Management Exam Planning

Exam Planning
The exam cycle
The exams management and administration process that needs to be undertaken by your
exams officer for each exam series is commonly referred to as the exam cycle, and
relevant tasks required within this grouped into the stages:
 Planning
 Entries
 Pre-exams (Exam Preparation)
 Exam Time
 Results and Post-Results
This section covers stage 1 of the exam cycle: Planning
The key tasks undertaken by your exams officer as part of the planning stage of the
exam cycle are highlighted below.
This information will help senior leaders/line managers:
 in supporting any discussions with the exams officer in relation to this aspect
of exams management/administration
 be aware of any areas/tasks which may require their involvement/assistance
 in ensuring that contingency measures are in place by detailing what will need
to be covered in the absence of the exams officer/other key staff
Building an annual exams plan

It is good practice for your exams officer to produce an annual exams plan for your
centre. The purpose of this plan is to aid planning for the year and to minimise the
risk of deadlines being missed and essential tasks not being undertaken or
overlooked.
The benefits of building an annual exams plan are associated with reducing risk
within a centre.
Example risks, and possible consequences include:
 missed deadlines incurring late or other penalty fees

 candidates not being entered/registered for their
qualifications/examinations/assessments potentially affecting future
progression
 awarding bodies not despatching secure assessment materials (Refer to
JCQ General Regulations for Approved Centres, sections 1, 3)
 candidates not being informed of their centre assessed marks in sufficient
time for them to consider whether to request a review of the centre’s
marking before marks are submitted to the awarding body for moderation
(Refer to JCQ Notice to Centres - Informing candidates of their centre
assessed marks)
 results being delayed or unavailable (subsequently affecting the performance
measures of the centre)
An annual exams plan also provides a visual way of demonstrating the spread of
exam activity across the academic year, more easily identifying the busiest periods
or potential peaks (and troughs) in workload for an exams officer - this is particularly
useful if your exams officer also undertakes other roles in your centre.
Senior leaders/line managers need to be aware of the key aspects of the exams
officer role and the spread of exam activity within their centre. This means that your
exams officer must be kept informed of centre-wide decisions or events that may
affect their role/exam activity.
Support resources
JCQ:
 General Regulations for Approved Centres (sections 1, 3)

 Notice to Centres - Informing candidates of their centre assessed marks
The Exams Office: ANNUAL EXAMS PLAN TEMPLATE
Key tasks and key dates

Your exams officer must refer to the current JCQ publications and awarding body
exams administration information to identify key administrative processes associated
with the qualifications delivered in your centre.
They must:
 Regularlycheck awarding body websites and email alerts/e-newsletters for

information, updates and reminders
 Understand the key tasks required and the key dates and deadlines that need
to be met
 Ensure your centre responds to the National Centre Number Register (NCNR)
annual update by the end of October
 Add key dates and deadlines relating to key tasks to your centre's plan
Note that the key dates for non-JCQ member awarding bodies (or qualifications
offered by members that do not come under JCQ common arrangements) may vary
Exams officers are required to gather information about examination/assessment
periods and add this to your centre's plan, for example:
 Dates of the first and last examinations on the common timetable (the
November (GCSE) series and summer (May/June GCE and GCSE) series)
including any designated ‘contingency days’ (or sessions) within the
summer common examination timetable (in the event of national or
significant local disruption to examinations)
 Dates of other examinations that may take place outside of the common
timetable
 Dates/periods of examinations/assessments that may take place in other
series’, over ‘test weeks’, during ‘windows of assessment’, on demand, etc.
When gathering and collecting information from teaching teams, an exams officer
should set (and publish) clear internal deadlines for the return of information. They
should:
 Setappropriate internal deadlines to enable external deadlines to be

effectively met
 Add internal deadlines to the centre's plan
Confirm whether your exams officers will be required to manage the conducting of
internal examinations and tests (such as mock exams (PPEs), end of year exams,
etc.) or other tests (such as CATs, Yellis, ALIS, UATs, etc.).
Work with your exams officer to study the centre-wide calendar to identify if there are
any planned events that may impact upon exams in your centre, on exam rooms or
even on exam candidates.
 Thismight include events such as an awards evening, parents’ evenings,

educational visits, periods of work experience, etc.
 Add relevant events to your centre's plan
As a senior leader/line manager you should be aware of any events or meetings

which your exams officer will be attending – and ask for these to be added to the
annual exams plan.
Support resources
The Exams Office: EXAMS KEY TERMS GLOSSARY (to understand the
acronyms)
Early key dates

As a priority task in a new academic year (unless as good practice this was
undertaken before the end of the last summer term), ask your exams officer to
identify any key dates that fall early in the autumn term that may affect your centre
and confirm that the appropriate action has been taken/tasks completed.
For the (GCSE) November exam series key dates may include:
 Final date for ordering modified papers using Access Arrangements Online
(AAO)
 Final date to submit Form JCQ/CCA – centre consortium arrangements for
centre assessed work using Centre Admin Portal (CAP)
 Final date for entries
 Final date for requesting transferred candidate arrangements using CAP
 Final date to process applications for access arrangements using AAO
For the (GCSE and GCE) Summer exam series, key dates may include:
 Final date for awarding bodies to make basedata available
Support resources
JCQ: Key Dates and Timetables

The Exams Office:
 Key Dates Calendar Tool

 Exams Timetable Tool
Information gathering and information sharing

Exams officers need to identify all the qualifications to be delivered in their centre for
examination/assessment during the current academic year.
Your exams officer may need your support when liaising with teaching teams to
gather this information. It is recommended that this information is returned via a hard
copy or online form, as by formalising the process an audit trail is created of when
information was gathered and who provided the information.
The type of information gathered includes:
 Awarding body
 Qualification type
 Specification title and code (if different to the entry code)
 Entry code
 Option and unit codes (where these may be applicable to the qualification)
 Cohort/year group intending to take the qualification
 Estimated number of candidates
Many experienced exams officer choose to gather this information towards the end
of the summer term to enable forward planning for the new academic year and to
provide awarding bodies with any early information* where they may require this.
(*Early information may include estimated entries, intention to offer, intention to
teach information, etc. where an individual awarding body may require this. It could
also include final entries submission for an awarding body that has a November
series entry deadline very early in the autumn term. By providing early information,
awarding bodies may also make advance materials or early question papers (may
also be referred to as preliminary or pre-release materials) available to centres
delivering certain subjects where information is required for the subject
teacher/candidates before exam time. Early information can be an important source
of information for awarding bodies, used to inform examiner recruitment and to
calculate the dispatch of exam stationery and early exam papers.)
Your exams officer should:
 ensure all qualifications are identified - by checking timetabling or other

relevant reports or information held in your centre (or in the centre’s
management information system) to ensure all qualifications have been
identified
 ideally collate all the information gathered into a summary providing one
single/central point of reference – this could become the annual
qualifications plan
(Such a plan would also be useful to inform contingency planning in case of teaching
staff or exams officer absence and to cross reference as entry deadlines approach to
ensure that all entries will be made at the appropriate time)
Your exams officer is required to gather information from JCQ and awarding bodies
and, where relevant, share with others in your centre. The expectation from these
organisations is that centres will access information online through websites
(including secure extranet sites and CAP) and through email updates/e-newsletters.
 Forgeneral exams-related information (that is not subject-specific), your

exams officer is seen as the channel (gatekeeper) through which
information is signposted to other relevant centre staff
 Ensure your exams officer has sufficient time to perform their role and
familiarise him/herself with relevant awarding body and JCQ documentation
 Ensure that your exams officer allocates time to do their research to ensure
that they are aware of the information that is available online relating to the
management, administration and conducting of examinations, and look at
ways in which they might use technology to signpost relevant information to
appropriate staff in your centre
 Ensure your exams officer is accessing the most up-to-date information where
information is academic year specific
Support resources
JCQ: General Regulations for Approved Centres (sections 5.3)
The Exams Office:
 INFORMATION GATHERING FORM TEMPLATE

