to the highest available grade, the EPAO should sign-off the report’s title and scope at the gateway to confirm it is suitable. The EPAO must refer to the grading descriptors to ensure that reports are pitched appropriately.
The report output must be in the form of a report and presentation.
The apprentice must start the report after the gateway. The employer should ensure the apprentice has the time and resources, within the report period, to plan and complete their report.
The apprentice may work as part of a team to complete the project, which could include internal colleagues or technical experts. The apprentice must however, complete their project report and presentation unaided and they must be reflective of their own role and contribution. The apprentice and their employer must confirm this when the report and any presentation materials are submitted.
The report must include at least:
The report must have a word count of 3500 words. A tolerance of 10% above or below is allowed at the apprentice’s discretion. Appendices, references and diagrams are not included in this total. The apprentice must produce and include a mapping in an appendix, showing how the report evidences the KSBs mapped to this assessment method.
The apprentice must complete and submit the report and any presentation materials to the EPAO by the end of week 12 of the EPA period.
The presentation with questions must be structured to give the apprentice the opportunity to demonstrate the KSBs mapped to this assessment method to the highest available grade.
The apprentice must prepare and deliver a presentation to an independent assessor. After the presentation, the independent assessor must ask the apprentice questions about their project, report and presentation.
The presentation should cover:
The presentation with questions must last 45 minutes. This will typically include a presentation of 20 minutes and questioning lasting 25 minutes. The independent assessor must use the full time available for questioning. The independent assessor can increase the time of the presentation and questioning by up to 10%. This time is to allow the apprentice to complete their last point or respond to a question if necessary.
The independent assessor must ask at least 4 questions. They must use the questions from the EPAO’s question bank or create their own questions in line with the EPAO’s training. Follow up questions are allowed where clarification is required.
The purpose of the independent assessor's questions is:
The apprentice must submit any presentation materials to the EPAO at the same time as the report - by the end of week 12 of the EPA period. The apprentice must notify the EPAO, at that point, of any technical requirements for the presentation.
During the presentation, the apprentice must have access to:
The independent assessor must have at least 2 weeks to review the project report and any presentation materials, to allow them to prepare questions.
The apprentice must be given at least 2 weeks’ notice of the presentation with questions.
The independent assessor must make the grading decision. They must assess the report components holistically when deciding the grade.
The independent assessor must keep accurate records of the assessment. They must record:
The presentation with questions must take place in a suitable venue selected by the EPAO for example, the EPAO’s or employer’s premises. It should take place in a quiet room, free from distractions and influence.
The presentation with questions can be conducted by video conferencing. The EPAO must have processes in place to verify the identity of the apprentice and ensure the apprentice is not being aided.
The EPAO must develop a purpose-built assessment specification and question bank. It is recommended this is done in consultation with employers of this occupation. The EPAO should maintain the security and confidentiality of EPA materials when consulting with employers. The assessment specification and question bank must be reviewed at least once a year to ensure they remain fit-for-purpose.
The assessment specification must be relevant to the occupation and demonstrate how to assess the KSBs mapped to this assessment method. The EPAO must ensure that questions are refined and developed to a high standard. The questions must be unpredictable. A question bank of sufficient size will support this.
The EPAO must ensure that the apprentice has a different set of questions in the case of re-sits or re-takes.
EPAO must produce the following materials to support the report:
The EPAO must ensure that the EPA materials are subject to quality assurance procedures including standardisation and moderation.
In the discussion, an independent assessor and apprentice have a formal two-way conversation.
The apprentice can refer to and illustrate their answers with evidence from their portfolio of evidence. It gives the apprentice the opportunity to demonstrate their competency across the KSBs mapped to this EPA method.
This assessment method is being used because:
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 draw out examples and further clarify skills demonstrated in a portfolio of evidence.
The EPAO must give an apprentice 2 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 is not directly assessed.
The professional discussion must last 75 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 ask at least 8 questions. Follow-up questions are allowed where clarification is required. The independent assessor must use the questions from their EPAO’s question bank or create their own questions in-line with the EPAO’s training.
