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

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

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 learners 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:

  • 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;
  • 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
  • provide support to prevent discrimination against transsexual people who have or who are about to undergo gender reassignment.

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.


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 3 National Diploma Apprenticeship programme. 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.

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 can 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 learners 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 learners (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 learners with potential vulnerabilities to all forms of abuse (including that of indoctrination),


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

How we promote this policy

All staff receive details of our Safeguarding 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 Meena Mehami, Safeguarding Lead Officer and Hadley Silver ging Director.

This policy takes account of all relevant statutory guidance

  • Keeping Children Safe in Education” and “Working Together to Safeguard Children” (both revised in 2018)
  • the Equality Act (2010)
  • Ofsted’s requirements as detailed in “Inspecting safeguarding in early years, education and skills settings” (October 2018) with particular regard to Annex 4.

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.

Prevent & Protect

Harriet Ellis is committed to helping & identifying the needs & vulnerabilities of individuals.  As an organisation we are committed to promoting the welfare of individuals & keeping people safe.  All staff must be vigilant at all times & are trained to be able to recognise & respond to neglect & signs of abuse.  All staff know that they must act quickly if they suspect an individual is suffering or likely to suffer from harm.

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, Menna Mehami /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 learner 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 learner 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, Meena Mehami 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

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 Meena Mehami 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


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 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 ine 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.

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.


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 Meena Mehami.

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

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 above through the organisation’s values, ethos and behaviour 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.

Policy approved by Hadley Silver Managing Director

Date 03.09.21


Appendix A


  1. Radicalisation refers to the process by which a person comes to support terrorism and forms of extremism leading to terrorism.
  2. 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.
  2. 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.
  3. 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.
  2. 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.
  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 its activities including the funding bodies in UK responsible for provision of youth training as well as other partners in relation to delivery of 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 trainees and Apprentices under its Training Agency are placed in a safe and healthy working environment;
  • Provide all necessary safety devices, protective equipment and supervise their use.
  • Maintain a 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.
  • competent people are appointed to assist us in meeting our statutory duties including, where appropriate, specialists from outside of the company
  • Consult with all employees on matters relating to health, safety and welfare
  • Ensure adequate facilities and arrangements will be maintained to enable employees to raise issues of health and safety
  • Provide each employee with instruction and training as is necessary to enable the safe performance of work activities
  • 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 and incidents to be reported and adequate records kept to review and resolve any patterns that may be identified.

All accidents and incidents are to be reported and logged on the Accident & 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. Process for Reporting Health & Safety Matters

6.1 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.


Complaints Policy – Apprenticeships

If an apprentice or employer of an apprentice is dissatisfied with either the on-programme delivery of the apprenticeship 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:

Meena Mehami

Apprenticeship Programme 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 (within 7 working days).
  • Complainant issued with a response (within 30 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 they can expect a response (within 7 working days).
  • Investigation carried out
  • The Quality Assurance Manager will report in writing to the Managing Director
  • Complainant issued with a response (within 30 working days)

Should the complainant fully exhaust this process and still not be satisfied they can consider escalating this directly to the Education Skills Funding Agency, 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.

Date due: Date reviewed Any changes Completed by
Jan 2019 15.1.19 Yes- review dates added R Cooke
July 2019 10.7.19 Steps amended & updated K Purser
July 2021
July 2022
July 2023


This document explains the process for carrying out initial assessment of English and maths skill levels along with the delivery model where appropriate, for supporting apprentices to achieve entry level requirement in English and/or maths.

In carrying out the initial assessment we ensure the correct level of funding is applied to each individual apprentice and that apprenticeship funding is not used to pay for, or accredit, existing skills.


Initial Assessments

All prospective apprentices are required to complete an application form and submit a CV.  Evidence of the achievement of English and Maths GCSEs or functional skills is also requested.  We validate this information against the Personal Learning Record.  Any exemptions identified are stored with the apprentice’s learner record.


For all non-exempt applicants, we use Dynamic Learning by Hodder Education as our initial diagnostic tool for apprentice assessments to establish their individual learning requirements prior to their enrolment.  Following the assessment, the Functional Skills Tutor reviews the results and provides these to the Recruitment consultant to complete compliance checks.

New cohorts of apprentices detailing allocations are sent to the Functional Skills Tutor at the end of each month by the DMT team.



Our model of delivery is blended including remote teaching sessions and self-study.



The Functional Skills Tutor allocates a license for the Dynamic Learning platform for each apprentice with functional skills maths and/or English needs.  The Functional Skills Tutor will contact the apprentice introducing themselves and explains the process of delivery.  This information is confirmed in a welcome email containing log in details for the Dynamic Learning system to the apprentice.

