Policies

What is Whistleblowing?
In this policy ‘Whistleblowing’ means the reporting by employees of suspected misconduct, illegal acts or failure to act within STEGTA.

The aim of this Policy is to encourage employees and others who have serious concerns about any aspect of STEGTA’s work to come forward and voice those concerns.

Employees are often the first to realise that there may be something seriously wrong within the Company. ‘Whistleblowing’ is viewed by STEGTA as a positive act that can make a valuable contribution to STEGTA’s efficiency and long-term success. It is not disloyal to colleagues or STEGTA to speak up. STEGTA is committed to achieving the highest possible standards of service and the highest possible ethical standards in all of its practices. To help achieve these standards it encourages freedom of speech.

If you are considering raising a concern you should read this Policy first. It explains:

• the type of issues that can be raised
• how the person raising a concern will be protected from victimisation and harassment
• how to raise a concern, and
• what STEGTA will do.

What is the aim of the policy and when does it apply?

Aims of the Policy
The Policy is designed to ensure that you can raise your concerns about wrongdoing or malpractice within STEGTA without fear of victimisation, subsequent discrimination, disadvantage or dismissal.

It is also intended to encourage and enable you to raise serious concerns within STEGTA rather than ignoring a problem or ‘blowing the whistle’ outside.

This Policy aims to:

• encourage you to feel confident in raising serious concerns at the earliest opportunity and to question and act upon concerns about practice
• provide avenues for you to raise those concerns and receive feedback on any action taken
• ensure that you receive a response to your concerns and that you are aware of how to pursue them if you are not satisfied
• reassure you that you will be protected from possible reprisals or victimisation if you have made any disclosure in good faith.

Scope of this Policy
This Policy is intended to enable those who become aware of wrongdoing in STEGTA affecting some other person or service, to report their concerns at the earliest opportunity so that they can be properly investigated.

The Whistle Blowing Policy is not intended to replace existing procedures:

If your concern relates to your own treatment as an employee, you should raise it under the existing grievance or harassment procedures

If a learner has a concern about services provided to him/her, it should be raised as a complaint to STEGTA

Complaints of misconduct and inappropriate behaviour by Training Officers or other support staff are dealt with under a separate procedure (for further see our Safeguarding and Prevent policy)

Who can raise a concern under this policy?
The Policy applies to all:

• employees of STEGTA
• employees of contractors working for STEGTA, for example, agency staff, builders and drivers
• voluntary workers working with STEGTA

What should be reported?
Any serious concerns that you have about service provision or the conduct of staff or others acting on behalf of STEGTA that:

• make you feel uncomfortable in terms of known standards;
• are not in keeping with STEGTA’s policies;
• fall below established standards of practice; or
• are improper behaviour.

These might relate to:

• conduct which is an offence or a breach of the law (a criminal offence has been committed or failing to comply with any other legal obligation)
• racial, sexual, disability or other discrimination
• health and safety of learners and/or other employees
• damage to the environment
• unauthorised use of assets
• possible fraud and corruption
• neglect or abuse of learners, or
• other unethical conduct.

This list is not exhaustive.

Protecting the Whistleblower

Your Legal Rights
This policy has been written to take account of the Public Interest Disclosure Act 1998 which protects workers making disclosures about certain matters of concern, when those disclosures are made in accordance with the Act’s provisions and in the public interest.

The Act makes it unlawful for STEGTA to dismiss anyone or allow them to be victimised on the basis that they have made an appropriate lawful disclosure in accordance with the Act.

Rarely, a case might arise where it is the employee that has participated in the action causing concern. In such a case it is in the employee’s interest to come into the open as soon as possible. STEGTA cannot promise not to act against such an employee, but the fact that they came forward may be taken into account.

Harassment or Victimisation
STEGTA is committed to good practice and high standards and to being supportive of you as an employee.

STEGTA recognises that the decision to report a concern can be a difficult one to make.  If you honestly and reasonably believe what you are saying is true, you should have nothing to fear because you will be doing your duty to your employer, your colleagues and those for whom you are providing a service.

