In accordance with the General Data Protection Regulation (GDPR), we have implemented this privacy notice to inform you, our Students / Apprentices, of the types of data we process about you. We also include within this notice the reasons for processing your data, the lawful basis that permits us to process it, how long we keep your data for and your rights regarding your data.

This notice applies to current and former Students / Apprentices.


Under GDPR, all personal data obtained and held by us must be processed according to a set of core principles. In accordance with these principles, we will ensure that:

  1. processing is fair, lawful and transparent
  2. data is collected for specific, explicit, and legitimate purposes
  3. data collected is adequate, relevant and limited to what is necessary for the purposes of processing
  4. data is kept accurate and up to date. Data which is found to be inaccurate will be rectified or erased without delay
  5. data is not kept for longer than is necessary for its given purpose
  6. data is processed in a manner that ensures appropriate security of personal data including protection against unauthorised or unlawful processing, accidental loss, destruction or damage by using appropriate technical or organisation measures
  7. we comply with the relevant GDPR procedures for international transferring of personal data

We keep several categories of personal data on our Students / Apprentices in order to carry out effective and efficient processes. We keep this data in a personnel file relating to each Student / Apprentice and we also hold the data within our computer systems, for example, our data management system.
Specifically, we hold the following types of data:

  1. personal details such as name, address, phone numbers
  2. name and contact details of your next of kin
  3. your photograph / ID
  4. your gender, marital status, information of any disability you have or other medical information
  5. right to work documentation
  6. information on your race and religion for equality monitoring purposes
  7. information gathered via the recruitment process such as that entered into a CV or included in a CV cover letter
  8. references from former employers
  9. details on your education and employment history etc
  10. National Insurance numbers
  11. bank account details
  12. tax codes
  13. driving licence
  14. criminal convictions
  15. information relating to your employment with us, including:
    1. job title and job descriptions
    2. your salary
    3. your wider terms and conditions of employment
    4. details of formal and informal proceedings involving you such as letters of concern, disciplinary and grievance proceedings, your annual leave records, appraisal and performance information
    5. internal and external training modules undertaken
    6. information on time off from work including sickness absence, family related leave etc
  16. IT equipment use including telephones and internet access.

You provide several pieces of data to us directly during the recruitment period and subsequently upon the start of your course.
In some cases, we will collect data about you from third parties, such as employment agencies, former employers when gathering references or credit reference agencies.
Personal data is kept in files or within the Company’s IT systems.


The law on data protection allows us to process your data for certain reasons only. In the main, we process your data in order to comply with a legal requirement or in order to effectively manage the training agreement we have with you, including ensuring you are paid correctly.
The information below categorises the types of data processing we undertake and the lawful basis we rely on.

Activity requiring your data Lawful basis
Carry out the training agreement that we have entered into with you e.g. using your name, contact details, education history, information on any disciplinary, grievance procedures involving you Performance of the agreement
Carrying out checks in relation to your right to work in the UK Legal obligation
Making reasonable adjustments for disabled students Legal obligation Legal obligation
Making recruitment decisions in relation to both initial and subsequent employment e.g. promotion Our legitimate interests
Ensuring efficient administration of contractual benefits to you Our legitimate interests
Effectively monitoring both your conduct, including timekeeping and attendance, and your performance and to undertake procedures where necessary Our legitimate interests
Maintaining comprehensive up to date personnel records about you to ensure, amongst other things, effective correspondence can be achieved and appropriate contact points in the event of an emergency are maintained Our legitimate interests
Implementing grievance procedures Our legitimate interests
Assessing training needs Our legitimate interests
Implementing an effective sickness absence management system including monitoring the amount of leave and subsequent actions to be taken including the making of reasonable adjustments Our legitimate interests
Gaining expert medical opinion when making decisions about your fitness for study Our legitimate interests
Dealing with legal claims made against us Our legitimate interests
Preventing fraud Our legitimate interests

Special categories of data are data relating to your:

  1. health
  2. sex life
  3. sexual orientation
  4. race
  5. ethnic origin
  6. political opinion
  7. religion
  8. trade union membership
  9. genetic and biometric data

We carry out processing activities using special category data:

  1. for the purposes of equal opportunities monitoring
  2. to determine reasonable adjustments

Most commonly, we will process special categories of data when the following applies:

  1. you have given explicit consent to the processing
  2. we must process the data in order to carry out our legal obligations
  3. we must process data for reasons of substantial public interest
  4. you have already made the data public.

Your failure to provide us with data may mean that we are unable to fulfil our requirements for entering into a training agreement with you. This could include being unable to offer you training.


We will only collect criminal conviction data where it is appropriate given the nature of your role and where the law permits us. This data will usually be collected at the recruitment stage, however, may also be collected during your employment. We use criminal conviction data to determine your suitability, or your continued suitability for the role. We rely on the lawful basis of our legitimate interests to process this data.


Employees within our company who have responsibility for training, collection of payment and agreement benefits and the carrying out performance related procedures will have access to your data which is relevant to their function. All Apprentices / Students with such responsibility have been trained in ensuring data is processing in line with GDPR.

Data is shared with third parties for the following reasons:

  • For collection of payment.
  • For studying purposes & qualification purposes.
  • For employment purposes.

We may also share your data with third parties as part of a Company sale or restructure, or for other reasons to comply with a legal obligation upon us. We have a data processing agreement in place with such third parties to ensure data is not compromised. Third parties must implement appropriate technical and organisational measures to ensure the security of your data.

We do not share your data with bodies outside of the European Economic Area.


We are aware of the requirement to ensure your data is protected against accidental loss or disclosure, destruction and abuse. We have implemented processes to guard against such.


We only keep your data for as long as we need it for, which will be at least for the duration of your employment with us though in some cases we will keep your data for a period after your employment has ended. Some data retention periods are set by the law. Retention periods can vary depending on why we need your data, as set out below:

Record Recommended Retention Period
Application forms and interview notes Permanently
Assessments under health and safety regulations and records of consultations with safety representatives and committees Permanently
Money purchase details 6 years after transfer or value taken
Personnel files, training records (disciplinary records, working time records) Permanently

Automated decision making means making decision about you using no human involvement e.g. using computerised filtering equipment. No decision will be made about you solely on the basis of automated decision making (where a decision is taken about you using an electronic system without human involvement) which has a significant impact on you.


You have the following rights in relation to the personal data we hold on you:

  1. the right to be informed about the data we hold on you and what we do with it;
  2. the right of access to the data we hold on you. More information on this can be found in the section headed “Access to Data” below and in our separate policy on Subject Access Requests”;
  3. the right for any inaccuracies in the data we hold on you, however they come to light, to be corrected. This is also known as ‘rectification’;
  4. the right to have data deleted in certain circumstances. This is also known as ‘erasure’;
  5. the right to restrict the processing of the data;
  6. the right to transfer the data we hold on you to another party. This is also known as ‘portability’;
  7. the right to object to the inclusion of any information;
  8. the right to regulate any automated decision-making and profiling of personal data.

More information can be found on each of these rights in our separate policy on employee rights under GDPR.


Where you have provided consent to our use of your data, you also have the right to withdraw that consent at any time. This means that we will stop processing your data.


If you think your data rights have been breached, you are able to raise a complaint with the Information Commissioner (ICO). You can contact the ICO at Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF or by telephone on 0303 123 1113 (local rate) or 01625 545 745.