 ANNUAL QUALIFICATIONS PLAN TEMPLATE
 JCQ PUBLICATIONS CHECKLIST TEMPLATE
Briefing candidates and staff
JCQ regulations require candidates to be provided with information about their
examinations and assessments. Senior leaders/line managers should play an active
role in disseminating exams information to candidates and staff.
Candidate briefings may need to take place at various times (for example, during the
planning stage and again during the pre-exams stage of the exam cycle) dependent
on the qualifications candidates are taking. Briefings should reinforce what
candidates must and must not do when sitting written examinations and/or on-screen
tests, and when producing coursework and/or non-examination assessments.
It may be appropriate to deliver a full briefing session or special assembly early in
the academic year, then follow this up before exams take place to reiterate
information that specifically relates to exam time, the issue of results and the
arrangements for post-results services.
The information that must be brought to the attention of/shared with candidates (and
where relevant, parents/carers) includes:
 the centre’s written complaints policy and internal appeals procedure

 notification of exam entries
 notification of the dates and times of exams/assessments
 details of when provisional statements of results will be distributed
 the arrangements for post-results services and the availability of senior
members of centre staff immediately after the publication of results
 thecentre’s written procedures for how it will deal with candidate requests for
post-results services
The JCQ also requires your candidates to be made aware of current Information for
candidates documents.
Consideration should be given to when your candidates will be made aware
of/briefed on this information, as example:
 Coursework and/or Non-examination assessments – before candidates

start to work on any coursework and/or non-examination assessments
 Privacy Notice (Information for candidates – Information About You and How
We Use It) – before any candidate's personal data is shared (for example,
at the start of a course leading to a vocational qualification, or, where
candidates are following GCE and GCSE qualifications, when the entries
are submitted to awarding bodies for processing)
 Social media - before candidates start to work on coursework and/or non-
examination assessments, and take any exams/on-screen tests
 Written examinations and (where relevant) On-screen tests – before
candidates take any examinations/on-screen tests
Also consider how candidates will be made aware of the content of the current
JCQ Unauthorised items and Warning to candidates posters.
Alongside the delivery of briefing session(s), consideration should be given to
producing a briefing document(s) to provide candidates with all the information they
need to be aware of/must be notified of/must be obtained from, and include any
centre-specific information and instructions you wish to convey to them.
Determine how it will be confirmed that candidates have been provided with required
information.
Consider how teaching staff, particularly newly qualified teachers (NQTs), are briefed
so they are aware of the exam cycle process in place in the centre for the
qualifications they deliver and the role they may play within this, for example:
 Planning: information gathering and sharing - internal (and where relevant,

external) deadlines - relevant JCQ regulations (including conflicts of
interest) - scheduling of non-examination assessments, etc.
 Entries: making entries and providing entry codes - avoiding late entries -
making changes to entries, etc.
 Pre-exams: information for candidates - submitting marks and candidate work
for moderation, etc.
 Exam Time: the people present in exam rooms – releasing question papers,
etc.
 Results and Post-Results: relevant information about results, post-results
services and certificates, etc.
Support resources
JCQ:
 General Regulations for Approved Centres (sections 5.8, 6.2)

 Information for candidates documents
 Exam Room Posters
The Exams Office:
 CANDIDATE EXAM HANDBOOK TEMPLATE

 CANDIDATE DECLARATION/CONFIRMATION FORM TEMPLATE
 TEACHER GUIDE TEMPLATE
Reporting
Your exams officer should have a defined method of recording and reporting any
issues that may affect exam planning in your centre. As a senior leader/line manager
you will need to be involved in ensuring that resolutions are in place to address any
issues. Example issues could include:
 information not being provided by teaching teams when requested

 internal deadlines not being met
Support resources
The Exams Office: EXAMS OFFICER/LINE MANAGER MEETING REPORT FORM
TEMPLATE
Ensuring the security and integrity of the examination/assessment

system
The secure room and secure storage facility
A centre is required to have a secure storage facility/facilities in a secure room that
must solely be used for the purpose of administering secure examination materials.
You should ensure that appropriate arrangements are in place so the required
conditions can be met as defined in section 3 of the JCQ publication Instructions for
conducting examinations.
Senior leaders/line managers should also be aware of the most recent JCQ
Centre Inspection Service report(s) to identify any issues that may have
been raised around secure storage and to confirm that they have been/are
being addressed.
Confidential materials
Confirm with your exams officer that all regulations and instructions relating to the
confidentiality and security of materials that will be sent to your centre in advance of
exams/assessments (including the arrangements for handling secure electronic
materials) are understood, including by any other authorised staff involved in this
process.
Support resources
JCQ:
 General Regulations for Approved Centres (including sections 3.6, 5.3n-o)

 Instructions for conducting examinations (ICE) (sections 1-5)
 Exams Materials Receipt Log - Point of Delivery
 Exams Materials Receipt Log - Exams Officer
The Exams Office:
A GUIDE TO MANAGING CONFIDENTIALITY & SECURITY IN THE EXAM

CYCLE
 SECURE STORAGE AND CONFIDENTIAL MATERIALS CHECKLIST
 SECURE ROOM/SECURE STORAGE FACILITY KEYHOLDER AND
ACCESS LOG TEMPLATE
 CONFIDENTIAL MATERIALS: INITIAL POINT OF DELIVERY LOG
TEMPLATE
 CONFIDENTIALMATERIALS: RECEIPT, SECURE MOVEMENT, CHECKS
AND SECURE STORAGE LOG TEMPLATE
 HANDLING SECURE ELECTRONIC MATERIALS LOG TEMPLATE
Centre assessed work

Teaching teams should be aware of the requirements for keeping candidates' work
secure.
Support resources
JCQ:
 Instructions for conducting non-examination assessments

 Instructions for conducting coursework
The Exams Office: NEA SECURITY CHECKLIST TEMPLATE
Conflicts of interest
Senior leaders/line managers responsible for examinations and assessments must
be aware of what is deemed as a ‘conflict of interest’ by the JCQ, and the
requirements in relation to what has to be declared and recorded.
The process for the collection and submitting of information from any potentially
affected centre staff must be confirmed.
Ensure that:
 awarding bodies are informed, where required

 clear records are maintained including detail of the protocols put in place to
reduce any potential risk to the security and integrity of exams/assessments
 records are available to a JCQ Centre Inspector/awarding body where these
may be requested
Support resources
JCQ: General Regulations for Approved Centres (section 5.3k)
The Exams Office:
 DECLARATION OF INTEREST FORM TEMPLATE

 CONFLICTS OF INTEREST LOG TEMPLATE
Third party arrangements
Understand the JCQ requirements, where a centre uses a third party to deliver any
part of a qualification (including the assessments). The centre must maintain
oversight of, and responsibility for, the delivery of the qualification in accordance with
the JCQ regulations and awarding body requirements. A written agreement with the
third party must be in place (unless exclusions from third party arrangements apply).
This will ensure there is a shared understanding of the arrangement and will manage
the risk of failure by the third party to deliver the expected service. The centre must
ensure that a copy of the written agreement is available for inspection if requested by
the awarding body.
Support resources
JCQ: General Regulations for Approved Centres (section 3.1)
The Exams Office: THIRD PARTY AGREEMENT TEMPLATE
Access arrangements and reasonable adjustments

Senior leaders must confirm the role and responsibilities of their SENCo (or an
equivalent member of staff such as ALNCo/ALS lead) and exams officer in relation to
the management and administration of access arrangements.
Although the exams officer may support the administration of access arrangements,
it is the responsibility of the SENCo (or an equivalent member of staff such as
ALNCo/ALS lead) to determine appropriate arrangements for candidates with
learning difficulties and disabilities.
If your exams officer is involved in the processing of applications for approval of
access arrangements, then this should be undertaken with the SENCo (or
equivalent) present. It is also common practice for exams officers to manage the
logistics for access arrangements on exam days (e.g., organising rooming, training
invigilators, etc.) and manage, and process approval applications where required for,
emergency access arrangements.
Support resources
The Exams Office: A GUIDE TO MANAGING ACCESS ARRANGEMENTS
Invigilation
Confirmation should be sought from your exams officer that all JCQ regulations are
met in relation to the training and deployment of invigilators.
To ensure that examinations are conducted according to JCQ and awarding body
regulations and instructions, fully trained invigilators must be provided for
examinations (including computer based and on-screen assessments).
A review of the existing number of invigilators should be carried out to determine if
numbers are/will be adequate to cover external examination/assessment periods
throughout the year (and internal exam/test periods if it is your centre policy to
conduct these under external exam conditions using invigilators).
Where and when appropriate, the recruitment of additional invigilators should be
considered.
JCQ regulations require a training session on the current regulations (as set out in
the Instructions for conducting examinations) to be held for any new invigilators
and those facilitating an access arrangement for a candidate under examination
conditions. The existing invigilation team must be made aware of any changes.
Centres must ensure that the testing of invigilators’ competence and their
understanding of these regulations is rigorous. This must also extend to those
facilitating an access arrangement.
A record of the content of the training given to invigilators and those facilitating an
access arrangement for a candidate under examination conditions must be available
for inspection and retained on file until the deadline for reviews of marking has
passed or until any appeal, malpractice or other results enquiry has been completed,
whichever is later.
If teachers, teaching assistants, tutors, senior members of centre staff or Learning
Support Assistants are used to invigilate, they must be fully trained (and made aware
of any changes) in line with JCQ regulations.
However, it must be ensured that, wherever possible, a teacher, a teaching
assistant, a tutor or a senior member of centre staff who teaches the subject being
examined, or a Learning Support Assistant who has supported one or more
candidates is not an invigilator during the examination. In exceptional circumstances,
a teaching assistant or a Learning Support Assistant, who has supported one or
more candidates in the room, may act as an invigilator. However, they must not be
the sole invigilator. Where a candidate with a particular need is accommodated in
another room and their allocated teaching assistant or Learning Support Assistant
must act as the invigilator, another invigilator will be required.
When contracting supply staff to act as invigilators the head of centre must ensure
that such persons are competent and fully trained, understanding what is and what is
not permissible. An assurance from a recruitment agency, for example, would not on
its own be sufficient.
Support resources
JCQ:
 General regulations for Approved Centres (section 5.9)