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 should maintain the security and confidentiality of EPA materials when consulting 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 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 underpinned by a portfolio of evidence.:
The EPAO must ensure that the EPA materials are subject to quality assurance procedures including standardisation, training, and moderation.
Fail - does not meet pass criteria
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Theme
KSBs
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Pass
Apprentices must demonstrate all the pass descriptors
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Distinction
Apprentices must demonstrate all the pass descriptors and all of the distinction descriptors
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Organisational structures
K3 K13 K17 S6 S14 B2 |
Explains how the organisational structures, roles and decision-making frameworks have contributed to the continuous development of systems, policies, processes, and procedures to ensure that regulatory, governance, and risk management requirements are met and contribute to the governance of the organisation (K3, K13). Describes contexts and concepts for governance and how these are used to work collaboratively to share knowledge with colleagues and stakeholders (K17, B2). Explains how they identify and implement improvements to support the governance of their organisation and how they identify, use, and adapt precedents for specific circumstances (S6, S14).
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Justifies the selection of systems, processes and procedures that are used to mitigate potential risks to an organisation (K3). |
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Stakeholders
K6 K14 S2 |
Collaborates with key stakeholders during the report, explaining how relationships with key stakeholders have had positive impacts during organisational changes and developments (K6, K14, S2). |
Evaluates the importance of key stakeholder relationships during changes and developments within the organisation for the duration of the report (K14, S2). |
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Data and information
K7 K16 S3 S11 |
Explains how frameworks are used for the report to capture, assess, mitigate, and report on risks associated with the report (K16). Explains the requirements for governance and compliance record keeping in accordance with regulatory requirements and organisational policies and procedures and the use of IT systems to support this (K7, S3). Explains how governance and compliance records are analysed and managed to inform decision making in accordance with regulatory requirements and organisational policies and procedures (S11).
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Justifies the actions they have taken to capture, mitigate, and report on risks to the report, using evidence to support conclusions (K16). |
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Context and reporting
K10 S7 S12 |
Presents recommendations for governance that are based on factually accurate work, explaining how they identify problems and how the governance reporting and disclosure obligations have been met (K10, S7, S12). |
Justifies recommended solutions to problems, drawing on precedents to substantiate conclusions (S12). |
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Systems and processes
K11 K18 |
Explains the purpose and application of measures when disclosing and verifying individual’s and entities’ identities and their connected relationships (K18). Explains how they identify and implement improvements, including the use of technology and software, to support the governance of their organisation and how they identify, use, and adapt precedents for specific circumstances (K11).
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N/A |
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Personal management
K19 S5 S9 B3 |
Applies project management principles and techniques, including appropriate technology and software, to effectively plan and prioritise workloads to meet deadlines, explaining how they have been used (K19, S9). Explains how they review instructions taking accountability and ownership of their workload and how they follow through to the conclusion and execution of tasks (S5, B3).
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N/A |
Fail - does not meet pass criteria
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Theme
KSBs
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Pass
Apprentices must demonstrate all the pass descriptors
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Distinction
Apprentices must demonstrate all the pass descriptors and all of the distinction descriptors
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|---|---|---|
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Governance in theory
K1 K5 B4 |
Explains the role of the company secretary or governance professional and how their role adds value to the organisation governance function and how they identify and seek out opportunities for professional development (K1, K5, B4). |
Evaluates how governance roles add value to the organisation (K1, K5). |
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Governance in practice
K4 K8 S8 S13 B5 |
Explains how governance codes, constitutional requirements and policies and processes have been used to support and inform stakeholders whilst working flexibly and adapting to circumstances (K4, S13, B5). Explains how governance practices and administration, such as meetings and organisational structure charts, contribute to developing and maintaining organisational governance (K8, S8).