The Functional Skills Tutor will review the initial assessment to develop a scheme of work specific to each apprentice’s need.

The assessment results will be recorded on Maytas and the scheme of work’s developed and recorded on Onefile.  Details of the functional skills delivery will be included in the commitment statement.

Remote Sessions: All sessions are group sessions and broken down into 12 modules/blocks that cover the 12 week programme cycle of all topics.  Each week covers a completely new topic, this means that when a student starts the programme they may not necessarily start at module 1, it may for instance start on module 4 or 5 but during their 12 week cycle they will cover all modules required.

Self-Study & Guided Learning:

Apprentice’s are actively encouraged to use the Dynamic Learning platform which is available 24/7 to access various learning tools to complete self-study.  The Functional Skills Tutor will set tasks on Onefile for the Apprentice to complete using the Dynamic Tool.

Mocks & Exams

Apprentice’s will be set two mock papers that they must sit in exam conditions.  The Functional Skills Tutor will mark the mocks & confirm whether an Apprentice is ready to sit examination.  A minimum of 68% must be achieved in all.

The Functional Skills Tutor will make arrangements to ensure the examination can be sat in a quiet location with no disturbances and an invigilator is present. This will also include ensuring the software is accessible to the apprentice and there are no concerns with access.

Re-sit process

Should an apprentice fail to pass their examination, the following will apply:

The Functional Skills Tutor will deliver a further 1-hour remote session

The mandatory turnaround time from an apprentice failing the exam to them re-sitting their examination will be 2 weeks maximum.



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.

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 will also

  • Review objectives and competencies for currency
  • 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 Managing 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 suprises 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 Dental industry (for non-industry staff).
  • An overview to the Dental Nurse 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.

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.

Dental Educationalists / Assessors / Teaching Staff

Vocational Training

All staff who teach and assess our apprentices are required by law to be GDC registered. 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 at least 150hours 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 DEs 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 GDC 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).

This policy details Harriet Ellis’ process for performing initial assessments of an apprentice’s prior learning.

It is a requirement that an individual’s prior learning is assessed prior to starting an apprenticeship, Harriet Ellis conduct this as part of the initial assessments.  The purpose of the initial assessment of apprentice prior learning is to:

  • determine if the apprenticeship standard is the most suitable programme
  • identify any changes required to the delivery of the standard to account for prior learning
  • ensure the apprentice will not be spending paid time doing training they do not need
  • calculate any price reductions as a result of prior learning

Pre-initial Assessment

  • If an employer is putting forward an existing member or their staff to join our apprenticeship programme, we must make them aware of any prior learning that may count towards the apprenticeship. This could include, their relevant work experience, any previous apprenticeship commenced, prior educations, training or associated qualifications to the Dental Nursing Industry or relevant related sector subject. Similarly, for any apprentice candidate, the same prior learning must be established and discussed to assess their eligibility for Harriet Ellis’ apprenticeship programme.
  • Any potential apprentice’s first point of contact will be via telephone from the resourcer on the recruitment and engagement team, based in house at Harriet Ellis. The candidate will be asked by Harriet Ellis to consider any relevant information in relation to prior learning that may count towards their apprenticeship. The resourcer will ask if they have completed or commenced any prior apprenticeship programmes, in any sector; as well as any relevant work experience (this is especially crucial to be aware of if they are an existing employee in a Dental Practice).
  • Harriet Ellis require prior academic achievements, employment history and proof of eligibility to work within the UK from the learner. Harriet Ellis use its Learning Management Solution tool, Maytas, in order to validate information against the Personal Learning Records (PLR) for individuals. Using the ULN (Unique Learner Number), which can be sourced using Maytas; it allows Harriet Ellis to access information on prior academic achievement records that the individual learner has gained. This allows Harriet Ellis to consider relevant knowledge, skills and behaviours obtained through prior learning and will also indicate if an apprentice candidate has any cross over/conflicting prior learning which is taken into account in the initial assessment.
  • During this pre-initial assessment, we also check the learner’s prior attainment of English and Maths. Further details are available in the Functional Skills Policy and Process.

Initial Assessment

  • The method of assessing an individual’s prior learning is broken down into three sections to measure what can be used against the knowledge, skills and behaviours set out in the apprenticeship:
  1. Prior Education

The Harriet Ellis resourcer will ask for documented evidence of their prior academic achievements in Maths and English Language. Copies of the certificates/grades are sent via email in a scanned document or clear image, which is the stored on our internal CRM system, and LRM system Maytas. Harriet Ellis can also obtain a learners prior learning via the PLR system on Maytas as above. If the learner does not meet the academic requirements, their details will be passed over to our Functional Skills Tutor Angela Gardener who will carry out an initial assessment test via online tool Dynamic.