Our appointed compliance officer in respect of our data protection activities is:
Karen Purser

Equality & Diversity Policy

The aim of this policy is to communicate the commitment of the Management Team to the promotion of Equality & Diversity opportunities within in Harriet Ellis Training Ltd.

The Managing Director has specific responsibility for the effective implementation of this policy. They have agreed to abide by the policy and help to create the equality environment which is its objective.

In order to implement this policy, we shall:

  • Communicate the policy to all employees by issuing it and providing training as part of their induction.
  • Ensure existing staff are made aware of any revisions to the policy and where appropriate provide refresher training.
  • Communicate to our learners via our website and for apprentices as part of their commitment statement.
  • Provide Training to all staff and apprentices on importance of policy. Internal staff will receive regular in house training.
  • Engage with staff and apprentices to ensure they are aware of any revisions. Apprentices will be engaged via our website and though the commitment statement.

Harriet Ellis Training Solutions Ltd will endeavour through appropriate training to ensure that it will not consciously or unconsciously discriminate in the selection or recruitment of applicants for employment.

    • We are committed to equality of opportunity and to providing a service and following practices which are free from unfair and unlawful discrimination. The aim of this policy is to ensure that no member of staff or learner / apprentice receives less favourable treatment on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy or maternity, race, religion or belief, sex or sexual orientation, or is disadvantaged by conditions or requirements which cannot be shown to be relevant to performance. It seeks also to ensure that no person is victimised or subjected to any form of bullying or harassment.
  • We value people as individuals with diverse opinions, cultures, lifestyles and circumstances. All employees and apprentices are covered by this policy and it applies to all areas of employment and training including recruitment, selection, training, deployment, career development, and promotion. These areas are monitored and policies and practices are amended if necessary, to ensure that no unfair or unlawful discrimination, intentional, unintentional, direct or indirect, overt or latent exists.
  • The Quality Assurance Manager has particular responsibility for overseeing and monitoring the implementation of this Equality and Diversity Policy for apprentices and learners and, as part of this process, all policies and procedures are administered with the objective of promoting equality of opportunity and eliminating unfair or unlawful discrimination. Successful implementation will be monitored through the quality evaluation cycle.
  • All employees, workers or self-employed contractors whether part time, full time or temporary and learners / apprentices – will be treated fairly and with respect. Selection for employment, promotion, training, or any other benefit will be on the basis of aptitude and ability. All employees and learners / apprentices will be helped and encouraged to develop their full potential and the talents and resources of the workforce will be fully utilised to maximise the efficiency of the Company.
  • Equality of opportunity, valuing diversity and compliance with the law is to the benefit of all individuals in our Company as it seeks to develop the skills and abilities of its people. While specific responsibility for eliminating discrimination and providing equality of opportunity lies with managers and supervisors, individuals at all levels have a responsibility to treat others with dignity and respect. The personal commitment of every employee to this policy and application of its principles are essential to eliminate discrimination and provide equality throughout the Company.
    • To create an environment in which individual differences and the contributions of individuals are recognised and valued.
  • Every employee, worker or self-employed contractor and learner is entitled to a working environment that promotes dignity and respect to all. No form of intimidation, bullying or harassment will be tolerated.
  • Training, development and progression opportunities are available to all.
  • Equality in the workplace is good management practice and makes sound business sense.
  • We will review all our employment practices and procedures to ensure fairness.
    • We aim to provide services to which all clients are entitled regardless of age, disability, gender reassignment, marriage and civil partnership, pregnancy or maternity, race, religion or belief, sex or sexual orientation, offending past, caring responsibilities or social class.
  • We will make sure that our services are delivered equally and meet the diverse needs of our service users and clients by assessing and meeting the diverse needs of our clients.
  • This policy is fully supported by senior management and has been agreed with employee representatives.
  • This policy will be monitored and reviewed annually.
  • We have clear procedures that enable our clients, candidates for jobs and employees to raise a grievance or make a complaint if they feel they have been unfairly treated.
  • Breaches of our equality and diversity policy will be regarded as misconduct and could lead to disciplinary proceedings.
  • We will communicate and engage with all employers regularly via phone and email communication to make sure all apprentices are treated fairly.


We will:

  • ensure that people of all ages are treated with respect and dignity;
  • ensure that people of working age are given equal access to our employment, training, development and promotion opportunities; and
  • challenge discriminatory assumptions about younger and older people.


We will:

  • provide any reasonable adjustments to ensure disabled people have access to our services and employment opportunities;
  • challenge discriminatory assumptions about disabled people; and
  • seek to continue to improve access to information by ensuring availability of loop systems, braille facilities, alternative formatting and sign language interpretation.


We will:

  • challenge racism wherever it occurs;
  • respond swiftly and sensitively to racists incidents; and
  • actively promote race equality in the Company.


We will:

  • challenge discriminatory assumptions about women and men;


We will:

  • Challenge discriminatory assumptions about women and men
  • take positive action to redress the negative effects of discrimination against women and men;
  • offer equal access for women and men to representation, services, employment, training and pay and encourage other organisations to do the same; and


We will:

  • ensure that we take account of the needs of lesbians, gay men and bisexuals; and
  • promote positive images of lesbians, gay men and bisexuals.


We will:

  • ensure that employees’ religion or beliefs and related observances are respected and accommodated wherever possible; and
  • respect people’s beliefs where the expression of those beliefs does not impinge on the legitimate rights of others.


We will:

  • Ensure that people are treated with respect and dignity and that a positive image is promoted regardless of pregnancy or maternity;
  • challenge discriminatory assumptions about the pregnancy or maternity of our employees; and
  • ensure that no individual is disadvantaged and that we take account of the needs of our employees’ pregnancy or maternity.


We will:

  • Ensure that people are treated with respect and dignity and that a positive image is promoted regardless of marriage or civil partnership;
  • challenge discriminatory assumptions about the marriage or civil partnership of our employees; and
  • ensure that no individual is disadvantaged and that we take account the needs of our employees’ marriage or civil partnership.


We will:

  • prevent discrimination against our employees regardless of their offending background (except where there is a known risk to children or vulnerable adults).

EQUAL PAY                                                       

We will:

  • ensure that all employees, male or female, have the right to the same contractual pay and benefits for carrying out the same work, work rated as equivalent work or work of equal value. All staff salaries are reviewed annually in line with the staff annual reviews. A pay rise is not guaranteed however all cases will be reviewed.
  • All Staff have responsibilities to eliminate discrimination on grounds of race,gender,disability or any of the protected characteristics. Staff are responsible for ensuring that they are aware of the statutory duties in relation to legislation.
  • Their schemes of work, lesson content and teaching resources demonstrate sensitivity to issues of equality and diversity.
  • They Challenge inappropriate behaviour by either apprentices, employers or other members of staff.
  • Apprentices also have a role and responsibility to comply with policies
  • Apprentices will be made aware of Harriet Ellis Training ltd policies at induction, through publicity and events, and through embedding of Equality and Diversity in teaching and learning.
  • Apprentices should treat all other staff, colleagues and other apprentices with respect and dignity.
  • Apprentices must show respect for other people’s cultural traditions and religious beliefs
  • Apprentices should report any incidents of discrimination, harassment or bullying using the complaints procedure.


This Policy will be reviewed annually and agreed by the Managing Director

Date Due Date Reviewed Any changes Completed by Approved by Managing Director
November 2020 November 2020 Version3 Published K Purser HS
December 2021 January 2022 Version 4 addition of staff and apprentice responsibilities D Martin HS
January 2023

Safeguarding, Protection and Prevent Policy



Harriet Ellis Training Solutions makes a positive contribution to a strong and safe community and recognises the right of every individual to stay safe.