 ICE (sections 12-13)
The Exams Office: A GUIDE TO MANAGING INVIGILATOR RECRUITMENT AND
TRAINING
JCQ inspection
Your centre should be prepared for visits by the JCQ Centre Inspection Service
(CIS).
The general inspection will normally be an unannounced visit(s) by the CIS which
takes place during the common exam series (this could include periods when other
external assessments may be taking place outside of the common timetable). This is
an inspection of your centre, not your exams officer, although the Inspector will want
to see, and ask questions of, your exams officer.
The general inspection reports on the examination arrangements for general and
vocational examinations and assessments. Areas inspected may include:
 exam accommodation arrangements

 supervision arrangements
 invigilation arrangements
 the arrangements in place for keeping confidential exam/assessment
materials secure
 the arrangements in place when removing question papers from secure
storage at the required time
 access arrangements documentation
 other required documentation (policies, procedures etc.)
Additional inspection visits

The CIS also undertakes further visits to randomly selected centres as follows:
 Access arrangements inspection - this is a detailed inspection of access

arrangements documentation normally where a pre-selected sample of
candidate files are scrutinised (The security of any confidential
exam/assessment materials that may be in the centre and any other
relevant documentation may also be inspected during this visit)
 Readiness inspection - this is an inspection to ensure a centre is fully
prepared for an upcoming exam series
 Question Paper Integrity inspection - this is an inspection to ensure that
question papers are stored and managed in accordance with the
regulations
Support resources
JCQ:
 General Regulations for Approved Centres (section 5.3x-y)

 ICE (Introduction)
 JCQ Centre Inspection Service Changes
The Exams Office: A GUIDE TO JCQ CENTRE INSPECTIONS
Exam policies
As a senior leader/line manager, you should confirm that the required exams-related
policies/procedures are in place in your centre.
There are a number of policies/procedures which are required for JCQ purposes,
whilst there are several which, although not mandatory, will help to promote good
practice and underpin examination processes in your centre.
These documents should be annually reviewed and updated (where required) to
ensure that current regulations are met and to reflect current practice in the centre.
Senior leaders should determine who is responsible for
devising/overseeing/updating/approving these policies.
Support resources
JCQ: General Regulations for Approved Centres (section 5.3z)
The Exams Office: POLICY CHECKLIST
Exam regulation changes

All staff involved in the management, administration and conducting of examinations,
must be aware of regulation changes for each academic year in relevant JCQ
publications.
Support resources
See The Exams Office JCQ PUBLICATIONS CHECKLIST TEMPLATE for a list of
JCQ documentation and which ones are relevant to senior leaders/line managers.
Any changes within these publications are normally highlighted in yellow.
Exams review
It is good practice for you, in conjunction with your exams officer, to undertake a
review at the end of each academic year. Alternatively, you may decide to review
each exam series as it comes to an end.
Consult your exams officer about the information which will need to be gathered
during the academic year to inform your centre review(s).
Support resources
The Exams Office: A GUIDE TO MANAGING EXAMS REVIEW
Exams records management

You must ensure that your exams officer is clear on the exams-related
information/records that need to be retained once an exam series/exam year is over
in line with any records management policy in place in your centre.
Support resources
The Exams Office:
 EXAMS ARCHIVING POLICY TEMPLATE

 Policy Generator Tool (Exams Archiving Policy)
Private candidates
A candidate who has not received any tuition at the centre must be entered as a
private candidate. A candidate who is re-sitting a qualification should be entered as a
private candidate if the candidate is not receiving any tuition at the time entries are
submitted.
Senior leaders should decide whether private candidates are accepted at their
centre.
If private candidates are accepted, then ensure that there is a centre policy in place
to host private (external) candidates in your centre. This should include:
 gathering any updated information from awarding bodies on the administration

of private candidates
 preparing any information which needs to be provided to a potential private
candidate who approaches your centre regarding an exam entry/entries
Support resources
The Exams Office: A GUIDE TO MANAGING PRIVATE CANDIDATES
Exam Entries
The exam cycle
This section covers stage 2 of the exam cycle: Entries
Entries refers to the period when data and information is collected, collated,
checked, processed and final entries submitted to awarding bodies to meet clearly
published deadlines.
An awarding body provides guidance on making entries (specific to its qualifications)
in exams administration information provided on its website. JCQ provides generic
information.
This section provides an overview of the terminology and processes in this critical
stage of the exam cycle to support the management and administration of entries.
Support resources
JCQ:
 General Regulations for Approved Centres (section 5.6)

 Entries section of the JCQ website
Entry dates
Your exams officer must be aware of the key dates which are published by awarding
bodies, and in particular the entry deadlines which are the final dates by which entry
information must be submitted to the awarding body by. Individual awarding bodies
normally publish their own entry deadlines within the key dates information published
on their websites.
Where entry deadlines for qualifications are common to JCQ member awarding
bodies, these are also published as common key dates by JCQ.
Support resources
JCQ: Key Dates
The Exams Office: Key Dates Calendar Tool
Entry series
Exam entries are normally collected by series (exam series) unless an awarding
body offers 'on demand' entries for any of its qualifications.
A series is a group of exams/assessments held in a specific period - normally
identified by month and year - the (May and) June exam series is often referred to
under the broader heading of ‘summer’.
Entry types and entry codes

There are different entry routes for different qualification types. Awarding body
exams administration information should clearly show the entry type.
Confirm that your exams officer is clear on different entry types including:
 Linear
 Unitised
 Registration/Qualification entry
Entry basedata
Your exams officer will be dealing with basedata – this is normally provided by
awarding bodies on their public websites. Basedata is an electronic file of data
containing exam information including:
 qualification/specification entry codes

 timetable information (date, session and duration of exams/assessments)
 entry fee information
Basedata is provided for centres using a compatible management information

system (MIS) that facilitates exams management and administration into which the
electronic data can be imported/downloaded for the purpose of generating an entry
file.
For centres without a MIS facility, basedata has no relevance.
Centre-specific basedata
Where a programme of study is approved for an individual centre (for example,
certain BTEC qualifications) basedata is specific to the centre’s approvals, therefore
centre-specific registration basedata must be requested through the awarding body’s
secure extranet site.
Entry fees
Centres are charged entry fees for final entries by awarding bodies.
Senior leaders/line managers and exams officers must be aware that final entries
made after the entry deadline for the particular exam series will normally incur late
fees or very late (higher) fees.
Fees may also be incurred for making changes to entries; some awarding bodies
may offer a window of opportunity, after an entry deadline has passed, for making
changes without a penalty charge.
Amendments made after this point will normally incur amendment fees.
Withdrawals made after this point will not normally generate a refund of fees.
Ensure that your exams officer has checked awarding body key dates information
relating to amendments and withdrawals to determine if there are windows of
opportunity to make any required changes without penalty fees.
There are no common fee arrangements between awarding bodies - each awarding
body determines and publishes the fees for the services it provides.
As part of the preparation for making final entries, your exams officer should gather
information on the deadlines, fees and charges that affect the entry process.
Support resources
The Exams Office: DEADLINES FOR ENTRIES, FEES AND CHARGES TEMPLATE
Early entry information