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Evaluates the purpose, impact and application of governance codes, constitutional requirements and policies and processes to support and inform stakeholders on complex or sensitive matters (K4, S13). |
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Organisational data
K9 K12 S4 |
Discusses financial accounting concepts and the importance of financial statements and reports (K9). Explains how complex information is communicated through a variety of media and the risks associated with processing and communicating data to enable stakeholders to understand what is required (K12, S4).
|
Justifies the media used to communicate complex data and the solutions to reduce any risks associated with them, drawing on evidence to support conclusions (K12, S4). |
|
Frameworks, requirements and planning
K2 K15 S1 S10 B1 |
Explains the regulatory and legislative requirements which impact on their role and how to advise and train stakeholders on its practical application (K2, S1). Explains the importance of horizon scanning to identify future changes in regulation and developments in governance practice that affect the organisation (K15) Describes how forward-looking plans and calendars are maintained and organised to keep stakeholders informed and how to operate professionally with integrity and confidentiality (S10, B1).
|
N/A |
Performance in the EPA determines the apprenticeship grade of:
An independent assessor must individually grade the: work based report with presentation and questioning. and professional discussion underpinned by a portfolio of evidence. in line with this EPA plan.
The EPAO must combine the individual assessment method grades to determine the overall EPA grade.
If the apprentice fails one or more assessment methods, they will be awarded an overall fail.
To achieve an overall pass, the apprentice must achieve at least a pass in all the assessment methods. To achieve an overall EPA distinction, the apprentice must achieve a distinction in both assessment methods.
Grades from individual assessment methods must be combined in the following way to determine the grade of the EPA overall.
| Work based report with presentation and questioning. | Professional discussion underpinned by a portfolio of evidence. | Overall Grading |
|---|---|---|
| Fail | Any grade | Fail |
| Any grade | Fail | Fail |
| Pass | Pass | Pass |
| Pass | Distinction | Pass |
| Distinction | Pass | Pass |
| Distinction | Distinction | Distinction |
If the apprentice fails one or more assessment methods they can take a re-sit or a re-take at their employer’s discretion. The apprentice’s employer needs to agree that a re-sit or re-take is appropriate. A re-sit does not need further learning, whereas a re-take does.
The apprentice should have a supportive action plan to prepare for a re-sit or a re-take.
The employer and EPAO agree the timescale for a re-sit or re-take. A re-sit is typically taken within 2 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 3 months of the EPA outcome notification.
If the apprentice fails the report assessment method, they must to amend the report output in line with the independent assessor’s feedback. The apprentice will be given 4 weeks to rework and submit the amended report.
Failed assessment methods must be re-sat or re-taken within a 6-month period from the EPA outcome notification, otherwise the entire EPA will need to be re-sat or re-taken in full.
Re-sits and re-takes are not offered to an apprentice wishing to move from pass to a higher grade.
The apprentice will get a maximum EPA grade of pass for a re-sit or re-take, unless the EPAO determines there are exceptional circumstances.