Harriet Ellis comes into contact with adults and young adults through their training courses, in the provision of the Level 2 & Level 3 Apprenticeship programmes. This is via distance learning but requires assessor visits.  Contact with apprentices will include email, go to meeting, skype, telephone & face to face contact.  The face to face contact will be with the trained Dental Educationalists, Assessors and Exam Invigilators only, who will hold relevant DBS checks.  Apprentices may have remote contact with IQA,EQA and programme lead.

The general aim of this policy is to ensure that Harriet Ellis undertakes its responsibilities with regard to protection of its learners and staff and will respond to concerns appropriately. The policy establishes a framework to support paid and unpaid staff in their practices and clarifies the organisation’s expectations.

In line with statutory guidance, all staff are required to read Part One of “Keeping Children safe in education”. All staff must confirm that they have been made fully aware of, and understand the contents of, the Safeguarding Policy and Procedures for Harriet Ellis Training Solutions during their induction & ongoing training which is signed & recorded on file.

Safeguarding is about embedding practices throughout the organisation to ensure the protection of our apprentices and adults at risk wherever possible. Harriet Ellis’s protection procedures are about responding to circumstances that arise where abuse may be suspected.

The specific aims of this policy, to include response to our Prevent Duty, therefore are

  • to provide protection for apprentices on programmes managed by Harriet Ellis to ensure their welfare and to ensure the welfare of our staff in the context of their ensuring the safeguarding and the protection of vulnerable groups.
  • to provide apprentices (and, as appropriate, their parents or carers), staff and all working on behalf of Harriet Ellis with the overarching principles that guide our approach to safeguarding and the protection of vulnerable groups.
  • to identify and support apprentices with potential vulnerabilities to all forms of abuse (including that of indoctrination),


The Designated Safeguarding Lead, Siobhan Thomas, is responsible for implementation of this policy as part of her role as Apprenticeship Programme Manager. As DSL, Siobhan’s responsibilities are clearly defined in an individual job description.

How we promote this policy

All staff receive details of our Safeguarding & Prevent Policy Process through their induction and will receive regular training that is documented as part of our Professional Development Process.  Our Policy and Process details are embedded in our Commitment Statement for all of our Apprentices and promoted throughout the delivery of our programme through reviews. This ensures that staff are wholly committed to this policy and further ensures that all our learners are protected.

Our Policies are available at all times on our website.

All of our Assessors / Dental Educationalists will be placed on Certified CPD training as part of our Process for Personal Development and the certificates will be filed on our HR system.

This policy will be reviewed annually by Siobhan Thomas, Safeguarding Lead Officer and Hadley Silver managing Director.

This policy takes account of all relevant statutory guidance

  • Keeping Children Safe in Education” and “Working Together to Safeguard Children” (both revised in 2021)
  • the Equality Act (2010)
  • Ofsted’s requirements as detailed in “Inspecting safeguarding in early years, education and skills settings” (August 2021) with particular regard to Annex 4.
  • Counter terrorism and Security Act 2015
  • Prevent duty guidance: for further education institutions in England and Wales

Definitions relevant to this policy


For the purposes of this policy and associated procedures, children and young people are any persons under the age of 18 years. An Adult at Risk is defined by the Care Act 2014 as’ An adult at risk of abuse or neglect is defined as someone who has needs for care and support, who is experiencing, or at risk of, abuse or neglect and as a result of their care needs – is unable to protect themselves.

This may include a person who:

  • Is elderly and frail
  • Has a mental illness including dementia
  • Has a physical or sensory disability
  • Has a learning disability
  • Has a severe physical illness
  • Is a substance misuser
  • Is homeless

Abuse is a selfish act of oppression and injustice, exploitation and manipulation of power by those in a position of authority. Abuse can be caused by those inflicting harm or those who fail to act to prevent harm. Abuse is not restricted to any socio-economic group, gender or culture.

It can take a number of forms, including the following:

  • Physical abuse
  • Sexual abuse
  • Emotional abuse
  • Bullying
  • Neglect
  • Financial (or material) abuse

We include as Appendix B some of the more common indicators of abuse that a young person or adult at risk may show. This clear level of staff understanding further ensures the protection of our learners.

The Prevent Duty


Harriet Ellis is committed to helping & identifying the needs & vulnerabilities of individuals. In accordance with the Counter Terrorism and Security Act, Harriet Ellis Training Ltd has a responsibility to prevent people from being drawn into terrorism and participates fully in such work, Prevent is a strand of the Government counter terrorism strategy -CONTEST. The UK faces a range of terrorist threats. All the terrorist groups who pose a threat seek to radicalise and recruit people to their cause. The Prevent strategy seeks to:

  • Respond to the ideological challenge of terrorism and aspects of extremism, and the threat faced from those that promote these views.
  • Provide practical help to stop people from being drawn into terrorism and ensure they are given appropriate advice and support
  • Work with a wide range of sectors where there are risks of radicalisation which needs to be addressed, including education, criminal justice, faith, charities, the internet, social media and health.

As an organisation we are committed to promoting the welfare of individuals and keeping people safe.  All staff must be vigilant at all times and are trained to be able to recognise and respond to neglect and signs of abuse.  All staff know that they must act quickly if they suspect an individual is suffering or likely to suffer from harm.  We are aware that we have a legal responsibility to fulfil the prevent duty statement.

Standards of Good Practice


To ensure that we meet our responsibilities to individuals, all staff will:

  • treat all individuals with respect
  • treat young people and adults as individuals
  • put the person’s welfare first
  • set a good example by conducting ourselves appropriately
  • involve people in decisions that affect them
  • encourage positive and safe behaviour among all
  • be a good listener
  • be alert to changes in people’s behaviour
  • recognise that challenging behaviour may be an indicator of abuse
  • maintain appropriate standards of conversation and interaction with and between young people and avoid the use of sexualised or derogatory language
  • be aware and sensitive of different cultures and different communities
  • share concerns immediately with the company Safeguarding Leads, Siobhan Thomas/Hadley Silver in an email format marked “confidential”
  • always act in the best interests of an individual

Abuse of Trust

All staff understand that inappropriate behaviour is completely unacceptable.  In addition, staff must understand that, under the Sexual Offences Act 2003, it is an offence for a person over the age of 18 to have a sexual relationship with a person under the age of 18, where that person is in a position of trust, even if the relationship is consensual. This means that any sexual activity between a member of staff and a apprentice under 18 may be a criminal offence, even if that young person is over the age of consent.


Staff that are concerned about the conduct of a colleague or professional towards a apprentice have a duty to protect the welfare of an individual and report the behaviour immediately.  We appreciate that staff will be placed into an unsettling & difficult position if acting under our whistleblowing policy; however, they must remember their duty to respond and inform.

All concerns of poor practice or possible abuse by colleagues should be reported to the Designated Safeguarding Lead, Siobhan Thomas immediately. All staff, including freelanced staff (paid or unpaid) have a responsibility to follow the guidance laid out in this policy and related policies, and to pass on any welfare concerns using the required procedures.

We expect all staff (paid or unpaid) to promote good practice by being an excellent role model, contribute to discussions about safeguarding and to positively involve people in developing safe practices.