  1. Prior Training or Associated Qualifications

By using the Personal Learner Record service tool on Maytas, Harriet Ellis are able to access any recognised qualifications that have been undertaken by a learner that are associated with an examining or awarding body. Harriet Ellis staff on the engagement team also enquire via email or telephone communications if any additional training or qualifications have taken place that may be relevant to the programme and classed as prior learning. Evidence of these will be added onto our CRM system and will be passed onto Rachel Thompson, the Quality Assurance Manager to determine whether or not any amendments will be made to the learner’s apprenticeship programme based upon their knowledge, skills and behaviours acquired on these additional training courses, or associated qualifications.

  1. Prior work experience

As part of the initial assessment of all learners, Harriet Ellis require an up to date curriculum vitae, to evaluate their previous employment, and any transferrable skills obtained that may qualify as prior learning. This is especially apparent if the individual is currently employed within a dental practice, or within the dental industry and health sector.

  • In support of our eligibility checks, we also require a Government issued form of identification e.g. passport or birth certificate. A signed application is also completed by the learner, adhering to our GDPR policy which allows the engagement team to learn about any personal data, caring responsibilities, criminal convictions and learning difficulties, disabilities and health issues. Any learner must have the right to legally work within the UK, and further documentation may be required in order to ensure the learner is eligible for an apprenticeship. This information is gathered an uploaded to Maytas and our internal CRM system.
  • Harriet Ellis use a variety of tools in the initial assessment period to determine the full occupational profile and learning of all the skills, knowledge and behaviours required are addressed these include:
  • The Personal Learning Record, checked via the Learning Management Solution platform Maytas to determine any prior education, training or associated qualification(s) in a related sector subject area.
  • For applicants with functional skills needs, Dynamic Learning by Hodder Education – online tool used to assess the level of Maths and English any learner is at and whether they are capable of completing our Functional Skills Level 2 in Maths or English. They are tested on questions both challenging Level 1 and Level 2 learning.
  • A telephone-based skills scan is a tool used in conjunction with Maytas by the recruitment consultants on the Harriet Ellis engagement team to assess the skills, knowledge and behaviours the learners already possess, prior to enrolling onto our apprenticeship programme. They will be tried on their role of a dental nurse, their reasoning for wanting to become a dental nurse and why they have chosen the apprenticeship route. The candidate will be asked their aspirations in the dental industry, and how they see themselves progressing after this apprenticeship programme is completed. The candidate will also be asked of their current skills and behavioural strengths from prior learning and experiences, and whether or not they have any learning difficulties, disabilities or health issues, which may require additional support from Harriet Ellis’ welfare officer, and potential alterations to their apprenticeship programme. The skills scan will also allow the consultant to discuss the apprenticeship programme in depth and explain the process, and what they will need to do past the initial assessment period and how the programme will be delivered. This information will also be discussed with any employers prior to a learner starting on programme.

 Decisions at Initial Assessment

  • Following the initial assessment all results identifying prior learning are presented to Rachel Thompson the Quality Assurance Manager. Using this information decisions are taken as to whether:
    • the prior learning sufficiently meets the standard and requirements. Harriet Ellis baselines the current level of competency against both the occupational job role as provided by the employer, and the knowledge, skills and behaviours of the apprenticeship standard.  All relevant prior learning is taken into account in order to establish if the remaining content required is sufficient to meet the minimum duration of 12 months and at least 20% off-the-job training.
    • the apprentice is eligible and continues to meet the eligibility criteria of requiring significant and sustained new training (minimum duration of 12 months, with 20% off the job training).
    • a funding reduction would be appropriate
  • Should a funding reduction be appropriate, we calculate this based on the proportion of learning and delivery not required. This is discussed with the employer and confirmed in the apprenticeship agreement. Harriet Ellis will not use apprenticeship funding to pay for or certify the delivery of existing knowledge, skills and behaviours.
  • All decisions are recorded on the Initial Assessment log.

Post-Initial Assessment

  • If an individual is deemed in-eligible for the apprenticeship programme, Harriet Ellis works with the employer to establish if there may be alternative training offer Harriet Ellis can support them with. This may include a self-funded qualification where they can still qualify in the industry.  Should this not be appropriate we would support the learner with information, advice and guidance and refer them to the National Careers Service or a local college.
  • An initial assessment outcomes document is completed in two stages, prior to enrolment, a Harriet Ellis Recruitment consultant will complete sections 1-4 with the learner and this will detail English and Maths levels and whether or not functional skills will be delivered to the learner. Parts 5 onwards will be completed by the Dental Educationalist once the learner has been enrolled onto programme.
  • An individual learning plan (ILP) will be developed, taking account of any prior learning and English and Maths requirements, with clear milestones against which progress will be monitored throughout the apprentices’ programme. In the commitment statement the ILP, English and Maths and any ILP will be documented.