After gathering the relevant information from teaching staff, your exams officer
should be in a position to provide relevant awarding bodies with an early indication of
the entries that are likely to be made in a future exam series.
This early information may need to be submitted to awarding bodies as estimated
entries. Such entries are a centre’s best projection of the number of candidates that
are likely to be entered for a unit or qualification in a particular exam series.
Some awarding bodies may require estimated entries - some may only require this
information for subjects where pre-release materials are provided to centres.
Final entry information

Final entries confirm to awarding bodies the details of each individual candidate and
the entry codes for the exams/assessments each are being entered for in the
particular exam series.
Your exams officer should identify the centre's internal process for collecting and
collating final entry information.
If there are any candidates on your centre roll who may be educated elsewhere or in
alternative provision, your exams officer should liaise with the exams officer at the
alternative centre and with the subject lead to determine where the candidate will sit
exams and which centre should make the entries.
Support resources
The Exams Office:
 EXTERNAL ENTRIES COLLECTION FORM TEMPLATE

 EXAM ENTRY/RE-SIT FORM TEMPLATE
Candidate details
Final entry information should include the name (as a minimum, first name and
surname), date of birth, etc. of the candidate.
The status of the candidate must also normally be provided indicating whether they
are an internal or an external (private) candidate.
Identifiers are also required; dependent on the awarding body (and sometimes the
qualification) this includes:
 candidate number
 unique candidate identifier (UCI)
 unique learner number (ULN)
Late entries
Fees are charged for final entries as described earlier. You should confirm that your
exams officer is aware that higher fees are likely to be charged by the awarding body
where final entries are received late/very late (i.e. received after the awarding body's
entry deadline).
Support resources
JCQ:
 Unique Candidate Identifiers (UCI)

The Exams Office:
 MANAGING ENTRIES: CANDIDATE NAMES AND GENDER IDENTITY

 A GUIDE TO AVOIDING LATE ENTRIES
 CHANGES TO ENTRY INFORMATION FORM TEMPLATE
 LATE ENTRY FORM TEMPLATE
Other (ULN information): Learning Records Service
Internal exams
If it is your centre policy to conduct internal exams under external exam conditions,
discuss with your exams officer the possibility of formalising the process for
collecting internal entry information.
Support resources
The Exams Office: INTERNAL ENTRIES COLLECTION FORM TEMPLATE
Submitting entry information (making entries)

Estimated entries (where these may be required by the awarding body) are normally
submitted online via the awarding body’s extranet (secure website). A username and
password are required to login to the secure site.
Final entries (for centres using a MIS facility) are normally submitted as an entry file
(only one entry file per basedata set is permitted).
The entry file and any subsequent amendment files are submitted to the awarding
body by electronic data interchange (EDI) via the A2C Transport Application.
When generated, EDI files will automatically be named by the MIS in the agreed
JCQ format.
For centres without a MIS facility, final entries (and any subsequent amendments)
should be submitted online via the awarding body secure extranet site. The awarding
body will normally provide guidance on how to do this in exams administration
information provided on websites.
Support resources
JCQ:
 About A2C
 JCQ formats
Entry checks, confirmation and feedback

Once entries (and any subsequent amendments) have been made/submitted and
the awarding body has processed them, your exams officer will need to make entry
checks on the individual awarding body’s secure extranet site. Any identified errors
should normally be corrected/amended using the original entry method (EDI or
secure site).
Awarding bodies normally provide entry confirmation/feedback documents/reports on
secure extranet sites. Warning or similarly named reports may also be provided
where issues have been identified.
Private candidates
Ensure that your centre policy is clear on whether your centre accepts private
candidates and if so, that there is a process for making an entry/entries on their
behalf, and keeping the candidate informed of the next steps.
Support resources
The Exams Office: PRIVATE CANDIDATE: PROVISIONAL ENTRY
CONFIRMATION TEMPLATE
Other key tasks around entry deadlines

Your exams officer must also be aware that other important key dates and deadlines
fall prior to, at the same time or shortly after the entry deadline for an individual exam
series. Tasks related to these (where applicable in the centre), include:
 ordering modified papers to the deadline

 instigating the alternative site process to timescale
 requesting centre consortium arrangements for centre assessed work to the
deadline
 requesting transferred candidate arrangements to the deadline
 applying for approval for access arrangements to the deadline
Support resources
The Exams Office: A GUIDE TO MANAGING EXAM PREPARATION
Exam Preparation
The exam cycle
This section covers stage 3 of the exam cycle: Pre-exams (Exam Preparation)
Exam preparation (or referred to as pre-exams) is the period when your exams
officer prepares for an upcoming exam series. It is good practice to start preparation
well in advance of the exam period.
This section provides a brief overview of the main aspects of preparing for an exam
period, and what you should confirm is in place/has been completed.
It is important that you and your exams officer follow the main areas identified in the
JCQ regulations and instructions.
Support resources
JCQ:
 General Regulations for Approved Centres

 Instructions for conducting examinations
Candidates taking exams elsewhere or under joint teaching

arrangements
Your exams officer needs to be aware of any candidates taking their exams
elsewhere or of any qualifications that are delivered under joint teaching
(consortium) arrangements taking place in your centre or at another centre.
Where applicable, your exams officer will need to ensure that relevant approval
request/notification required by the awarding body for particular arrangements
(examples below) is completed by the deadline for the particular exam series.
Alternative site arrangements

An alternative site arrangement must only be used by a centre where it is intended
that an examination for any candidate(s) will be conducted at an address other than
the centre’s registered address.
Where applicable to any candidates in your centre, your exams officer will need to be
aware of the process and timescale for submitting an application to conduct
examinations at an alternative site using the Centre Admin Portal (CAP).
Support resources
JCQ:
 Instructions for conducting examinations (section 11)

 Alternative Site guidance notes
Centre consortium arrangements

A consortium is a group of centres from which candidates are taught and assessed
together.
f your centre is delivering a qualification as part of a consortium and the qualification
contains a unit/component of internal assessment (centre assessed work), the
awarding body must be notified (by the centre nominated as consortium co-
ordinator/lead). Centre consortium arrangements should be submitted using CAP to
the awarding body deadline for the relevant exam series.
Support resources
JCQ:
 Instructions for conducting non-examinations assessments (section 6)

 Guidance Notes - Centre Consortium Arrangements
Transferred candidate arrangements

If a candidate is unable to take externally assessed timetable written components at
your centre and is applying to take their exam(s) at another registered host centre,
your exams will need to be aware of the process for submitting the application to the
awarding body deadline for the relevant exam series.
Support resources
JCQ: Guidance Notes for Transferred Candidates
Access arrangements and modified papers

Senior leaders/line managers must define roles and responsibilities relating to
access arrangements.
Your ALS lead/SENCo and/or exams officer will need to order published modified
papers by the deadline. The deadline is normally much earlier than the entry
deadline for a particular exam series.
They will also need to process applications for access arrangements by the deadline
for the relevant exam series. (However for candidates with an established
difficulty, access arrangements should normally be processed at the start of the
course)
Candidates should be made aware of the arrangements that are in place for their
exams and assessments and any exceptions where these will not be applied.
Someone - very likely your exams officer - will also need to take responsibility for
dealing with temporary/emergency access arrangements as they may arise in the
run up to or during an exam series.
Support resources
The Exams Office:
 A GUIDE TO MANAGING ACCESS ARRANGEMENTS