The scope of this Safeguarding Policy is broad ranging and in practice. It will be implemented via a range of policies and procedures and staff handbook within the organisation. These policies include:

  • Health & Safety Policy
  • Equal & Diversity Policy
  • Bullying & Harassment Policy
  • Data Protection Policy

Our Staff handbook includes:

  • Health & Safety
  • Whistleblowing
  • Capability Procedures
  • Personal Harassment and how these allegations will be managed

IT Usage

We believe it is essential for online safety guidance to be given to all staff and learners on a regular and meaningful basis. Online safety is embedded withing the college’s curriculum and we continually look for new opportunities to promote online safety.

As part of the curriculum all the below areas are covered.

  • Educating learners on the dangers of technologies that they will encounter.
  • Learners are aware of the relevant legislation when using the internet such as data protection.
  • Learners are made aware of the impact of online bullying and where they can go to seek help if needed. This includes parents, tutors or a staff member at their employment.
  • Learners are advised to be cautious about the information given to other sites for example users not being who they say they are.
  • Learners are explained the benefits of web filters being added to their software.
  • Every staff member from Harriet Ellis will have their own email account to use. This is to minimise the risk of receiving unsolicited or malicious emails.

Role of Staff and Volunteers

All staff and volunteers working on behalf of the organisation have a duty to promote the welfare and safety of adults at risk. Staff and volunteers may receive disclosures of abuse and observe adults who are at risk. This policy will enable staff/volunteers to make informed and confident responses to specific adult protection issues.

It is important that adults at risk are protected from abuse. All complaints, allegations or suspicions must be taken seriously.  The following procedure must be followed whenever an allegation of abuse is made or when there is a suspicion that an adult at risk has been abused.

Procedure where abuse is suspected

Promises of confidentiality must not be given as this may conflict with the need to ensure the safety and welfare of the individual.

A full record shall be made as soon as possible of the nature of the allegation and any other relevant information.  This must include information in relation to the date, the time, the place where the alleged abuse happened, your name and the names of others present, the name of the complainant and, where different, the name of the adult who it is alleged has been abused, the nature of the alleged abuse, a description of any injuries observed, the account which has been given of the allegation.

Any suspicion, allegation or incident of abuse must be reported to the Designated Safeguarding Lead or Senior Manager on that working day where possible.

The Safeguarding Lead shall telephone and report the matter to the appropriate safeguarding partners which include, but are not limited to The General Dental Council the Police and Social Services. A written record of the date and time of the report shall be made and the report must include the name and position of the person to whom the matter is reported. The telephone report must be confirmed in writing to the relevant local authority adult social services department within 24 hours.

The Role of the Designated Officer

The role of the designated officer is to deal with all instances involving adult and young adult protection that arise within the organisation. They will respond to all adult and young adult at risk protection concerns and enquiries.

The designated Safeguarding Lead for the organisation is Siobhan Thomas Should you have any suspicions or concerns relating to Adult or Young Adult Protection, contact

Training will be provided, as appropriate, to ensure that staff are aware of these procedures. Specialist training is a requirement for the Safeguarding Lead and Senior Management and provided by Harriet Ellis.

Safe Recruitment

Harriet Ellis ensures safe recruitment through the following processes:

Job or role descriptions for all roles involving contact with children and / or vulnerable adults will contain reference to safeguarding responsibilities.

There are person specifications for roles which contain a statement on core competency with regard to child/ vulnerable adult protection/ safeguarding are included within all contracts offered.

Interviews are conducted according to equality & diversity principles and interview questions are based on the relevant job description and person specification and related to Safeguarding.

Disclosure and barring service (DBS) Management


The organisation commits resources to providing a Disclosure and Barring Service check on all staff whose roles involve regulated activity with children and /or adults at risk. DBS checks will be conducted for specific roles for all staff working with children and vulnerable adults. Portable/ carry over DBS checks from another employer will not be deemed to be sufficient unless the update service is current and can be verified. It is a criminal offence for individuals barred by the DBS to work or apply to work with children or vulnerable adults in a wide range of posts.

Harriet Ellis Training Solutions will ensure that their established staff and roles are regularly reviewed through the following:

A 3-year rolling programme of re-checking DBSs is in place for holders of all identified posts. Existing staff who transfer from a role which does not require a DBS check to one which involves contact with children / vulnerable adults will be subject to a DBS check.

No formal job offers are made until after checks for suitability are completed (including DBS where appropriate)

Harriet Ellis Training Solutions commits resources for induction, training of staff, effective communications and support mechanisms in relation to Safeguarding and Prevent Duty.


Staff receive comprehensive induction which includes familiarisation with this policy, the requirements of “Keeping Children Safe in education” and the Prevent Duty.


All staff who, through their role, are in contact with children and /or adults at risk will have access to safeguarding an Prevent Duty training at an appropriate level. The Designated Safeguarding Lead routinely communicates updates to staff by means of emails and verbal briefings. (See ‘Communications’ below)


We recognise that involvement in situations where there is risk or actual harm can be stressful for staff concerned. The mechanisms in place to support staff include:

Debriefing support for paid and unpaid staff so that they can reflect on the issues they have dealt with. This can be provided by the Lead IQA.


Seeking further support as appropriate e.g. access to counselling.

Staff who have initiated protection concerns will be contacted by line manager or Designated Safeguarding Lead within a timescale of one week.


Harriet Ellis use the following mechanisms for enabling effective discussion of safeguarding issues between staff:

  • Team/Tutor meetings
  • SMT meetings
  • Board meetings
  • One to one meetings (formal or informal),
  • Clinical supervision



The safeguarding aspects that Harriet Ellis Monitor include:

Safe recruitment practices

  • DBS checks undertaken
  • References applied for new staff
  • Records made and kept of supervision sessions
  • Training – register and record of all staff training
  • Monitoring whether concerns are being reported and acted upon
  • Checking that policies are up to date and relevant
  • Reviewing the current reporting procedure in place
  • Presence and action of Designated Senior Manager responsible for Safeguarding is in post

Safeguarding Apprentices who are vulnerable to Extremism

Since 2010, when the Government published the Prevent Strategy, there has been an awareness of the specific need to safeguard all learners from violent extremism.  There have been several occasions both locally and nationally in which extremist groups have attempted to radicalise vulnerable children and young people to hold extreme views including views justifying political, religious, sexist or racist violence, or to steer them into a rigid and narrow ideology that is intolerant of diversity and leaves them vulnerable to future radicalisation.

We ensure apprentices and employees are resilient to extreme narratives – identify changes in behaviour of apprentices and employees. We do this by providing a curriculum which promotes, knowledge, skills and understanding including:

  • Embedding equality, diversity and inclusion including British Values
  • Promoting wider skills development such as social and emotional aspects of learning
  • Encouraging activie citizenship and facilitating apprentices to accept responsibility for their behaviour, show initiative and understand how they can contribute positively to society

Harriet Ellis values freedom of speech and the expression of beliefs / ideology as fundamental rights underpinning our society’s values.  Apprentices and staff have the right to speak freely and voice their opinions.  However, freedom comes with responsibility and free speech that is designed to manipulate the vulnerable or that leads to violence and harm of others goes against the moral principles in which freedom of speech is valued.  Free speech is not an unqualified privilege; it is subject to laws and policies governing equality, human rights, community safety and community cohesion.

The current threat from terrorism in the United Kingdom may include the exploitation of vulnerable people, to involve them in terrorism or in activity in support of terrorism.  The normalisation of extreme views may also make children and young people vulnerable to future manipulation and exploitation. Harriet Ellis is clear that this exploitation and radicalisation should be viewed as a safeguarding concern.