STEGTA will not tolerate any harassment or victimisation of a whistleblower (including informal pressures) and will take appropriate action to protect you when you raise a concern in good faith and will treat this as a serious disciplinary offence which will be dealt with under the disciplinary rules and procedure.

Support to You
Throughout this process:

• you will be given full support from senior management
• your concerns will be taken seriously, and
• STEGTA will do all it can to help you throughout the investigation
• For those who are not STEGTA employees, STEGTA will endeavour to provide appropriate advice and support wherever possible.

Confidentiality
All concerns will be treated in confidence and every effort will be made not to reveal your identity if that is your wish.  If disciplinary or other proceedings follow the investigation, it may not be possible to take action as a result of your disclosure without your help, so you may be asked to come forward as a witness. If you agree to this, you will be offered advice and support.

Anonymous Allegations
This Policy encourages you to put your name to your allegation whenever possible. If you do not tell us who you are it will be much more difficult for us to protect your position or to give you feedback. This policy is not ideally suited to concerns raised anonymously.

Concerns expressed anonymously are much less powerful but they may be considered at the discretion of STEGTA.  In exercising this discretion, the factors to be considered would include:

• the seriousness of the issue raised
• the credibility of the concern, and
• the likelihood of confirming the allegation from other sources

Untrue Allegations
If you make an allegation in good faith and reasonably believing it to be true, but it is not confirmed by the investigation, STEGTA will recognise your concern and you have nothing to fear.  If however, you make an allegation frivolously, maliciously or for personal gain, appropriate action that could include disciplinary action, may be taken.

Raising a Concern

Who should you raise your concern with?
This will depend on the seriousness and sensitivity of the issues involved and who is suspected of the wrongdoing.  You should normally raise concerns with:

Your Line Manager

The Chief Executive

If, exceptionally, the concern is about the Chief Executive your concern should be raised with the Board who will decide how the investigation will proceed. This may include external investigation.

If you are unsure who to contact, the independent charity Protect can advise you. They offer a free and confidential helpline on 020 3117 2520.

How to Raise a Concern
You may raise your concern by telephone, in person or in writing.  The earlier you express your concern, the easier it is to take action.  You will need to provide the following information:

• the nature of your concern and why you believe it to be true
• the background and history of the concern (giving relevant dates)

Although you are not expected to prove beyond doubt the truth of your suspicion, you will need to demonstrate to the person contacted that you have a genuine concern relating to suspected wrongdoing or malpractice within STEGTA and there are reasonable grounds for your concern. 

You may wish to consider discussing your concern with a colleague first and you may find it easier to raise the matter if there are two (or more) of you who have had the same experience or concerns.

You may invite your trade union, professional association representative or a friend to be present for support during any meetings or interviews in connection with the concerns you have raised.

What Stegta Will Do?
STEGTA will respond to your concerns as quickly as possible.  Do not forget that testing your concerns is not the same as either accepting or rejecting them.

In order to be fair to all employees, including those who may be wrongly or mistakenly accused, initial enquiries will be made to decide whether an investigation is appropriate and, if so, what form it should take.

The investigation may need to be carried out under terms of strict confidentiality, i.e. by not informing the subject of the complaint until (or if) it becomes necessary to do so. In certain cases however, such as allegations of ill treatment of others, suspension from work may have to be considered immediately. Protection of others is paramount in all cases.

Where appropriate, the matters raised may:

• be investigated by management, internal audit, or through the disciplinary/grievance process
• be referred to the police
• be referred to the external auditor
• be referred and put through established safeguarding procedures
• form the subject of an independent inquiry

Within ten working days of a concern being raised, the person investigating your concern will write to you:

• acknowledging that the concern has been received
• indicating how STEGTA proposes to deal with the matter
• supplying you with information on staff support mechanisms  
• telling you whether further investigations will take place and if not, why not.

The amount of contact between you and the officers considering the issues will depend on the nature of the matters raised, the potential difficulties involved and the clarity of your information.  It is likely that you will be interviewed to ensure that your disclosure is fully understood.

Any meeting can be arranged away from your workplace, if you wish, and a union or professional association representative or a friend may accompany you in support.

STEGTA will do what it can to minimise any difficulties that you may experience as a result of raising a concern.  For instance, if you are asked to give evidence in criminal or disciplinary proceedings, STEGTA will arrange for you to receive appropriate advice and support.