| Roles | Responsibilities |
|---|---|
|
Apprentice |
As a minimum, the apprentice should:
|
|
Employer |
As a minimum, the apprentice's employer must:
Post-gateway, the employer must:
|
|
EPAO |
As a minimum, the EPAO must:
|
|
Independent assessor |
As a minimum, an independent assessor must:
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Training provider |
As a minimum, the training provider must:
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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:
The EPAO must also:
Affordability of the EPA will be aided by using at least some of the following:
This apprenticeship aligns with:
Chartered Governance Institute for Foundation Level
| Knowledge | Assessment methods |
|---|---|
|
K1
The role of the company secretary or governance professional. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
K2
Regulatory and legislative frameworks and requirements such as company law, charity law, and data protection. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
K3
Organisational structures, governance roles and decision-making frameworks. Back to Grading |
Work based report with presentation and questioning. |
|
K4
The application of governance codes, constitutional requirements, and an organisation’s governance policies and processes. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
K5
How the role of company secretary or governance officer fits into the organisation’s governance function, and how it adds value to it. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
K6
The roles of the key stakeholders in their organisation and how they interact with their own role. Back to Grading |
Work based report with presentation and questioning. |
|
K7
Governance and compliance record-keeping requirements. Back to Grading |
Work based report with presentation and questioning. |
|
K8
Governance practices and associated administration for meetings. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
K9
Financial accounting concepts and working knowledge of financial statements and reports. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
K10
Governance reporting and disclosure obligations of the organisation such as legal and regulatory filings and announcements, and annual reports. Back to Grading |
Work based report with presentation and questioning. |
|
K11
Technology and software used in the performance of governance activities. Back to Grading |
Work based report with presentation and questioning. |
|
K12
The risks associated with data processing. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
K13
Continuous development of organisational systems, processes, and procedures to ensure that regulatory, governance, and risk management requirements are met. Back to Grading |
Work based report with presentation and questioning. |
|
K14
Organisational changes and developments. Back to Grading |
Work based report with presentation and questioning. |
|
K15
The importance of horizon scanning for future changes to regulation and developments in governance practices that affect the organisation. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
K16
Frameworks used to assess, capture, mitigate and report on risk, such as its link to climate change and sustainability for that organisation. Back to Grading |
Work based report with presentation and questioning. |
|
K17
The context and concepts for governance today. Back to Grading |
Work based report with presentation and questioning. |
|
K18
The purpose and application of measures requiring the disclosure and verification of individuals' and entities’ identity and connected relationships. Back to Grading |
Work based report with presentation and questioning. |
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K19
Project management principles and techniques. Back to Grading |
Work based report with presentation and questioning. |
| Skill | Assessment methods |
|---|---|
|
S1
Interpret regulation, legislation and governance practices and advise and train stakeholders on its practical application. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
S2
Establish, maintain, and influence relationships with key stakeholders and team members. Back to Grading |
Work based report with presentation and questioning. |
|
S3
Use IT systems to manage, share and store information in accordance with regulatory requirements and organisational policies and procedures. Back to Grading |
Work based report with presentation and questioning. |
|
S4
Communicate complex information through a variety of media to enable key stakeholders to understand what is required. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
S5
Review instructions, following them to a conclusion through the execution of tasks. Back to Grading |
Work based report with presentation and questioning. |
|
S6
Identify and use precedents adapted for specific circumstances such as resolutions, announcements, reports. Back to Grading |
Work based report with presentation and questioning. |
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S7
Produce work which is factually accurate and well presented for submission to the members of a decision-making governing body and for publication by the organisation. Back to Grading |
Work based report with presentation and questioning. |
|
S8
Develop and maintain structure charts for the organisation. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
S9
Plan and prioritise their workload to meet deadlines. Back to Grading |
Work based report with presentation and questioning. |
|
S10
Maintain and organise forward looking plans and calendars, keeping relevant stakeholders informed of upcoming events such as meetings, reporting timetables, compliance deadlines. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
S11
Gather, analyse, use, and share data to inform the decision-making process and make judgements on actions to take. Back to Grading |
Work based report with presentation and questioning. |
|
S12