Harriet Ellis seeks to protect its apprentices against the messages of all violent extremism including, but not restricted to, those linked to Islamist ideology, or to Far Right / Neo Nazi / White Supremacist ideology, Irish Nationalist and Loyalist paramilitary groups, and extremist Animal Rights movements.

Definitions of radicalisation and extremism, and indicators of vulnerability to radicalisation are in Appendix A.

Procedure concerns are raised

Harriet Ellis, like all other organisations, is required to identify a Prevent Single Point of Contact (SPOC) who will be the lead within the organisation for safeguarding in relation to protecting individuals from radicalisation and involvement in terrorism: this will normally be the Designated Safeguarding Lead.  The SPOC for Harriet Ellis is Siobhan Thomas.

When any member of staff has concerns that a person may be at risk of radicalisation or involvement in terrorism, they should speak with the Designated Safeguarding Lead. A safeguarding log is held securely on the server, password protected and only the safeguarding lead has access to.

Numerous factors can contribute to and influence the range of behaviours that are defined as violent extremism, but most young people do not become involved in extremist action.  For this reason, the appropriate interventions in any particular case may not have any specific connection to the threat of radicalisation, for example they may address mental health, relationship or drug/alcohol issues.

Safeguarding Apprentices who are vulnerable to Exploitation, Forced Marriage, Female Genital Mutilation or Trafficking

Our safeguarding policy through the organisation’s values, ethos and expectations policies provides the basic platform to ensure children, adults and young adults are given the support to respect themselves and others, stand up for themselves and protect each other.

Our organisation keeps itself up to date on the latest advice and guidance provided to assist in addressing specific vulnerabilities and forms of exploitation. Appendix A outlines the most common

Our staff are supported to recognise warning signs and symptoms in relation to vulnerabilities relating to radicalisation and extremism.

Our Designated Safeguarding Lead knows where to seek and get advice as necessary. She has made productive contacts with the local safeguarding partners, other support agencies, for example, for drug misuse, unplanned pregnancy and homelessness and is familiar with the work of the Child Exploitation and Online Protection service.

Date Due Date Reviewed Any Changes Completed by Approved by Managing Director
November 2021 November 2021 Version 3 published including updates to KCSIE D.Martin HS
November 2022

Appendix A


  1. Radicalisation refers to the process by which a person comes to support terrorism and forms of extremism leading to terrorism.
  1. Extremism is defined by the Government in the Prevent Strategy as:

Vocal or active opposition to fundamental British values, including democracy, the rule of law, individual liberty and mutual respect and tolerance of different faiths and beliefs.  We also include in our definition of extremism calls for the death of members of our armed forces, whether in this country or overseas.

  1. Extremism is defined by the Crown Prosecution Service as:

The demonstration of unacceptable behaviour by using any means or medium to express views which:

  • Encourage, justify or glorify terrorist violence in furtherance of particular beliefs;
  • Seek to provoke others to terrorist acts;
  • Encourage other serious criminal activity or seek to provoke others to serious criminal acts; or
  • Foster hatred which might lead to inter-community violence in the UK.
  1. There is no such thing as a “typical extremist”: those who become involved in extremist actions come from a range of backgrounds and experiences, and most individuals, even those who hold radical views, do not become involved in violent extremist activity.
  1. Apprentices may become susceptible to radicalisation through a range of social, personal and environmental factors – it is known that violent extremists exploit vulnerabilities in individuals to drive a wedge between them and their families and communities. It is vital that school staff are able to recognise those vulnerabilities.
  1. Indicators of vulnerability include:
  • Identity Crisis – the student / pupil is distanced from their cultural / religious heritage and experiences discomfort about their place in society;
  • Personal Crisis – the student / pupil may be experiencing family tensions; a sense of isolation; and low self-esteem; they may have dissociated from their existing friendship group and become involved with a new and different group of friends; they may be searching for answers to questions about identity, faith and belonging;
  • Personal Circumstances – migration; local community tensions; and events affecting the student / pupil’s country or region of origin may contribute to a sense of grievance that is triggered by personal experience of racism or discrimination or aspects of Government policy;
  • Unmet Aspirations – the student / pupil may have perceptions of injustice; a feeling of failure; rejection of civic life;
  • Experiences of Criminality – which may include involvement with criminal groups, imprisonment, and poor resettlement / reintegration;
  • Special Educational Need – students / pupils may experience difficulties with social interaction, empathy with others, understanding the consequences of their actions and awareness of the motivations of others.
  1. However, this list is not exhaustive, nor does it mean that all young people experiencing the above are at risk of radicalisation for the purposes of violent extremism.
  1. More critical risk factors could include:
  • Being in contact with extremist recruiters;
  • Accessing violent extremist websites, especially those with a social networking element;
  • Possessing or accessing violent extremist literature;
  • Using extremist narratives and a global ideology to explain personal disadvantage;
  • Justifying the use of violence to solve societal issues;
  • Joining or seeking to join extremist organisations; and
  • Significant changes to appearance and / or behaviour;
  • Experiencing a high level of social isolation resulting in issues of identity crisis and / or personal crisis.

Appendix B

Signs of Abuse – physical, psychological and behavioural

Signs of physical abuse might commonly include:

  • Bruises which are in places on the body where accidental bruising is unusual – particularly if symmetrical or in the shape of an object
  • Bites, burns and fractures without an explanation
  • Injuries inconsistent with the explanation given or where the account is inconsistent
  • Injuries which have not received medical attention, particularly repeated or frequent
  • Injury symptoms e.g. difficulty walking, lifting everyday objects, putting on clothing
  • Reluctance to seek medical help, avoidance of questioning or examination by a qualified person.

Non-physical signs

Abuse has psychological and behavioural impacts which might include:

  • Marked change in behaviour or emotional state not explained by a stressful event, such as a bereavement
  • Unexplained depression, denial, aggression or withdrawal, reports of nightmares
  • Reluctance to expose the body in any way – e.g. remove outer clothes in summer
  • Poor personal hygiene, unwashed or damaged clothing, lack of care of own appearance
  • Eating disorders, avoidance of food
  • Body rocking, self-harm

Abuse also has impacts upon relationships, communication and interactions with others which might commonly include:

  • Abnormal behaviour towards others – fear, withdrawal, lack of eye contact, extreme or subdued emotional reactions
  • Under-developed social relationships and lack of interaction with peer group
  • Low self-esteem, need to apologise for self, over-reaction to making mistakes
  • Repeated absence – avoiding events or appointments where personal welfare may be discussed.