 ACCESS ARRANGEMENTS: CANDIDATE NOTIFICATION FORM
TEMPLATE
 ACCESS ARRANGEMENTS: CANDIDATE TRACKING SPREADSHEET
TEMPLATE
Confidential materials
Once final entries are processed by awarding bodies (and even before this when
advance materials may be made available), confidential exam materials start to be
dispatched/made available (including secure electronic materials) to centres.
Confidential materials, including all or some of the following, will be sent to your
centre (dependent on the qualifications delivered in your centre):
 advance/pre-release materials
 exam question papers and resources, including modified exam papers
 material accessed/downloaded from awarding body secure sites/via secure
file transfer
 exam papers securely emailed (or accessed via secure file transfer) on the
day of the examination
 exam stationery
Ensure all authorised members of staff who may be involved in the receipt and
movement of deliveries are appropriately briefed on the requirements for confidential
materials. Confirm their understanding of, and compliance with, the process in place
in your centre that must be followed to ensure the requirements are met.
Your exams officer will need to be aware of JCQ regulations in relation to what
can/cannot be stored in the secure room and secure storage facility. This includes
arranging unopened sealed question paper packets in date and session order in the
secure storage facility to mitigate the risk of packets being opened on the wrong date
or session. A process for materials which may need to be taken out of (and
sometimes returned to) the secure storage facility during the time the material is
confidential will also need to be place.
Confirm with your exams officer that the required logs to record the receipt, secure
movement, checking and secure storage of confidential materials are in place.
Non-examination assessments
Dependent on the qualifications delivered in your centre, there may be assessments
for certain subjects which will take place ahead of the dated exams timetable.
You will need to confirm your exams officer's role in non-examination assessments
(NEA).
Teaching teams who may be planning for and conducting these assessments should
be following JCQ instructions together with any separate instructions provided by the
awarding body. The requirements for keeping materials secure, and the
requirements for the storage and retention of candidates work, should also be known
and followed.
Support resources
JCQ: Instructions for conducting non-examination assessments
The Exams Office:
 A GUIDE TO MANAGING EXAM TIME (Non-examination assessments)

 NEA SECURITY CHECKLIST TEMPLATE
Internal assessment and endorsements

Internal assessment means that candidates’ work will first be marked by the centre
(centre assessed) then externally moderated by the awarding body. The marks
awarded by the centre must be submitted to the awarding body to deadline.
Endorsement grades awarded by the centre (for particular qualifications only) must
be submitted to the awarding body to deadline.Endorsements may be monitored by
the awarding body rather than moderated.(These include the Practical Skills
Endorsement for the A Level Sciences designed for use in England and the Spoken
Language Endorsement for GCSE English Language specifications designed for use
in England)
Support resources
The Exams Office: A GUIDE TO ADMINISTERING INTERNAL ASSESSMENT
Timetabling
One of the first tasks for your exams officer when starting exam preparation is to
produce a centre (master) exams timetable for the entire exams period (series).
This timetable should provide the date, session and duration of every dated
exam/assessment that has been entered for the exam series.
For centres using a MIS facility, an outline (skeleton or similarly named) timetable
should be able to be drawn/reported from the system and exported as a spreadsheet
for further manipulation. This facility may only be available once entries have been
attached to candidates.
Alternatively, a timetable will have to be manually produced from exam timetable
information provided on individual awarding body websites, or drawn (where
applicable) from the Exams Timetable Tool.
When the centre exam timetable is finalised, your exams officer will need to provide
site/premises staff with a copy to ensure exam rooms are set up as and when
required, and so it is recognised that any planned fire drills or outside work that might
affect the noise in exam rooms etc. can be avoided.
Support resources
JCQ: Instructions for conducting examinations (section 6)
The Exams Office:
 EXAMS TIMETABLE TOOL

 EXTRA TIME GUIDE
 EXTRA TIME CALCULATOR TOOL
Timetable clashes
Your exams officer must check if any candidates have a timetable clash of exam
papers. If there is a timetable clash, then this must be resolved.
A timetable clash is where two or more exam papers that a candidate has been
entered for are timetabled on the same date, in the same session. Arrangements
(within the regulations) may need to be made to vary the timetable for a candidate
with a clash/clashes.
For centres with a MIS facility, a ‘clash report’ or similar named routine can normally
be run to identify candidates who may be affected. For other centres, a manual
check would normally need to be undertaken or centres may request that candidates
check their individual statements of entry/exam timetables and report where they
identify a clash.
There may be circumstances, when all other options have been exhausted, where
your exams officer may need to explore overnight supervision arrangements for a
candidate. As these arrangements should only be applied as a last resort and once
all other options to accommodate all papers on the timetabled day have been
exhausted, determine your centre policy on overnight supervision arrangements.
Where an arrangement is approved as a last resort by the centre, the JCQ Overnight
Supervision and Overnight Supervision Declaration forms must be completed before
the overnight supervision is to commence. The JCQ Overnight Supervision form is
completed online using CAP.. The JCQ Overnight Supervision Declaration form is
downloaded from CAP for signing by the candidate, the supervisor and the head of
centre.
In situations where the clash arrangements may need to be discussed with the
candidate, it would be advisable to formalise the process by recording what has
been discussed and agreed. This would minimise the risk of a candidate
misunderstanding the arrangements that have been put in place, misreading their
timetable or being subject to a malpractice offence.
Support resources
JCQ:
 Instructions for conducting examinations (sections 7-8)

 Guidance notes for overnight supervision of candidates with a timetable
variation
The Exams Office:
 RESOLVING EXAM TIMETABLE CLASHES FORM TEMPLATE

 MANAGING OVERNIGHT SUPERVISION ARRANGEMENTS FORM
TEMPLATE)
 POLICY GENERATOR TOOL (Overnight Supervision Arrangements Policy)
Rooming
Your exams officer will need to calculate the number of rooms required for each
exam session - confirm the rooms will be available and add these room details to
the centre exam timetable. The rooms allocated must be appropriate for the type of
assessment taking place.
Confirmation of where candidates’ personal belongings will be stored will be required
and how unauthorised items that are not allowed in exam rooms (as example, mobile
phones, watches, etc.) will be dealt with/stored.
Your ALS lead/SENCo and exams officer will also need to confirm any additional
rooming that will be required for access arrangement candidates.
Resources
Your exams officer will need to:
 confirm the resources that may be allowed to be brought into the exam room
by candidates
 confirm the resources that need to be provided by the centre
 determine the materials that will be provided as standard in exam rooms as
well as preparing ‘exam room boxes’ in advance
Support resources
JCQ: Instructions for conducting examinations (sections 9-10)
The Exams Office: EXAM BOX CHECKLIST TEMPLATE
Exam rooms
Accommodation for exams must meet the requirements.
Your exams officer must ensure that exam rooms will provide the appropriate
conditions for candidates, and that invigilators are trained to check their exam room
is set up according to the requirements.
Support resources
The Exams Office: EXAM ROOM CHECKLIST TEMPLATE
Seating plans
A seating plan is required in each exam room that shows the exact position of each
candidate at the time of the exam. Any changes made to seating arrangements
during the examination must be noted on the seating plan. The seating plan must be
available to an awarding body upon request. Candidates with access arrangements
must be identified on the seating plans that are held as part of your centre records.
For centres using a MIS facility, a ‘seating’ type report can normally be used to
create seating plans.
Consider any changes that might need to be made to entries that may impact on
seating plans that have been created early.
Support resources
The Exams Office: SEATING PLAN (and seating tips) TEMPLATE
Invigilation
Your exams officer must ensure:
 invigilation arrangements are in place

 that they understand who can invigilate
 they understand the candidate/invigilator ratios required in exam rooms.
Invigilators must be thoroughly trained in the conduct of exams that impact on the
role of the invigilator and understand/be briefed on the arrangements that may be in
place for candidates with access arrangements.
Your exams officer should confirm invigilator availability for the exam period and
allocate invigilators to exam rooms on the centre exam timetable. They should also
inform invigilators of the dates and times of the exams to which they have been
allocated.
Your SENCo and/or exams officer must confirm facilitators and invigilators
supporting and supervising access arrangement candidates are thoroughly trained in
their role.
If your exams officer is new to the role, the may require SLT support in recruiting and
training invigilators.
Support resources
The Exams Office:
 A GUIDE TO MANAGING INVIGILATOR RECRUITMENT AND TRAINING

 INVIGILATION SUPPORT RESOURCES
Contingency planning
Ensure that an exam contingency plan is in place which confirms what will need to
happen in case of disruption during the exam period, including roles and
responsibilities for individual staff members.
Support resources
The Exams Office: EXAM CONTINGENCY PLAN TEMPLATE / POLICY
GENERATOR TOOL (Exam Contingency Plan)
Briefing candidates and staff