Challenges and Disputes

If there are any questions, concerns about the decisions taken throughout our initial assessment process these can be raised using the complaints policy.

This policy demonstrates Harriet Ellis’ employer engagement practices and procedures within the Apprenticeship Programme. This incorporates recruitment, engagement, marketing, delivery and reflection to provide improvements for client satisfaction.

Promotion of Apprenticeship Programme with Employers

  • Direct Telephone Communication – consultants call employers based upon geographical location to educate about and generate interest in the apprenticeship programme and to collect vacancies for learners to be skills matched and subsequently placed in practice.
  • Email Communication – targeted branded mailshots illustrating Harriet Ellis’s apprenticeship programme to generate interest, educate and to collect vacancies in addition to promoting certain prospective learners who may be of interest to a particular practice/region.
  • Social Media – delivering targeted branded campaigns via a selection of social media platforms to engage practices and highlight opportunities for employment avenues for dental practices across England.
  • Google Reviews/Trustpilot/Facebook Reviews – maintain a high proportion of positive reviews across all courses offered at Harriet Ellis – this enables clients to look over learner experiences, evidence success and assists with brand awareness of Harriet Ellis as a training provider of choice.
  • SEO (Search Engine Optimisation) – Ensuring that Harriet Ellis appears in the top results for thousands of search results around apprenticeships, training providers/colleges, dental nursing courses etc.
  • Harriet Ellis Website – Generation of employer leads via the corporate website. Employer can learn about Harriet Ellis and what we deliver and they have the opportunity to leave their details for a consultant to call them to engage with them, understand their needs, inform about Harriet Ellis and the elements of the Apprenticeship Programme.
  • Find Apprenticeship Training (FAT) – direct potential clients to the site to recognise Harriet Ellis as a reputable training provider. They can search against the Dental Nurse function or Harriet Ellis as the provider. The information present will fully inform a client about the Standard, course duration and content, method of delivery and funding. The information held on FAT is reviewed 6 monthly ensuring employers are always accessing the most accurate information.

  • Apprenticeship branding guidelines – we ensure our promotional literature has the right logos and fonts. This gives employers assurance in our training and professionalism.

Delivery of Apprenticeship Standard and Geographical Coverage

In England, Harriet Ellis offers a Level 3 Apprenticeship Programme in Dental Nursing, this includes a GDC recognised qualification accredited by City and Guilds. The entire blended learning programme is delivered via a combination of face to face (in practice), remote teaching sessions and online learning with full Dental Educationalist support. Dental Educationalists are allocated to learners based upon their geographical location to support the face to face delivery element of the programme.

All Dental Educationalists engage and support all employers throughout the duration of the apprenticeship programme. They carry out cyclical reviews and observations with the employer and Harriet Ellis provides 24-hour access to OneFile (learner’s ePortfolio) to track and manage development of their learner. OneFile also functions as a communication platform between the practice and the Dental Educationalist to encourage reflection and support throughout.

The aforementioned observations are carried out every 12 weeks and cover a list of required procedures needed to evidence competency in the role of an apprentice dental nurse.

Harriet Ellis also enlists the support of an inhouse Delivery Management Team who assist the Dental Educationalists to carry out their roles and ensure best practice amongst their learner support and to ensure clients are satisfied with programme delivery and scheduled meetings. In addition, the team are responsible for compliancy of all paperwork between the client and Harriet Ellis to support the Standard, the funding rules and the EFSA requirements.

A welfare officer is also allocated to a practice to support the learner and practice alike and be available to assist with needs and issues that arise from either party during the programme duration. Dental Educationalists also pass any concerns regarding their learners to the DMT Co-ordinator for safeguarding and to provide additional support where necessary. With regards to safeguarding, all issues raised will be actioned in accordance with Harriet Ellis’s safeguarding policy and escalated to the Safeguarding Lead for further action.

Training and Developing Apprentices – Employer Engagement

  • Open communication and transparency are vital in ensuring the success of delivery of the programme and occupational competence of the learner.
  • Visibility of the learner’s development and current stage is available within the employers OneFile login for their learner.
  • The Apprenticeship Programme is a co-partnership between the practical and theoretical elements which collaboratively enable the learner to achieve academic success and their overall qualification.