You need to be assured that your disclosure has been properly addressed.  Unless there are any legal reasons why this cannot be done, you will be kept informed of the progress and outcome of any investigation.

The Responsible Officer
The Monitoring Officer has overall responsibility for the maintenance and operation of this Policy.  

How the matter can be taken further?
This Policy is intended to provide you with an avenue within STEGTA to raise concerns. STEGTA hopes you will be satisfied with any action taken.  This Policy does not prevent you from taking your own legal advice.

Review & Update Arrangements
The Policy will be reviewed annually.  The policy may also be amended from time to time to reflect and take account of changes in legislation. Any changes are to be approved by the Chief Executive.

STEGTA is committed to encouraging equality, diversity and inclusion among our workforce, and eliminating unlawful discrimination.

The aim is for our workforce to be truly representative of all sections of society and our learners, and for each employee to feel respected and able to give their best.

STEGTA – in providing services is also committed against unlawful discrimination of our learners or the public.

Our Policy’s Purpose
This policy’s purpose is to:

1. Provide equality, fairness and respect for all in our employment, whether temporary, part-time or full-time
2. Not unlawfully discriminate because of the Equality Act 2010 protected characteristics of: 

• age
• disability
• gender reassignment
• marriage and civil partnership
• pregnancy and maternity
• race (including colour, nationality, and ethnic or national origin)
• religion or belief
• sex
• sexual orientation

3. Oppose and avoid all forms of unlawful discrimination. This includes in:

• pay and benefits
• terms and conditions of employment
• dealing with grievances and discipline
• dismissal
• redundancy
• leave for parents
• requests for flexible working
• selection for employment, promotion, training or other development opportunities

Our Commitments
STEGTA is commits to:

1. Encourage equality, diversity and inclusion in the workplace as they are good practice and make business sense.
2. Create a working environment free of bullying, harassment, victimisation and unlawful discrimination, promoting dignity and respect for all, and where individual differences and the contributions of all staff are recognised and valued.

This commitment includes all employees about their rights and responsibilities under the equality, diversity and inclusion policy. Responsibilities include staff conducting themselves to help the organisation provide equal opportunities in employment, and prevent bullying, harassment, victimisation and unlawful discrimination.

All staff should understand they, as well as their employer, can be held liable for acts of bullying, harassment, victimisation and unlawful discrimination, in the course of their employment, against fellow employees, customers, suppliers and the public.

3. Take seriously complaints of bullying, harassment, victimisation and unlawful discrimination by fellow employees, learners, employers, visitors, the public and any others in the course of the organisation’s work activities.

Such acts will be dealt with as misconduct under the organisation’s grievance or disciplinary procedures, and appropriate action will be taken. Particularly serious complaints could amount to gross misconduct and lead to dismissal without notice.

Further, sexual harassment may amount to both an employment rights matter and a criminal matter, such as in sexual assault allegations. In addition, harassment under the Protection from Harassment Act 1997 – which is not limited to circumstances where harassment relates to a protected characteristic – is a criminal offence.

4. Make opportunities for training, development and progress available to all staff, who will be helped and encouraged to develop their full potential, so their talents and resources can be fully utilised to maximise the efficiency of the organisation.
5. Make decisions concerning staff based on merit (apart from in any necessary and limited exemptions and exceptions allowed under the Equality Act).
6. Review employment practices and procedures when necessary to ensure fairness, and also update them and the policy to take account of changes in the law.
7. Monitor the make-up of the workforce regarding information such as age, sex, ethnic background, sexual orientation, religion or belief, and disability in encouraging equality, diversity and inclusion, and in meeting the aims and commitments set out in the equality, diversity and inclusion policy.

Monitoring will also include assessing how the equality, diversity and inclusion policy, and any supporting action plan, are working in practice, reviewing them annually, and considering and taking action to address any issues.

Agreement to Follow this Policy
The equality, diversity and inclusion policy is fully supported by senior management and the board of executives.

Our Disciplinary & Grievance Procedures
Details of the organisation’s grievance and disciplinary policies and procedures can be found in the staff handbook. This includes with whom an employee should raise a grievance – usually their line manager.