Candidates must be fully briefed on all the information they are required to know in
advance of exam/assessments and know what is expected of them at exam time.
Before they sit any exams/assessments, candidates (including any private
candidates entered through the centre) must be:
 notified of their exam entries and the dates and times of their
exams/assessments
 made aware of relevant JCQ Information for candidates documents
 made aware of the content of the JCQ Unauthorised items and Warning to
Candidates exam room poster
Confirm when and how the following JCQ Information for candidates
documents will be disseminated (where applicable to the qualifications candidates
are undertaking):
 Coursework
 Non-examination assessments
 On-screen tests
 Privacy Notice
 Social media
 Written examinations
Centres must have in place written procedures for how they will deal with candidates'
requests for post-results services. Candidates must be made aware of these
arrangements prior to the issue of results and the accessibility of senior members of
centre staff immediately after the publication of results.
You will also need to confirm that teaching teams have processes in place to inform
candidates of:
 when any non-timetabled assessments will take place (your exams officer
may decide to collate this information and add it to candidate timetable
information that is issued)
 their centre assessed marks in sufficient time for candidates to be able to
consider whether to request a review of the centre’s marking prior to the
submission of marks to the awarding body for moderation (although
confirming this may be beyond the role of the exams officer)
Support resources
JCQ:
 General Regulations for Approved Centres (section 5)

 Information for candidates documents
 Exam Room Posters
The Exams Office:

 ’INSTRUCTIONS FOR CANDIDATES’ BRIEFING TEMPLATE
 'Instructions for Candidates' video
Private candidates
If your exams officer has made entries for a private candidate and your centre is
hosting their written exams, ensure that your exams officer provides the candidate
with the required information together with any centre-specific information and
instructions you need to convey to them.
Support resources
The Exams Office:
 PRIVATE CANDIDATE: FINAL EXAM INFORMATION TEMPLATE

 PRIVATE CANDIDATE: CHECKLIST TEMPLATE
Transferred candidates
Ensure that your exams officer has provided any candidate (that your centre has
transferred out to a host centre or alternative provision for written exams) with the
required information (including exam timetable, relevant JCQ notices, results and
post-results information) and any host centre-specific information they may need to
be aware of.
For any candidates that your centre has accepted as a transfer in and is acting as a
host centre for written exams, ask your exams officer to determine if there is any
centre-specific information/instructions which need to be conveyed to them.
Your exams officer must also ensure that any private/external or transferred
candidate who is not known to the centre is aware of the required photographic
documentary evidence that must be shown to prove they are the same person who
entered/registered for the exam/assessment.
Alternative site
For any candidates who may be taking exams elsewhere, ensure that your exams
officer has provided any additional information they may need about the alternative
site.
Centre staff
Ensure relevant staff have been briefed on the exam timetable and confirm the
information that has been provided to candidates, so they are able to deal with any
questions from candidates.
Support resources
The Exams Office:
 ARRANGEMENTS FOR CONDUCTING EXAMS IN THE CANDIDATE'S

HOME TEMPLATE
 TEACHER GUIDE TEMPLATE
Irregularities
Irregularities describe events/incidents that may happen in exam rooms or in the run
up to an exam that are unplanned. However, your exams officer may be able to
prepare systems in advance of exams to help deal with certain instances/situations
should they arise.
Your exams officer should research and understand how to deal with late and very
late arrivals, suspected malpractice incidents and special consideration applications.
Support resources
JCQ:
 Instructions for conducting examinations (sections 20, 21, 24)

 Guidance Notes - Very Late Arrival Form
 Suspected Malpractice: Policies and Procedures
 A guide to the special consideration process
The Exams Office:
 EXAM ROOM INCIDENT LOG TEMPLATE

 EXAMS POLICY TEMPLATE
 SPECIAL CONSIDERATION POLICY TEMPLATE
 POLICY GENERATOR TOOL (Candidate Absence Policy, Candidate Late
Arrival Policy, Malpractice Policy (Exams), Special Consideration Policy)
Emergencies
Your exams officer must ensure that all invigilators are trained in the centre’s
emergency evacuation policy and the procedure(s) to be followed in case of the
need to evacuate the exam room in an emergency. An evacuation would be required
in instances where it would be unsafe for candidates to remain in the exam room.
Support resources
The Exams Office:
 EMERGENCY EVACUATION POLICY (Exams) TEMPLATE

 POLICY GENERATOR TOOL Emergency Evacuation Policy (Exams)
JCQ Centre inspections

You, your SENCo and your exams officer must be prepared for visits by
the JCQ Centre Inspection Service. Ensure an inspector is accompanied throughout
a visit which (dependent on the inspection type) is likely to include entering exam
rooms and the secure room.
Support resources
The Exams Office: A GUIDE TO JCQ CENTRE INSPECTIONS
The exam room

Confirm that your exams officer has devised a process that is used in your centre to
verify the identity of candidates in exam rooms, including any private, external or
transferred candidates. Confirmed the procedure is documented.
Other than candidates and invigilators, inform staff of who is authorised/not
authorised to be present in exam rooms and why.
Ask your exams officer to confirm that:
 invigilators are aware of the required JCQ conditions in relation to question
papers, stationery, materials and other equipment in the exam room
 experienced invigilators have been updated on any regulation changes for the
current academic year that impact on the role of the invigilator
 invigilators understand that candidates must be under formal examination
conditions from the moment they enter the exam room until the point at
which they are permitted to leave
 invigilators are aware of the centre’s invigilator announcement and
instructions that must always be given at the beginning of a written exam
 invigilators know what they may, must and must not do in the exam room.
Support resources
JCQ:

 Instructions for conducting examinations (sections 16-19)
 Notice to Centres - The people present
The Exams Office:
 POLICY GENERATOR TOOL Candidate Identification Procedure, Food and

Drink Policy (Exams)
 EXAMS POLICY TEMPLATE
 INVIGILATOR ANNOUNCEMENT
Dispatch of exam scripts

Ensure that your exams officer is clear on how exam scripts should be dispatched
(the yellow label service for centres in England) and the qualifications included in this
service.
Support resources
DfE (STA): Dispatch of exams scripts: yellow label service
At the beginning of, during, at the end of and after the exam
Ensure your exams officer fully understands the instructions before exams begin.
These areas are further covered in section 4 of this module.
Support resources
The Exams Office: A GUIDE TO MANAGING EXAM TIME
Exam Time
The exam cycle
This section covers stage 4 of the exam cycle: Exam Time
Exam time is the period when exams take place, when exam preparation is complete
and the running and conducting of exams is the primary focus.
This section highlights some of the key areas that need to be considered at exam
time. However, JCQ Instructions for conducting examinations (ICE) and General
Regulations for Approved Centres, plus any additional awarding body instructions
that may be provided, must be fully followed when conducting exams in your centre.
Support resources
JCQ:
 General Regulations for Approved Centres

 Instructions for conducting examinations
Conducting examinations
Ensure that your exams officer and invigilators are aware of, understand and follow
all the JCQ regulations as stipulated in the Instructions for conducting
examinations relating to exam time.
Non-examination assessments
Your exams officer needs to be aware of windows of assessment for non-timetabled
exams/assessments normally open well before the dated exam timetable starts.
These are classed as non-examination assessments (as nationally all candidates are
not taking these at the same time but normally in a ‘window’ of time stipulated by the
awarding body).
Certain assessments may need to be conducted under external conditions -
instructions should be provided by the individual awarding body.
Moderator or examiner visits where applicable to certain qualifications/subjects, may
also take place for which you exams officer/teaching teams should identify from
awarding body guidance any documentation that needs to be prepared/provided in
advance. This would normally apply to subjects with a practical/performance
element.
Support resources
JCQ: Instructions for conducting non-examination assessments
Question papers and exam materials

Confirm that your exams officer is fully prepared to receive question papers and
other exam materials, and that they are aware of JCQ regulations relating to the
handling of confidential exam materials.
Between receipt of the confidential materials for each exam and the date of the
exam, your exams officer should look out for any erratum notices which may be sent
by the awarding body.
An erratum is a notice sent to centres by an awarding body where an error has been
found or a change is required to a published exam question paper prior to the date of
the exam.
Notices may be sent in hard copy or by a secure electronic method. Where
appropriate, your exams officer should ideally affix the notice to the relevant sealed
question paper packet(s) in the secure storage facility to ensure the notice will not be
overlooked at the time of the exam. The instructions on the notice should be
followed, which may involve an announcement being made to the candidates before
the start of the affected exam.
During the exam period, ensure that your exams officer is checking, on a daily basis
for any urgent alerts (emails/communications) from awarding bodies that might
highlight, for example:
 problems with exam papers

 recall of exam papers and issue of replacement papers
 further issue of erratum notices
 changes to examiner/marker details
On the day of each examination