Flexibility of Programme to meet Employer and Apprentice needs

  • Harriet Ellis ensures flexibility surrounding off the job training by offering practices the ability to deliver this on a weekly, monthly or quarterly basis.
  • Weekly teaching sessions are mandatory and established around Dental Educationalists teaching availability, laid out in the Diary of Events that they receive on day one of their learner’s programme. This gives a practice seven weeks’ notice to make rota amendments in support of their learner.
  • Harriet Ellis are also able to accommodate or offer remote one to one teaching sessions for any learner who disclose learning difficulties, disabilities or health issues and are in need of additional support.

Continuous Engagement for Apprenticeship Duration

  • Practices have full support from the following:
    • Pre-enrolment
      • Apprenticeship Resourcer
      • Apprenticeship Recruitment Consultant
    • Post-enrolment
      • Dental Educationalist/s
      • Welfare Officer
      • Delivery Management Co-ordinator
      • Delivery Management Compliance Officer
      • Apprenticeship Delivery Manager
      • Safeguarding Lead (if required)

Coaching and Mentoring

  • Harriet Ellis employs a strong team of Dental Educationalists, all of whom have industry knowledge and practical experience in the Dental Nursing sector, in addition to an assessor/teaching qualification where applicable.
  • Dental Educationalist Teachers deliver 1-hour remote weekly teaching sessions via a web-based platform. This platform engages the learner and invites open communication. The teaching sessions enable the teacher to qualify a learner’s understanding of the subject being taught in a live interactive environment whilst preparing them for their exams.
  • A learner receives a one-to-one review every six weeks, alternating between face to face and over the phone. These are delivered by their Dental Educationalist Assessor which contributes towards a large element of their mentoring of the programme. These sessions are also used to highlight issues/concerns with the learners’ development/theory work and are addressed accordingly.

Recording of training undertaken by Harriet Ellis and the Employer

  • All teaching session sessions are recorded and uploaded to the relevant area of the learner’s OneFile for them to access at a later date for review or in the instance of non-attendance of that session.
  • All sessions (teaching sessions, remote reviews and one to one observations) are all evidenced within OneFile.
  • OneFile training is delivered by Harriet Ellis to the learner on day 2 of their programme via an interactive webinar. The training video is then emailed to learners to refer to again and again.
  • Practices receive via email a guided video tutorial recording of how to use the programme efficiently.
  • All training courses provided for Harriet Ellis employees are recorded using an internal management system and minutes taken for ongoing reference.

Continual Engagement

  • Practices are contacted frequently by Harriet Ellis via a combination of phone calls and email. All communication attempts are logged in the internal CRM database.
  • Harriet Ellis also encourage pro-active communication on the practice’s behalf to liaise with their Welfare Officer if they have a concern or complaint.
  • The complaints procedure is available on the company website.

Escalation of concerns and addressing issues raised

All formal complaints are handled in line with the formal complaints policy published on our website

Managing and Maintaining Relationships with Employers

  • Pre-enrolment
    • Designated recruitment consultant (dependant on geographical location of practice) holds responsibility for employer engagement and making decisions regarding a learner’s enrolment to programme.
    • Explain the employer role, requirements and likely impact of training. This could be 20% off the job commitment or apprenticeship minimum wage.
    • Clearly set employer expectations, health and safety requirements and the rights and responsibilities of apprentices or staff in training. This lays the foundation for the partnership and leads to a more successful training experience.
    • Initially assess the individual learner and develop an Individual Learning Plan. This will bring together the needs of the employer (job specification, company challenges to overcome) and the learner’s needs.
  • Post-enrolment
    • The Welfare Officer, together with the Dental Educationalist Assessor manage and maintain the relationship with the practice once a learner is enrolled. Both parties hold the responsibility to make decisions regarding the learner and practice.

Procedure regarding questions and general communications

  • Pre-enrolment
    • Designated recruitment consultant (dependant on geographical location of practice) holds responsibility for answering questions and responding to queries and general communications whilst ensuring that information is conveyed correctly and all parties are fully aware of the programme and relevant contacts throughout the duration of the programme.
    • Inbound questions are received via email and telephone.
  • Post-enrolment
    • The Welfare Officer is the first point of contact for all questions and general communications for both the learner and the practice.
    • Inbound questions are received via email and telephone.

Monitoring and improving employer engagement

  • Cyclical Reviews – Dental Educationalists carry out reviews with practices at 6 weeks and then every 12 weeks thereafter. These are informal in their nature and enable the practice to share their views on their learners and the programme alike.
  • Generic Feedback – Inbound queries and questions offer daily feedback from practices regarding issues or concerns that may arise. They are dealt with accordingly. If a pattern of such queries or questions emerge, this will be raised in a Harriet Ellis Management Meeting for further discussion.
  • Bi-annual Satisfaction Surveys – Telephone based survey conducted by Harriet Ellis staff, carried out with numerous practices to gain feedback and level of satisfaction of Harriet Ellis’s service delivery.
  • Annual EFSA Survey – Harriet Ellis encourage practices to complete the annual EFSA survey.
  • Complaints Data – all data collected is stored internally. Complaints are dealt with as they arise for resolution purposes. Complaints data is discussed in monthly Harriet Ellis Management Meetings to identify common themes. Harriet Ellis reserve the right to readdress the service offering to prevent such issues arising in the future.