Use of the organisation’s grievance or disciplinary procedures does not affect an employee’s right to make a claim to an employment tribunal within 3 months of the alleged discrimination.

Training
All staff are refreshed on Equality and Diversity training every two years or at the point of policy changes – nationally or internally.

Review & Update Arrangements
The Policy will be reviewed annually. The policy may also be amended from time to time to reflect and take account of changes in legislation. Any changes are to be approved by the Chief Executive.

Click to view the STEGTA Low Level Concern Policy.

Subcontracting Policy 2023/24 V2

Stegta is committed to making the best use of resources when securing the provision of education and training.  This policy describes the principles underpinning the selection and management of subcontracted provision to ensure that it meets the standards required.

This policy is to follow the Education and Skills Funding Agency (ESFA) guidelines for procuring high quality subcontracted provision that meets the needs of the business and our employers and learners.

Our aim is to build long term partnerships and to support and deliver continuous improvement. 

The following policy applies to all subcontracted provision and replaces any previous versions, where applicable, and is effective from 1^st August 2023.

Rationale

• To widen participation by providing access to our engagement with a new range of customers
• To provide niche delivery where the cost of developing direct delivery would be prohibitive
• To deliver wide sector offer that responds to local, regional and national priorities
• To meet employer demand in providing the appropriate knowledge qualifications as part of the apprenticeship standards delivery

Due Diligence

The first stage in establishing a subcontracting partnership is a rigorous Due Diligence process. This ensures that each subcontractor’s financial, quality, delivery and learner support arrangements are robust whilst also ensuring there are no conflicts of interest.

As part of the due diligence process Stegta will require any potential subcontractors to complete the Subcontractor Due Diligence Questionnaire, which is verified by the Contracts & Compliance Manager before seeking authorisation from the Chief Executive for a contract award if minimum requirements have been met.

Following this, alongside the issuing of the annual agreements, the completion of an Annual Due Diligence Checklist will be required to ensure the information that is held is correct and up to date.

ESFA Subcontracting Requirements

Before any subcontract agreement is awarded, Stegta will comply with the requirements of the following published ESFA Documents:

• the Funding Rules; and
• the Subcontractor Policy; and
• the Subcontracting Funding Rules for ESFA funded post-16 funding (excluding apprenticeships); and
• the Funding Higher Risk Organisations and Subcontractors Policy (hereafter referred to as the “Funding Higher Risk Organisations Policy”).

This will include, but not be restricted to, ensuring that:

• For all apprentice starts, we shall not use a subcontractor for the duration of the agreement, unless they meet one of the following criteria:
  • they are on the published Apprenticeship Provider and Assessment Register (APAR) and have applied by the main or supporting application routes; or
  • they are either the apprentice’s employer, a connected company or charity as defined by HMRC and are on the published Apprenticeship Provider and Assessment Register (APAR), having applied through the employer-provider application route; or
  • They have applied to the Apprenticeship Provider and Assessment Register (APAR) exception process and have been approved to be exempt from the requirement to be on this register and can produce written approval from the Department confirming that the exception applies to them, including its duration.
• In accordance with our ESFA contract(s) we will obtain the ESFA subcontracting standard detailed in the link below if the aggregate total of all subcontractors delivering ESFA funded provision on our behalf exceeds or is anticipated to exceed £100,000 in any single funding year. Whilst otherwise excluded from these rules, for the purposes of calculation of aggregate total of subcontractor delivery we must include delivery of apprenticeships https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachm ent_data/file/1007581/subcontracting_standard_guidance.pdf

• we have the knowledge, skills and experience of contracting with, and managing, delivery subcontractors;
• we have not assessed that subcontractor as unsuitable;
• we will directly deliver some of the Apprenticeship training and/or on-programme assessment associated with each Employer’s Apprenticeship programme in accordance with the ESFA Rules;
• we will manage, monitor and regularly assess for quality its delivery subcontractors through visits and face to face interviews to ensure high-quality delivery in accordance with the ESFA Rules;
• we will not permit any subcontractor to subcontract the performance of its obligations; and
• the contract with the subcontractor will specify the matters required to be specified in that subcontract by the ESFA Rules.