Health and Safety Policy and Procedure

  1. General Statement
    • Harriet Ellis fully recognises the duties placed upon it under the Health and Safety at Work Act 1974 and all other relevant legislation. The company is committed to ensuring it at least complies with the minimum requirement and wherever reasonably practicable shall exceed them. It also recognises the obligation it has to others with regard to publicly funded training.
  • The company is committed to working with these partners to ensure a safe and healthy working environment. The company recognises the duties it has to not only its staff, but also to trainees, contractors, apprentices, visitors and any others who may be affected by its activities and shall adopt the principle of zero tolerance with regard to accident prevention. This principle is underpinned by the acceptance of the company that no accident at work is acceptable.
  • Harriet Ellis also recognises the position it holds within the Recruitment and Training Industry and as such is committed to the production of high-quality Health and Safety training materials.
  1. Policy Objectives


  • The company will:
  • Provide and maintain a safe, healthy working environment with safe access and outlets;
  • Ensure the safety of staff who are mobile workers or those who work from work.
  • Ensure that Apprentice employers understand and are committed to their responsibilities for the Health and Safety of their apprentices.
  • Provide all necessary safety devices, protective equipment and supervise their use.
  • Promote our policy to all staff and Apprentices regularly. All policies are stored on the internal system for staff and on the e portfolio system for apprentices.
  • Provide staff training regularly, to update and refresh on health and safety matters to enable the safe performance of work activities. This is also included in the induction process for all new staff.
  • Ensure staff are complying with the policy and procedures.
  • Maintain constant and continuing improvement in all aspects of safety, in particular by introducing and monitoring safety procedures.
  • Consult employees on matters relating to workplace health, safety and welfare, development and review of policy and procedures through safety management established within the company.
  • Communicate relevant Health and Safety information through Notice boards in the workplace and the internal e-mail.
  • Ensure all processes and systems of work are designed to take account of health and safety and are properly supervised at all times.
  • Ensure competent staff are appointed to assist us in meeting our statutory duties including, where appropriate, specialists from outside of the company
  • Ensure adequate facilities and arrangements will be maintained to enable employees to raise issues of health and safety
  • Ensure Apprentices are trained on Health & Safety during their induction / onboarding process.
  • Ensure all arrangements are brought to employees’ attention and are monitored and reviewed to ensure that they are effective.

2.2 Staff, contractors & freelance workers also have a duty to co-operate fully in the operation of this Policy by:

  • Co-operating with management to enable all statutory duties to be complied with
  • Working safely and efficiently, complying with any instruction, information & training in accordance with all procedures and statutory obligations.
  • Taking reasonable care of their own health and safety and the health and safety of others who may be affected by their acts or omissions
  • Familiarising themselves with the health and safety arrangements that apply to them and their work functions.
  • Immediately reporting incidents (including accidents, near misses, which have results in, or may lead to injury) to their line Manager.
  • Immediately reporting any incidents within the Dental Practice directly to the GDC if required.
  • Assisting with the investigation of accidents and aiding the introduction of measures to prevent a recurrence.
  1. Policy Implementation

3.1 The company has appointed David Martin as a responsible for Health & Safety who will ensure continual strategic direction with regard to health, safety and welfare in Harriet Ellis.

3.2 Harriet Ellis shall appoint local advisors competent in Health and Safety who will provide general advice on policy implementation.

3.3 The Health and Safety Officer shall maintain all safety records and ensure policies & processes are in place for its continual improvement.

3.4 Department Managers are responsible for implementation and operation of the safety management system in their departments and will be accountable to the Director responsible for Health and Safety.  Managers will be supported in this function by the Health and Safety Officer.

3.5 The Operational staff handbook which contains health and Safety information will give further guidance on arrangements for putting into effect this policy.

3.6 This policy shall be reviewed whenever circumstances require it such as changes to legislation or activities and at least annually.

3.7 This policy shall be issued to all new members of staff and be made available to all other interested parties.

This policy will be included in the induction of new staff.

  1. Fire and Evacuation Procedures

4.1 Harriet Ellis understands how dangerous a fire can be and will therefore take all reasonable action to ensure that fire is prevented and that in the event of such an event, staff, service users and visitors can be safely evacuated following the Evacuation Policy.

4.2 Harriet Ellis has trained Fire Marshalls throughout the company.

  1. Accidents and First Aid

5.1 Harriet Ellis understands the need of all accidents, incidents and ill health to be reported and adequate records kept to review and resolve any patterns that may be identified.

In the event of an accident or ill health whilst the apprentice is at their normal place of work whether undergoing apprenticeship training at the time or not, we would seek to be notified of such event and where required the details surrounding the accident or ill health. we would fully support the employer and the apprentice where required and or necessary. We would continue regular communication throughout the period of ill health or until the apprentice is recovered from any accident providing any information, advice and guidance along with support for both the apprentice and employer. In the event of a break in learning to cover any period of ill health or as a result of an accident; as and when the leaner and employer are ready for the return, we will assist in preparing both parties for this.

Any incidents that have been reported are logged on the Accident and Incident log on the Company T Drive and the Operations Manager must be informed of these.  A hard copy log is also available.  The Operations Manager will then decide whether any actions are to be taken to prevent further repeat incidents.

5.2 Harriet Ellis has trained First Aider’s throughout the company.

  1. Welfare and Wellbeing employees and learners

6.1 All staff within the organisation have a strong management team that will support them through their employment. Part of the management team is an experienced HR officer that is in contact with all employees on a regular basis by both phone and email communication.  The senior management team are also constantly communicating with staff both based in the office and those working remotely regarding their welfare and happiness within the role.

Weekly updates are emailed out by the Managing Director keeping all staff up to date with any changes or plans within the organisation.

6.2 With the programmes being delivered remotely a large focus is on the learners and the contact that is had with them. The customer support teams are in regular contact with learners/employers regarding the programme. All assessors are also required to be contacting their learners on a fortnightly basis by phone for a welfare check. The welfare calls are designed to keep in regular contact with learners to ascertain their progress on the programme. Should a learner be unresponsive to the welfare calls then the employer will be contacted.

6.3 IT measures are put in place for both employees and learners. All staff members are reminded of the IT protocols and regular checks are carried out on their work devices.

Learners have specific teaching sessions for online safety and IT usage due to the remote learning style of the programme.


  1. Process for Identifying Health & Safety Matters

7.1 All Staff will be made aware through their induction and ongoing training of the following Health and Safety Process:

  • Record full details of Health & Safety incident, including dates, times and location of incident.
  • Email full report to David Martin with email headed – Health and Safety Matter.
  • David Martin will then log the incident on Health and Safety log.
  • All Health and Safety issues will be discussed during the Management Meeting for actions to be agreed.
  • David Martin will give advice on action to take.
  • Governing Bodies, such as the GDC will be notified if necessary.
Date Due Date Reviewed Any changes Completed by Approved by Managing Director
November 2021 November 2021 No David HS

Complaints Policy – Apprenticeships

We treat as a complaint any expression of dissatisfaction with our service which calls for a response. We listen to your complaints, treat them seriously, and learn from them so that we can continuously improve our service.

A complaint is an expression of dissatisfaction, whether justified or not.

Our policy covers complaints about:

  • The standard of service we provide
  • The behaviour of our staff
  • Any action or lack of action by staff affecting an individual or group

Our complaints policy does not cover:

  • Matters that have already been fully investigated through the complaints procedure
  • Complaints about examination or End Point Assessment appeals

Step 1 Informal

  • In the first instance speak to a member of Customer service/DMT to raise and discuss your concerns.
  • Your Customer Service / DMT Officer will respond to you and confirm this in writing within two working days.

Step 2 Formal

  • If you are not satisfied with the response provided, you should put your complaint in writing, explaining the nature and ground of your complaint to:

David Martin

Operations Manager

Harriet Ellis Training Solutions

103 North Street



  • On receipt of your complaint we will:
  • Log this on our complaints log
  • Identify a member of staff to investigate the complaint
  • Send you, the complainant acknowledgement of receipt of complaint and a timeline of the investigation and when they can expect a response. A response can be expected within 7 working days.