Identify problems and present potential solutions to stakeholders. Back to Grading |
Work based report with presentation and questioning. |
|
S13
Respond to stakeholder questions and requests, knowing when to consult with others or escalate on matters of a more complex or sensitive nature. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
S14
Identify and implement improvements to support the governance of the organisation. Back to Grading |
Work based report with presentation and questioning. |
| Behaviour | Assessment methods |
|---|---|
|
B1
Operates professionally with integrity and confidentiality. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
B2
Works collaboratively and shares knowledge with colleagues and stakeholders across the organisation. Back to Grading |
Work based report with presentation and questioning. |
|
B3
Has accountability and ownership of their tasks and workload. Back to Grading |
Work based report with presentation and questioning. |
|
B4
Seeks learning opportunities and continuous professional development. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
|
B5
Works flexibly and adapts to circumstances. Back to Grading |
Professional discussion underpinned by a portfolio of evidence. |
| KSBS GROUPED BY THEME | Knowledge | Skills | Behaviour |
|---|---|---|---|
|
Organisational structures
K3 K13 K17 S6 S14 B2 |
Organisational structures, governance roles and decision-making frameworks. (K3) Continuous development of organisational systems, processes, and procedures to ensure that regulatory, governance, and risk management requirements are met. (K13) The context and concepts for governance today. (K17) |
Identify and use precedents adapted for specific circumstances such as resolutions, announcements, reports. (S6) Identify and implement improvements to support the governance of the organisation. (S14) |
Works collaboratively and shares knowledge with colleagues and stakeholders across the organisation. (B2) |
|
Stakeholders
K6 K14 S2 |
The roles of the key stakeholders in their organisation and how they interact with their own role. (K6) Organisational changes and developments. (K14) |
Establish, maintain, and influence relationships with key stakeholders and team members. (S2) |
None |
|
Data and information
K7 K16 S3 S11 |
Governance and compliance record-keeping requirements. (K7) Frameworks used to assess, capture, mitigate and report on risk, such as its link to climate change and sustainability for that organisation. (K16) |
Use IT systems to manage, share and store information in accordance with regulatory requirements and organisational policies and procedures. (S3) Gather, analyse, use, and share data to inform the decision-making process and make judgements on actions to take. (S11) |
None |
|
Context and reporting
K10 S7 S12 |
Governance reporting and disclosure obligations of the organisation such as legal and regulatory filings and announcements, and annual reports. (K10) |
Produce work which is factually accurate and well presented for submission to the members of a decision-making governing body and for publication by the organisation. (S7) Identify problems and present potential solutions to stakeholders. (S12) |
None |
|
Systems and processes
K11 K18 |
Technology and software used in the performance of governance activities. (K11) The purpose and application of measures requiring the disclosure and verification of individuals' and entities’ identity and connected relationships. (K18) |
None |
None |
|
Personal management
K19 S5 S9 B3 |
Project management principles and techniques. (K19) |
Review instructions, following them to a conclusion through the execution of tasks. (S5) Plan and prioritise their workload to meet deadlines. (S9) |
Has accountability and ownership of their tasks and workload. (B3) |
| KSBS GROUPED BY THEME | Knowledge | Skills | Behaviour |
|---|---|---|---|
|
Governance in theory
K1 K5 B4 |
The role of the company secretary or governance professional. (K1) How the role of company secretary or governance officer fits into the organisation’s governance function, and how it adds value to it. (K5) |
None |
Seeks learning opportunities and continuous professional development. (B4) |
|
Governance in practice
K4 K8 S8 S13 B5 |
The application of governance codes, constitutional requirements, and an organisation’s governance policies and processes. (K4) Governance practices and associated administration for meetings. (K8) |
Develop and maintain structure charts for the organisation. (S8) Respond to stakeholder questions and requests, knowing when to consult with others or escalate on matters of a more complex or sensitive nature. (S13) |
Works flexibly and adapts to circumstances. (B5) |
|
Organisational data
K9 K12 S4 |
Financial accounting concepts and working knowledge of financial statements and reports. (K9) The risks associated with data processing. (K12) |
Communicate complex information through a variety of media to enable key stakeholders to understand what is required. (S4) |
None |
|
Frameworks, requirements and planning
K2 K15 S1 S10 B1 |
Regulatory and legislative frameworks and requirements such as company law, charity law, and data protection. (K2) The importance of horizon scanning for future changes to regulation and developments in governance practices that affect the organisation. (K15) |
Interpret regulation, legislation and governance practices and advise and train stakeholders on its practical application. (S1) Maintain and organise forward looking plans and calendars, keeping relevant stakeholders informed of upcoming events such as meetings, reporting timetables, compliance deadlines. (S10) |
Operates professionally with integrity and confidentiality. (B1) |
Contact us about this apprenticeship
| Version | Change detail | Earliest start date | Latest start date | Latest end date |
|---|---|---|---|---|
| 1.0 | Approved for delivery | 25/05/2023 | Not set | Not set |
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