Subcontracting Fees Policy

• There are no management fees set as we only subcontract “services”. The costs of the subcontracted delivery are determined by the subcontractor on a commercial basis for the delivery of the required qualification.
• An administrative monitoring fee is set at 10% of the commercial rate and is retained by Stegta from the Total Apprenticeship Agreed Price.

The administrative monitoring fee is very reasonable and proportionate to the actual cost of the subcontracted delivery.  The minimal level of this fee has been determined to be able to cover the crucial resources required to effectively monitor the subcontractor relationship and to ensure that high quality delivery is maintained for all Stegta learners.

Payment Terms

Stegta will make payment to subcontractors 30 days following receipt of an invoice on a termly basis.

Payment is subject to the correct evidence and data being provided to Stegta by the agreed monthly deadlines.  Adjustments may be made to specific payments where evidence of eligibility, participation or achievement cannot be validated by Stegta.  

Where claims cannot be substantiated, Stegta will adjust and reclaim any funds from the subcontractor and where required make an appropriate repayment to the ESFA.

Quality Assurance & Improvement

Stegta is committed to supporting all subcontracting partners to develop and deliver high quality provision through robust quality assurance and improvement processes.

Through monitoring activities such as, learner/employer surveys, teaching and learning observations, quality monitoring visits and progress and performance meetings, we are able to ensure public funds are protected and used effectively to deliver high quality provision for learners and employers.

The frequency of contract review meetings are determined based on a risk assessment approach which is measured using KPI’s.  These KPI’s include but are not limited to, monitoring Ofsted grades, learner and employer feedback, progress reporting and communication.

Managers and Senior Managers at Stegta will support and encourage the implementation of robust quality assurance and improvement in subcontractor organisations through their comprehensive quality assurance processes.

Stegta promotes a rigorous self-assessment model and will require evidence of self-assessment in subcontractors that leads to operational and strategic improvement in provision.

Contingency Planning

Although there may be some qualifications as part of the apprenticeship programme that may be delivered by a subcontractor, overall responsibility for these learners’ programmes rests with Stegta.  The subcontractor is required to notify Stegta immediately if there are any changes that may cause a risk to the subcontracted delivery. These include but are not limited to:

• The possibility of the provider ceasing to trade;
• Notice to be struck off the Apprenticeship Provider and Assessment Register (APAR);
• Inadequate Ofsted Inspection;
• Inadequate ESFA audit;
• Other significant changes that affect the ability of the subcontractor to deliver the required qualifications.

In these circumstances, Stegta would meet with the subcontractor immediately and where appropriate, a period of time will be given to the subcontractor to allow them to address any issues that have led to their inability to continue.  Stegta would reserve the right to seek alternative provision of services to ensure the continuity for its learners.

If a subcontractor was temporarily unable to continue, the learners would remain in company on the relevant day release day(s) and continue their learning with Stegta until the issue was resolved and the subcontracted delivery could recommence. 

If a subcontractor was unable to continue long term, then the relevant clauses in the Subcontractor Agreement would be triggered and Stegta would find alternative provision.  The subcontractor must fully cooperate with Stegta, to ensure that there is no negative impact on the learners under the subcontracted provision.

Policy Review & Publication

This policy will be reviewed annually between July and October of each year and published on our website by 31^st October.  Any changes will be notified to subcontractors as part of either their regular contract review meetings or through separate correspondence.

2022/23 Subcontractors List

 

Subcontractor	UKPRN No	Value of Agreement (as of 17th Oct 2023)
City of Liverpool College	10003955	£26,107.20
Farnborough College of Technology	10002412	£7,275.00
Leeds College of Building	10003855	£12,400.00
Luminate Education Group (Keighley College)	10024962	£26,000.00
NCG (Newcastle College)	10004599	£5,421.00
Salford City College	10005032	£84,974.50
Solihull College and University Centre	10005946	£25,200.00
The Trafford College Group	10005998	£60,991.68
United Colleges Group	10001476	£39,978.00
Wigan and Leigh College	10007500	£30,211.58
York College	10007709	£15,751.02