Your exams officer must ensure that sealed question paper packets relating to a
timetabled written exam must not be opened until the day, date and time (as in
session) of the exam.
JCQ regulations state:
In order to avoid potential breaches of security, care must be taken to ensure that
the correct question paper packets are opened. A member of centre staff, additional
to the person removing the question paper packets from secure storage, e.g. an
invigilator, must check the day, date, time, subject, unit/component and tier of entry,
if appropriate, immediately before a question paper packet is opened. This second
pair of eyes check must be recorded.
If it is subsequently identified following the second pair of eyes check that the wrong
question paper packet has been opened, it must be resealed. The incident must be
reported to the relevant awarding body’s Malpractice Investigation Team
immediately.
Support resources
JCQ:
 Instructions for conducting examinations (sections 5,18)

 Second Pair of Eyes Check form
The Exams Office: EXAM ROOM CHECKLIST TEMPLATE
Attendance registers
Your exams officer should safely store attendance registers in date and session
order for ease of access in daily preparation for exam sessions.
If, as a result of making amendments to final entries, an updated attendance register
is provided by the awarding body, your exams officer should confidentially destroy
the original and replace with the update. Where amendments may be made, and an
updated attendance register is not provided in time, your exams officer should either
make handwritten changes on the attendance register or use a
centre MIS generated version providing all the required details.
Completion of the attendance register

Your invigilators must be instructed to complete an attendance register(s) during the
exam(s) (ideally when identifying candidates or once candidates are seated and
have started the examination, and most definitely before the end of the exam) and
must accurately reflect candidates who are present, absent, transferred or
withdrawn.
Support resources
Exam day checklist

As part of your contingency plan, ask your exams officer to reate/use a checklist of
key tasks to be undertaken each exam day and how to deal with unplanned for
events that may arise on a daily basis.
Support resources
JCQ: Exam Day Checklist
The Exams Office:
 EXAM DAY CHECKLIST TEMPLATE

 Managing an exam day videos
Exam rooms
Your exams officer (and invigilators) must ensure that all exam rooms, (including
those for a candidate and invigilator in an exam room on a one-to-one basis) provide
candidates with appropriate conditions for taking the exam.
Ask your exams officer to create/use an exam room checklist so there is confirmation
(and a signed record of) the invigilation arrangements and exam room conditions in
place, ensuring each exam room is set up in a standard way and in accordance
with JCQ requirements.
There must be an incident log in every exam room to record any issues or
irregularities that may happen in the exam room at the point of occurrence.
Support resources
JCQ: Exam Room Incident Log
The Exams Office:
 EXAM ROOM CHECKLIST TEMPLATE

 EXAM ROOM INCIDENT LOG TEMPLATE
Exam room resources

Your exams officer should confirm your centre’s policy on providing
materials/resources for candidates in exam rooms, including what the centre
provides as standard or expects candidates to provide. Your exams officer may
prepare exam room ‘boxes’ in advance, which can easily be transported around the
centre/handed to invigilators to be taken to exam rooms.
You will also need to confirm your centre's position on food and drink in exam rooms.
Support resources
The Exams Office:
 EXAM BOX CHECKLIST TEMPLATE

 POLICY GENERATOR TOOL (Food and Drink Policy)
Identifying candidates in exam rooms

Confirm that your exams officer has devised a procedure for identifying candidates
(including any private/external or transferred candidates) in exam rooms and that this
is known, understood and followed by invigilators.
Support resources
JCQ:

The Exams Office:
 POLICY GENERATOR TOOL (Candidate Identification Procedure)
The people present in exam rooms

You must ensure that all staff understand the rules about the people present in exam
rooms.
Support resources
JCQ: Instructions for conducting examinations (section 17, Appendix 8)
Invigilator briefing
Your exams officer should confirm that invigilators are thoroughly trained on the
current regulations (new invigilators) or updated on the changes (experienced
invigilators). The regulations also require centres to ensure that invigilators’
competence is tested and that their understanding of the regulations is rigorous.
Invigilators must be made aware of the Checklist for invigilators (for written
examinations) prior to exams taking place.
Invigilators must fully understand the exam(s) taking place in the room they have
been allocated to and should be briefed accordingly by your exams officer prior to
each exam session.
Support resources
JCQ:

 Checklist for invigilators (for written examinations)
Access arrangements and modified papers

You will need to confirm the roles and responsibilities of your ALS lead/SENCo and
exams officer relating to access arrangements.
You must be reassured that all the required arrangements are in place for
candidates to access exam rooms and access the assessments, and that invigilators
will be made aware of these candidates in the exam room and the access
arrangements they have been awarded.
Modified papers
Check with your exams officer and ALS lead/SENCo that, if applicable, orders for
published modified papers have been received in time for the date of the exam.
Understand what is permitted in terms of preparing any paper that may be required
for a computer reader, or a question paper on coloured/enlarged paper.
Support resources
Cover sheets and information for facilitators

Your exams officer must ensure that cover sheets for access arrangements (where
required) have been issued before an exam starts, and any additional information,
for example, a reminder of the rules of the particular arrangement, has been relayed
to facilitators.
Support resources
JCQ:
 Access Arrangements, Reasonable Adjustments and Special Consideration

(Forms)
 Access Arrangements and Reasonable Adjustments (Appendices)
Alternative site
If the JCQ Centre Inspection Service has been notified of any candidate/candidates
intending to take an exam/exams at an alternative site, ensure your exams officer
clearly follows the instructions (with particular reference to removing question papers
from the secure storage facility and transporting papers to the alternative venue).
Support resources
Word processors
If any candidates are using word processors, your exams officer will need to ensure
the logistical arrangements (by liaising with IT staff) for any candidate using a word
processor in exams.
You will also need to confirm your centre's position regarding the retention of
electronic copies of word-processed scripts.
Support resources
The Exams Office:
 ACCESS ARRANGEMENTS: WORD PROCESSOR CHECKLIST

TEMPLATE
 POLICY GENERATOR TOOL (Word Processor Policy)
Temporary/emergency arrangements
Your exams officer must be prepared to deal with situations that may emerge due to
candidate indisposition or incapacity during exam time (late diagnosis of a disability,
late manifestation of an impairment or a temporary injury/impairment).
In a last-minute situation, the candidate must be kept under supervision from the
required time while appropriate arrangements are put in place.
As a contingency, try to identify if a classroom or office could be held on standby to
use (if needed) in an emergency situation and if there is an ‘invigilator trained’
member of staff who could be called upon to invigilate.
Support resources
JCQ: Access Arrangements and Reasonable Adjustments (section 8)
The Exams Office: ACCESS ARRANGEMENTS: MANAGING EMERGENCY
ARRANGEMENTS FORM TEMPLATE
The role of a roving invigilator

Your exams officer must be aware of the role of a roving invigilator. This is a role
which may be performed by your exams officer (although more appropriately by a
trained invigilator) where they "...enter the room at regular intervals in order to
observe the conducting of the examination, ensure all relevant rules are being
adhered to and to support the practical assistant/reader and/or scribe in maintaining
the integrity of the examination".
Support resources
The Exams Office: ROVING INVIGILATOR CHECKLIST TEMPLATE
Irregularities
Your exams officer must be prepared to manage the following situations which may
arise during exam time.
Candidate late arrival to an exam

Instructions and centre policy around candidate late/very late arrival to an exam must
be fully understood by invigilators, who should record any instances on the exam
room incident log to support any follow up reporting requirements.
Candidate very late arrival to the exam room must be reported to the awarding body
within seven working days of the date of the exam concerned. The report must be
made using the Centre Admin Portal (CAP) accessed through an awarding body’s
secure extranet site.
Support resources
The Exams Office: POLICY GENERATOR TOOL (Candidate Late Arrival Policy)
Candidate absence from an exam

Your exams officer must make invigilators aware of your centre’s policy/process for
dealing with absence in the exam room. Absences must be recorded on the
attendance register which is sent to the examiner/marker.
Support resources
The Exams Office:
 A GUIDE TO DEALING WITH CANDIDATE ABSENCE

 POLICY GENERATOR TOOL (Candidate Absence Policy)
Candidate suspected malpractice in an exam