Step 3 Appeal

  • If you wish to appeal the response you should put this in writing explaining the reasons you are dissatisfied with the response to:

Hadley Silver

Managing Director

Harriet Ellis Training Solutions

103 North Street



  • The managing director will:
  • Log the appeal
  • Instruct the Quality Assurance Manager to investigate the complaint
  • Complainant sent acknowledgement of receipt of complaint and a timeline of the investigation and when you can expect a response. A response can be expected within 7 working days.
  • Investigation carried out
  • The Quality Assurance Manager will report in writing to the Managing Directorand the Managing Director will subsequently respond with the outcome.

Should the complainant fully exhaust this process and still not be satisfied they can consider escalating this directly to the Education Skills Funding Agency, 08000 150 600 or following their published complaints process.

Anonymous Complaints

Complaints received anonymously will be recorded and considered, but action may be limited if further information is required to ensure a full and fair investigation.

The complaints policy can be found on the Harriet Ellis Website under the Terms and Conditions.

Complaints Policy – Private Students

If a student or employer is dissatisfied with either the on-programme delivery or any of the surrounding support services, the following procedure must be followed.

Step 1 Informal

  • In the first instance speak to your Customer Service Officer to raise and discuss your concerns.
  • Your Customer Service Officer will respond to you and confirm this in writing within two working days.

Step 2 Formal

  • If you are not satisfied with the response provided, you should put your complaint in writing, explaining the nature and ground of your complaint to:

David Martin

Operations Manager

Harriet Ellis Training Solutions

103 North Street



  • On receipt of your complaint we will:
  • Log this on our complaints log
  • Identify a member of staff to investigate the complaint
  • Send you, the complainant acknowledgement of receipt of complaint and a timeline of the investigation and when you can expect a response. A response can be expected within 7 working days.

Step 3 Appeal

  • If you wish to appeal the response you should put this in writing explaining the reasons you are dissatisfied with the response to:

Hadley Silver

Managing Director

Harriet Ellis Training Solutions

103 North Street



Anonymous Complaints

Complaints received anonymously will be recorded and considered, but action may be limited if further information is required to ensure a full and fair investigation.

This complaints policy can be found on the Harriet Ellis Website under the Terms and Conditions.

Version Control

Date Due Date Reviewed Any Changes Completed by Approved by Hadley Silver
November 2021 November 2021 no HS
November 2022

Performance management and development policy


Performance management is the system Harriet Ellis Training Solutions LTD uses to align our business goals with the job roles and objectives of its staff. This is aimed at:

  • Continuous improvement and better results for the business
  • Monitoring and improving individual and team performance
  • Understanding individuals and how they need to develop to support the business goals.
  • Providing high quality teaching and learning which reflects the most current industry practice.

Our people are our biggest asset and we take their performance, success and development needs seriously.


There are three aspects to our approach for planning an individual’s performance and appraising the success.


The appraisal system

Our appraisal system allows us to regularly monitor and record an assessment of an employee’s performance, potential and development needs. The appraisal is an opportunity to take an overall view of work content, loads and volume. A typical appraisal review will:

  • Look back
    1. what was done?
    2. what has been achieved?
    3. how was it done?
  • Look forward:
    1. can you identify any learning and development needs?
    2. what are the employee’s plans/aspirations for the future?

The line manager will meet regularly with an employee to review their performance and conduct in this way against the agreed objectives and competencies.  These formal meetings will take place every 6 months.

Review objectives and competencies

  • Review progress against the personal development plan.

Annually the employee will be rated based on achievement towards their objectives and competencies, our rating system is:

  • Below Expectations
  • Meets Expectations
  • Exceeding Expectations


A non-contractual bonus or incentives may be set at the Manging Director’s discretion for employees who exceed expectations in year, subject to available funding.

Our appraisal system aims to:

  • establish a channel for open, two-way communication between an employee and their manager
  • set measurable standards and deadlines for the job being done
  • motivate employees and encourage team-working
  • respond to ongoing operational and personal needs by actively reviewing and adjusting objectives, goals and developmental opportunities
  • be relevant, fair and objective.

How do we set objectives?

Objectives should be based on the employee’s job description and form part of the wider aims of the team and business. They provide a link between the job of the individual and the business vision, giving an employee some wider context for the work they are doing.

The ‘SMART’ acronym is a useful way of getting objectives right. Objectives should be Specific, Measurable, Achievable, Relevant, Timebound:

  • Specific – objectives should state a desired outcome. What does the employee need to achieve?
  • Measurable – how will you and the employee know when an objective has been achieved?
  • Achievable – is the objective something the employee is capable of achieving but also challenging?
  • Relevant – do objectives relate to those of the team/department/ business?
  • Timebound – when does the objective need to be achieved?

Setting competencies

If objectives describe the output achieved by an employee – the ‘ends’, competencies describe the qualities an employee needs to reach these ends – ‘the means’. For example, a Recruiter clearly needs to have good telephone skills. They might have:

  • Objectives for answering all calls within three rings
  • Competencies for ‘customer care’, setting out the standards of politeness to meet the objectives, and ‘communication’, setting out the oral and written clarity needed to avoid confusion or misunderstandings.

The appraisal review

The appraisal review itself is a two-way review between the Line manager and employee, regular meetings in between appraisals are expected to be held and there should be no unexpected concerns at the appraisal.

In preparing for the appraisal you might want to consider:

Line Manager Employee
Overall impression How do you think the employee has done against each of the objectives and competencies set? How do you think you’ve done against each of the objectives and competencies set?
Evidence  What evidence do you have to support this? What evidence do you have to support this?
Issues to discuss Have you identified any concerns or issues? Are there any issues that have hindered your abilities to achieve?
Help or development needed Is there any support or training that could help the employee to improve or further progress? Have you identified any support or training which would help you to improve or progress?

If so, what difference will this make?

Training and development

Harriet Ellis Training Solutions LTD are committed to continually developing the skills, knowledge and performance of all staff and recognise the importance of training staff so that they are able to fulfil their job role and deliver a quality service.

All new employees undergo a structured interview process and once a job offer is accepted, the training plans outlined below are implemented and performance is monitored within the performance management cycle.


The training plan for staff at Harriet Ellis Training Solutions begins with the employee undergoing a full induction.  The induction includes:

  • An introduction to key policies including – Safeguarding and Health and Safety policies and procedures
  • Details of the Safeguarding Lead, Health and Safety Lead, First Aider and Fire Marshal.
  • Our Vision Statement.
  • Organisational chart and an overview of the departments within the company, including introductions to colleagues.
  • Training on applicable company databases and systems, including but not limited to Maytas and Recruit an Apprentice.
  • A brief introduction to the relevant industry (for non-industry staff).
  • An overview to the Apprenticeship Standard (where applicable) and Harriet Ellis’ programme of delivery.

A 3-month probationary period is set for each new joiner and at the end of this period managers will as part of the performance management cycle agree their objectives for the coming year using the SMART method.

As part of the induction the staff member will also be required to complete a skills scan through the completion of a Professional Development Form.  This skills scan provides information on their current skills, knowledge and behaviours, identifying sector knowledge within the training and education industry, the dental industry and their own field of expertise, such as accounts.  An initial training plan is created and agreed to ensure they are fully equipped and qualified to fulfil their role.

Planning individual’s personal development as part of the performance cycle

Training and development is planned at the individual level as part of the performance cycle and is therefore specific to each individuals job roles and responsibilities.