All data is collected, stored and monitored internally by Harriet Ellis. We regularly review such data to assess whether amendments are needed to enhance our service offering with a view to improve practice engagement and ultimately increase client satisfaction.

Our Vision:

At Harriet Ellis our vision is to increase apprenticeship opportunities by offering high quality apprenticeship programme within Dental Nursing, providing access to a broad range of training and development resources to suit all abilities.  The apprenticeship programme will raise the aspirations of the widest possible range of people and will enable the dental practices to benefit from a skilled, motivated and competent dental nurse.

Our Aims:

  • To continue to develop the apprenticeship programme, ensuring high quality at every stage of the apprenticeship programme.
  • To increase the overall number of apprenticeships starts each month.
  • To increase the range of vocational areas in which apprenticeships are offered.
  • To offer apprenticeships at a wider range of levels, with a focus on growth at level 3 at present with the view to provide apprenticeships within level 4 practice management.
  • To promote apprenticeship opportunities to young people, across all communities across the country ensuring they have access to high quality information, advice and guidance
  • To ensure the take up of apprenticeships reflects the diverse nature of our country’s population
  • To enhance progression routes for apprentices

Quality Metrics or Key Performance Indicators

Key Performance Indicators Purpose How KPI’s are reviewed and actions taken
Rates of apprentice progress To ensure that all apprentices progress in a timely manner and are on target to meet their planned end date Reviewed monthly by the Dental Educationalist manager and quality assurance manager and appropriate action taken if apprentices are falling behind. The dental educationalist will first be contacted and the areas of concern discussed, a learner quality assurance interview is then undertaken and a decision is then made by the DE and QA manager and a plan is created on how to progress this learner in a timely manner, this is then discussed with the Dental Educationalist and support is given by the DE and QA manager to set the agreed plan.
Achievement To monitor the achievement of each apprentice, to ensure that the achievements are being met when these are scheduled to be achieved again ensuring that the learner completes within their planned funding period Reviewed monthly by the quality assurance team, and apprentices that are not achieving each step in a timely manner are reviewed by the QA manger and then discussed with the DE. The learner is then contacted by the QA manager to discuss lack of achievement to date, ensure that the apprentice and DE relationship is strong and that there are not issues from outside affecting the progress of achievement.
Complaints To monitor the level of complaints and to reduce the level of complaints to zero. Reviewed as and when they arise by the management team, DE is contacted, the complaint is then discussed and appropriate action is taken. Where appropriate new systems will then be put in place to prevent a similar complaint arising.
End point assessment To monitor the full achievement of the apprenticeship. Reviewed by the management team on a monthly basis to ensure all apprentices that are at EPA stage are ready to enter end point assessment. The pass and fail rates of the EPA are monitored on a monthly basis.
Six weekly reviews To show a clear journey of the apprentice Checked at all IQA stages 3 monthly sampling of the apprenticeship to ensure a clear journey of the apprentice’s qualification can be seen, if this hasn’t been completed by the DE, the DE will be placed on performance review and these will then be checked weekly to ensure that these are being completed.
Timely uploading of evidence (includes reviews, work, observations and other evidence) To ensure that all evidence is uploaded within 24 hours to ensure authenticity. Checked at all IQA stages 3 monthly sampling of the apprenticeship to ensure that all work and evidence is uploaded within 24 hours of being completed or marked to ensure that authenticity can be seen and that progression of the learner is made at every appointment.
Marking of work and feedback Ensure that all work is marked within 5 working days and provide constructive feedback to the apprentice. Monitored by the DE manager weekly and by the QA manager at sampling stages throughout the programme. In the event that the DE is not adhering to this policy this is discussed with the DE manager and QA manager and the DE will then be managed on a daily basis to prevent the learner progression being disadvantaged.
Exam pass rate To monitor the success rate of exams being passed first time along with the number of retakes per exam, per learner, per DE. Reviewed after each exam block has been carried out by the QA manager. In the event that apprentices are not passing their exam on the first attempt and are taking several retakes the exam breakdown is reviewed, additional support will be put in place for additional revision with a tutor. The DE/Tutor who has been responsible for the teaching and learning will be observed to ensure that the quality of the teaching is correct.
Employers to sign 12 weekly review on one file To ensure employer engagement within the apprentice’s journey Employer to log onto one file within 2 weeks of employer review being completed, monitored by the DE manager on a 12 weekly basis and 3 monthlies in the sampling carried out by the QA. Lack of meeting this required KPI will result in weekly monitoring and performance review with the DE and management team.
Personal development plans Personal development plan to enable the DE to develop their skills and knowledge and maintain occupational currency Submitted yearly to the QA manager with a clear professional development plan which is supported by Harriet Ellis.
Diversity To ensure that all involved within the apprenticeship Understand and appreciate and form a mutual respect for others from other beliefs and life experiences and respect their needs and adapt where appropriate. Monitored through formal reviews with the learner and employer and any issues are raised, DE’s are given support, guidance and training where appropriate in these areas within house and through relevant CPD.

Overseen by apprenticeship recruitment team, a multi-national background of learners are recruited, detailed information with regards to how the course is delivered, the level of ability that is needed and the progression paths available after achieving their apprenticeship.

If a learner is unsuccessful following their initial assessment within maths and English the learner is given support and advice on how to improve these areas in order for them to retake their initial assessments. Internal support is provided by the DE and a functional skills tutor to recognise the needs of the individual and is in place from the day they begin their apprenticeship.

Employer recommendations Surveys are completed annually to our current clients and also new business are asked where they heard about Harriett Ellis, if this is a recommendation this is recorded Monitored annually with surveys to the employer and this is discussed and reviewed within internal management meetings.
20% of the job training To ensure that the learner is being supported by the employer and given time to learn and progress in their job role and to ensure that the employer is following the apprenticeship contract/commitment statement. Monitored on the formal reviews which are completed with the learner, employer and manager on a 6-weekly basis. Any concerns are then raised and then resolved within this review appointment, any issues that are unable to be raised are forwarded to the quality assurance team.
Initial engagement conversion of enquiries to starts To monitor the conversion rate of initial engagements to starts to ensure that we have a high conversion rate. Targets are set to the apprenticeship recruitment team on a weekly basis and monitored by the team manager and overall performance is evaluated if conversion targets are not met.
Welfare support To monitor the welfare of learners, employers and employees ensuring that areas of concerns are identified and professional information is given. Monitored by the DE within the formal reviews and then monitored with the IQA’s at sampling stages. Any concerns are then raised with the safeguarding lead.
Initial assessments in maths and English To monitor the calibre of learners that will enter onto their learning journey with us and to identify areas of support needed. Monitored by the apprenticeship team prior to sign up, to ensure that any areas of support are identified, this also ensures that if the learner achieves low initial assessments that they are not placed on a course that they may be unable to complete due to their educational background instead other course options and support will be discussed.

Feedback from apprentices and employers

Harriet Ellis review feedback from apprentices and employers in a variety of ways these include 12 weekly reviews. All feedback including positive and negative is reviewed and evaluated, from this new processes and procedures are put into place to ensure continual development within the business. In the event that the feedback leads to a complaint, the complaints procedure is followed. Surveys are also completed yearly for ESFA purposes and the learners and managers are asked to complete these independently to capture employers’ and learners’ experiences of their training with Harriet Ellis. This enables a good platform to develop from.

Continuous improvement of training

Harriet Ellis strive to be one of the best apprenticeship providers, to ensure that we are able to do this continuous ongoing training internally is provided at regular standardisation meetings and via remote meetings, this ensures that all dental educationalists are given the chance to develop and grow within the business. Harriet Ellis provide external courses which are needed to fulfil the job role. The Internal Quality Assurance process highlights areas in which the individual DE may need training in.


Under performance is highlighted within the Internal Quality process, along with reports to highlight non-compliance with KPI’s and by telephone interviews with the learners.

Feedback is given to the individual Dental Educationalist from the IQA and then a development and training plan is put into place and reviewed one to one with the Dental educationalist on a fortnightly basis.

In the event that there was no improvement of performance the disciplinary procedure would be followed and appropriate action would be taken.

Business Continuity Plan for Harriet Ellis Training Solutions


This plan is intended to ensure:

  • The approach to and actions to support continuity of apprentices is understood by all staff and key stakeholders.
  • Internal and external dependencies are identified


The objectives of business continuity planning are to ensure that Harriet Ellis:

  • Understands its critical activities and maintains the capability to resume operations within appropriate timeframes
  • Increases resilience by protecting critical assets and data (electronic and otherwise) through a co-ordinated approach to management and recovery.
  • Minimises impacts using a focused, well-managed response activity.
  • In the event of a disruption to any of the business services whether it be through disaster, emergency or incident this plan sets out our approach to ensure the business returns to ‘normal’ operations as soon as possible.