Where training and development directly contributes to the goals and vision of Harriet Ellis training will be considered in the following areas:

Management Development

Management Development is essential to the success of our business our approach is to provide training at all levels of management based on individual need and their job role. Programmes such as certified ILM courses or the Level 3 Team Leader Apprenticeship may be considered where there is a clearly identified business need.

Generic Training

There are a range of generic skills and knowledge which are not specific to one occupational area. Examples of these are telephone techniques, customer service and time management, mental health awareness. Training will be provided in this as according to the needs identified during the annual review of training needs.

Professional and Technical Training

Employees providing services in a whole range of vocational areas need to keep up-to-date with changes and developments in their particular field.  For example: accountancy, sales and marketing, teaching etc.  Employees are encouraged to maintain their CPD activities and where relevant and linked to a business need Harriet Ellis will consider what support may be available.  For teachers and trainers please see section below.

ICT Training

Where ever possible we encourage the sharing of knowledge and skills in the business, therefore if an ICT training need can be supported by another member of staff this should be delivered internally.


CPD Courses

Are made available to all staff members and has over 30 different online CPD courses that can be completed. As well as Safeguarding Prevent training there are also courses on management, dietary and also mental health awareness.

Policies and Processes

Training on policies and processes is provided as part of the induction phase and following any updates or changes to legislation.  In most cases, this will be delivered company-wide and will be mandatory for all to attend.

Educationalists / Assessors / Teaching Staff

Vocational Training

All staff who teach and assess our apprentices are required by law to be a fully qualified professional within the respective industry. The register is public and prior to any appointment we verify this information.  Thereafter we check the annual register refresh to ensure all relevant staff are maintaining their registration.

Registration is renewed annually; practitioners are required to provide evidence of CPD in the format of a CPD log and evidence of indemnity. The requirement is to undertake a certain number of CPD which may include Courses and lectures, Training days, Peer Review, Clinical Audit, Reading journals, Attending conferences or E-learning activity, a minimum of 50 of these hours must be on verifiable CPD where there are concise educational aims and objectives, clear anticipated outcomes; and quality controls.

Once a member of staff has been employed for more than 6 months, Harriet Ellis will consider making a financial contribution towards the costs of the verifiable CPD where it has been identified as part of the performance cycle. To further enhance the CPD requirements we have set our own requirement that staff must undertake at least 1 day of chairside work in a practice per annum, this we feel provides them with the opportunity for hands on practical experience.  This is identified, co-ordinated, tracked and monitored through our performance cycle.

Education and Training

Standardisation Meetings are used as a platform to keep staff up to date with good and outstanding teaching, learning and assessment methodologies.

Teaching sessions are recorded, the Quality Assurance Manager carries out observations of teaching, learning and assessment which are fed into the performance cycle. The Quality Assurance Manager also complete IQA for all Assessor’s and provides continuous feedback, identifying gaps in knowledge and skills.  These gaps in knowledge and skills will be used to plan the standardisation meeting’s, held quarterly.

The Quality Assurance Manager attends relevant awarding organisation conferences and workshops in order to gain knew knowledge and bring this back to the business ensuring transfer of knowledge to delivery staff.

Staff are encouraged to engage with workshops and events delivered by AELP and Education Training Foundation to continuously improve their teaching, learning and assessment practice.  These events are set as objectives within their Professional Development Form and monitored through the Performance Cycle.

Where appropriate and subject to available funds, Harriet Ellis will consider supporting staff to achieve their formal teaching and learning qualifications.

Recording training and development

We hold a central log of training and development which includes information on:

  • Progress towards activities logged on Professional Development Form and agreed objectives. Each element is scored at achieved, partially achieved, working towards or not met.
  • Details of what the employee feels they have achieved and what they could have done.
  • All mandated qualifications including registration (completed or working towards with target date).
  • Individually agreed qualifications or courses, such as First Aid at Work (completed or working towards with target date).

Student Appeals Procedure

Grounds for appeal

A candidate may challenge the decision of an assessment decision if he / she believes that the decision is unfair or unreasonable, if this is the case then the following procedure must be followed.

Awareness of the Appeals Process

All candidates must be informed of the centre’s appeals process on commencement of their apprenticeship programme within the commitment statement.

Pre Appeal action

The student should contact the assessor/marker of the work in the first instance to try and discuss and resolve informally, this should be done where practical prior to making a formal appeal. The tutor/assessor should be open-minded to the points raised by the candidate, discuss the matter with his / her internal verifier and a solution sought which makes an appeal unnecessary. If this cannot be achieved the candidate must be advised of his / her right to appeal. Any appeal needs to be submitted in writing within 7 working days by the candidate, Harriet Ellis will then investigate and respond to the appeal within 14 days of receipt of the appeal.

It is vital that the marker/assessor acknowledges the students concerns when received and assists in order resolve the appeal informally where possible, and record its outcome, where the issues raised by the student appear capable of effective and fair resolution by informal discussion with the student.

If it appears to the IV/Programme manager in supporting of the assessor that the appeal appears on the face of it to be unjustified, misconceived or vexatious the Director may write to the student and invite withdrawal of the appeal on such basis with an indication that the appeal only proceed to an investigation if the student responds in writing and requires the appeal to proceed.

The Appeals Process

The candidate must make appeals in writing to the Programme/Apprenticeship Manager within 14 days of the candidate being notified of the decision against which the appeal is being made.

The written appeal must be copied by the Apprenticeship Manager to the tutor/assessor, counter assessor where applicable, who made the decision and to the IQA responsible for the assessor.

The Programme/Apprenticeship Manager must identify a member of his / her programme team to evaluate the evidence and give a judgment (the “Appeals Adjudicator”).

This adjudicator must hold units D32 and D33 or V1/IQA, be technically competent in the skill area being assessed and be knowledgeable of the systems and procedures of the awarding organisation.

The Programme/Apprenticeship Manager must ensure that the organizational structure of the centre is not a barrier to an objective judgment of the appeal. If necessary, the Centre should access independent resource to achieve this.

In the event of a appeal proceeding formally, the IV/Programme manager/Leader will consider the complaint in consultation with those concerned in the provision of the service e.g. the course tutor, internal assessor, programme manager or other service manager.

If the IV/Programme manager decides that there is a basis for the appeal, they will entitle to the students work to be remarked. Students should be aware that the remarking grade may either be the same as the original grade or possibly lower as well as higher.



The Appeals Adjudicator and where appropriate independent advisor will report back to the Programme/Apprenticeship Manager who will make the final judgment on the appeal.

The adjudicator’s judgment must be communicated to the candidate by the Programme/Apprenticeship Manager in writing within 21 days of the written appeal being received.

This communication to be copied to the tutor/assessor against whom the appeal was raised, his / her IQA Apprenticeship Lead must retain full details of the appeal within the Centre File for a period not less than 5 years.

If the appeal is successful, the Programme/Apprenticeship Manager must identify the specific failure in the centre’s assessment regime and implement corrective actions.

If the candidate is dissatisfied with the result of the appeal and feels that they wish to escalate/proceed with the issue further they can do so by contacting the Awarding Organisation, contact details of which will be supplied by the Programme/Apprenticeship Manager upon request.

The candidate must be aware that this is not an automatic reversal of original assessment decision/outcome.


The Programme/Apprenticeship Manager is at liberty to seek guidance from the EQA on any aspect of the appeals process.

A successful appeal is not automatically a reversal of the original assessment outcome: to establish the candidate may need to be re-assessed.

The timescales quoted in these procedures are normal maximums. In extreme cases the timescales may need to be longer.