Key Staff

The following members of staff will be responsible for implementing this plan in the event of disruption:

Hadley Silver supported by Karen Purser

Welfare of Staff and Apprentices/learners

The welfare of staff apprentices / learners will be a key priority of the business should disruption occur to the business. In implementing this plan, we aim to manage any additional pressures or welfare concerns for staff, apprentices/learners. The model of delivery for all Apprentices and learners is remote and therefore apprentices and learners do not attend the business premises.

We will:

  • ensure staff members have clear instructions regarding the priorities of the business and their role when a major disruption occur
  • ensure managers monitor staff to ensure their welfare is maintained and seek to identify any staff members who may have suffered undue stress or even trauma as a result of the

disruption. Where this is identified management will consider providing appropriate support and assistance

  • ensure candidates/apprentices have clear instructions regarding any changes to the delivery of their programme
  • ensure teachers / assessors monitor candidates/apprentices to ensure their welfare is maintained and seek to identify any individuals who may have suffered undue stress or even trauma as a result of the disruption. Where this is identified consideration will be given to the provision of appropriate support and assistance



We operate the following internal calling tree:

All contact numbers for Internal Staff are held on HR online app / website.

Contact numbers for Dental Educationalists / Assessors are saved on company mobiles.


If appropriate a statement will be issued by Hadley Silver to all Dental Educationalist to use in making contact with Apprentices. Contact details of all apprentices are held on xxx and accessible remotely.

Apprentice Employers

Should the disruption impact the medium to long-term operations of the business Harriet Ellis will make contact with all clients (Apprentice Employers) and notify them of the change. This will be undertaken by xxxx using contact details which are stored on xxx and accessible remotely.


Should the disruption to the business affect business critical equipment i.e. telephones, computers, training materials or facilities we will:

  • Identify opportunities for staff to use their own personal IT and telecoms equipment as a temporary measure
  • Identify an emergency budget to deploy priority equipment such as laptops and computers should equipment be unavailable
  • Prioritise equipment distribution to minimize disruption to clients
  • Access data back-ups from cloud-based servers

The IT server is backed up each evening, therefore in the event of this being destroyed, all work will still be retrievable via the offsite back up.

Apprentice Continuity

Disaster at Apprentice’s place of work

Should a Practice be unable to operate for an Apprentice to continue learning, we will initially ask whether the practice has a sister practice for the apprentice to continue working at. If a sister practice is not available, the Apprentice will be placed on a break in learning until the practice is able to return to their usual work. If the Apprentice’s practice is unavailable for a very short period of time, they are able to continue their studies for off the job training online on OneFile during their usual working hours.

If the practice is unable to support the apprentice permanently, we will assess the reasons why the unable to continue to support the Apprentice. If the Apprentice has proved to be a good student, they will be withdrawn from the ILR & the Recruitment Team will assist them with finding a placement in an alternative practice to continue their learning. If the Apprentice has lost their employment due to gross misconduct and / or has not shown dedication to studies, they will be withdrawn from the Apprenticeship permanently.


Scenario 1 – Premises incident (Head Office)

A premises incident can include flood, fire, or any other disaster that renders our office and training facility inaccessible.

Step 1: Evacuation of premises & safeguarding of staff, candidates/apprentices

During office hours

Action Details Responsible Person(s)
1. Evacuate the building Follow fire drill procedure David Martin / All trained fire marshals
2. Check evacuation is complete Check everyone (staff and visitors) on-site have been evacuated David Martin / Trained fire marshals on duty
3. Verify if incident is real If false alarm, resume business as normal David Martin / Trained fire marshals on duty
4. Call emergency services 999 David Martin / Trained fire marshals on duty
5. Record details of any injuries sustained in the incident Record in accident log David Martin
6. Alert staff/visitors/learners/apprentices Alert any staff due to arrive on-site soon of the incident, and tell them to await further instructions Staff expecting visitors
7. Assess impact Directors to assess the scale of the incident & decide next steps Hadley Silver
8.Alert funders Contact details:

ESFA helpdesk on 03702670001

Hadley Silver

Outside office hours

Action Details Responsible Person(s)
1. First person on-site to notify manager Do not enter the building First person on site
2. Call emergency services 999 First person on site
3. Alert Business Continuity Lead Alert business continuity lead Hadley Silver
4.Alert all staff Alert all due to arrive on-site soon of the incident, and tell them to await further instructions Call Tree
5. Alert visitors incl. learners/apprentices Alert all due to arrive on-site soon of the incident, and tell them to await further instructions Staff expecting visitors
4. Assess impact Directors to assess the scale of the incident & decide next steps Hadley Silver
5.Alert funders Contact details:

ESFA helpdesk on 03702670001

Hadley Silver

Step 2: Business continuity

Critical activity Details Responsible Person(s)