Your exams officer must be aware of JCQ policies and procedures relating to actual
or suspected malpractice.
As a central point of reference ask your exams officer to print out and display in a
prominent position the Indicative sanctions against candidates.
Your exams officer should consider printing a supply of the report
form JCQ/M1 (Report of suspected candidate malpractice) to enable the
investigation/reporting process to start immediately if an incident occurs.
It is good practice for your exams officer to prepare a standard notification
letter/template ready to use in case there is need to notify a candidate that an
allegation of suspected or actual malpractice has been made against them.
Support resources
JCQ:

 Suspected Malpractice: Policies and Procedures (Appendix 6)
 JCQ M1 Report of suspected candidate malpractice
The Exams Office:
 SUSPECTED MALPRACTICE: CANDIDATE NOTIFICATION FORM

TEMPLATE
 POLICY GENERATOR TOOL (Managing Behaviour Policy, Malpractice
Policy)
Emergencies
Your exams officer must make invigilators aware of the centre’s policy for dealing
with an emergency evacuation of the exam room, should such a situation arise, so
they are able to take the appropriate action.
Support resources
The Exams Office: POLICY GENERATOR TOOL (Emergency Evacuation Policy)
Candidates eligible for special consideration in an exam

Confirm that your exams officer understands, when applicable, how to apply for
special consideration (and the timescales involved) where a candidate was present
for an exam but was disadvantaged or absent from an exam for an acceptable
reason.
Support resources
JCQ:
 A guide to the special consideration process

 Access Arrangements, Reasonable Adjustments and Special Consideration
(Forms)
The Exams Office:
 POLICY GENERATOR TOOL (Special Consideration Policy)
At the beginning of the exam
Your exams officer/invigilators must ensure that when candidates are invited to enter
the exam room, they are supervised at all times under formal examination conditions
until the point when they are permitted to leave the exam room after the exam has
finished. This means that candidates must not talk to, attempt to communicate with
or disturb other candidates once they have entered the examination room until the
point when they are permitted to leave the exam room.
An invigilator announcement must be given before the start of each exam so all
candidates are clearly reminded of what they must and must not do.
Support resources
JCQ: Instructions for conducting examinations (sections 16-19, Appendix 3)
The Exams Office: INVIGILATOR ANNOUNCEMENT
During the exam

Your exams officer should ensure that invigilators are aware that they must be
vigilant and remain aware of incidents or emerging situations, looking out for
malpractice or candidates who, for example, may be feeling unwell or require a toilet
break. These incidents must be recorded on the incident log.
Candidates who are allowed to leave the examination room temporarily must be
accompanied by a member of centre staff who must not be the candidate’s subject
teacher or a subject expert for the examination in question. Those candidates may
be allowed extra time at the discretion of the centre to compensate for their
temporary absence.
Support resources
The Exams Office: POLICY GENERATOR TOOL (Leaving the Examination Room
Policy)
At the end of the exam

Your exams officer should confirm that invigilators are aware of how to end an
examination in line with JCQ regulations.
Exam office staff, including invigilators, must ensure scripts are handled securely at
all times.
Question papers must not be released to centre personnel until after the awarding
body’s published finishing time for the examination or, in the case of a timetable
variation, until all candidates within the centre have completed the examination.
Support resources
JCQ: Instructions for conducting examinations (sections 26-27, 31)
After the exam
Your exams officer should package and dispatch scripts as soon as practically
possible after the exam.
Scripts must be kept in the secure room until as close to the collection time as
possible. Script packages must not be left unattended at the collection area.
For exams taking place on the Friday before the summer half term, your exams
officer should attempt to dispatch scripts from the morning and afternoon sessions
that afternoon. If this is not possible, the scripts must be retained in the secure room
and be despatched as early as possible on the following Tuesday. You may need to
support the dispatch of these scripts if your exams officer is not present on the
Tuesday of summer half term.
Support resources
DfE (STA): Dispatch of exam scripts: yellow label service guidance
Post-exam administrative follow up

Confirm that your exams officer is aware of any tasks which require additional/follow
up action. This may include the completion and submission of any:
 very late arrival reports

 actual or suspected malpractice reports
 special consideration applications
Support resources
The Exams Office:
 SPECIAL CONSIDERATION: APPROPRIATE EVIDENCE TEMPLATE

 SUMMER EXAMS WEEKLY REPORT FORM TEMPLATE
Results and Post-Results
The exam cycle
This section covers stage 5 of the exam cycle: Results and Post-Results
Results and post-results is the final stage of the exam cycle where candidates are
issued with their provisional results, where post-results services are made available
by the awarding bodies and ultimately certificates, to confirm final results, are issued.
This section highlights some of the main aspects of the process that need to be
managed and highlights the key tasks that may need to be undertaken.
The results and post-results process for general qualifications is well documented
and clearly defined by JCQ member awarding bodies. The General Regulations for
Approved Centres, the current Post-Results Services publication (which provides
information on the common arrangements for GCSE and GCE qualifications)
together with additional information provided by awarding bodies (for these and other
qualifications) must be fully understood and followed.
Where your centre may be involved with other qualifications outside of the common
arrangements, your exams officer may need to separately research relevant
awarding body administrative guidance to identify the process(es) and key dates that
need to be understood and followed.
Support resources
JCQ:

 Post-Results Services
Centre policy
A centre policy will need to be devised to confirm your centre’s way of working in
managing results and post-results. This policy should also define the role of your
exams officer in the results and post-results process and the roles of other centre
staff involved in this.
Roles and responsibilities will need to be confirmed in the following areas:
 accessing results
 producing results analysis
 issuing results to candidates
 issuing press releases
 interpreting results for candidates
 supporting distressed or anxious candidates
 discussing results with candidates and making decisions on any post-results
services that may be considered appropriate
 providing advice/guidance/support to candidates regarding progression routes
 liaising with FE/HE institutions where required
Planning and preparation

Particularly for the main summer results period, your exams officer will need to plan
well ahead and identify tasks that can be completed before the end of the summer
term to reduce the administrative burden at results and post-results time, which has
to be managed alongside the start of a new academic year.
Consideration should be given to the following:
 what information candidates should be briefed on in advance of results being

issued
 how candidates will receive their statements of provisional results on results
day
 what other information will be provided to candidates on results day
 what results information and analysis will be required for SLT and teaching
teams
 what, if any, results information or analysis will be provided to external
organisations including the media
 which post-results services are made available by awarding bodies
 what are the key dates (deadlines) for applying for post-results services
 what are the fees charged by each awarding body for post-results services
 how certificates will be issued/distributed to candidates and how any
unclaimed certificates will be retained
Support resources
The Exams Office:
 KEY TASKS REVIEW CHECKLIST TEMPLATE

 RESULTS DAY CHECKLIST TEMPLATE
 POLICY GENERATOR TOOL (Certificate Issue Procedure and Retention
Policy)
Key dates
Your exams officer will need to determine relevant key dates for results and post-
results for the qualification(s) in question. This will include:
 restricted release of results date

 results issue date
 priority post-results services deadlines
 non-priority post-results services deadlines
 certificates issued by date
Support resources
JCQ:
 Key Dates
 Post-Results Services
Briefing candidates
All candidates should be informed in advance of the arrangements that will be in
place for the issue of their results and certificates.
Prior to the issue of results, all candidates must be made aware of the arrangements
for post-results services.
The centre’s written procedures for how it will deal with candidates’ requests for
these services must be made widely available and accessible to all candidates.
It must be ensured that senior members of centre staff are available immediately
after the publication of results and that all internal candidates are aware that all post-
results service requests must be made through the centre.
Support resources
JCQ:

 Post-Results Services (sections 4, 6)
The Exams Office:

 CANDIDATE PERMISSION FORM TEMPLATE
 POLICY GENERATOR TOOL (Access to Scripts, Reviews of Results and
Appeals Procedures)
Retention of candidates' work

Where any of the qualifications or units/components of a qualification taken in an
exam series are internally (centre) assessed, the sample of candidates’ work that
has been sent to the awarding body for moderation is normally returned to the centre
at the end of the moderation period (electronic work is not returned).
All candidates’ work whether part of the sample sent for moderation or not, must be
retained according to the requirements.
In case of later query, it would be useful for moderated work to be logged as it is
returned to the centre before being passed back to the relevant teaching team for the
required storage and retention.
Support resources
JCQ: General Regulations for Approved Centres (section 3)
The Exams Office: MODERATION RETURNS LOG TEMPLATE
Accessing results
Your exams officer will need to identify how results information is accessed. Most
awarding bodies do not normally provide hard copy of candidates’ results -
information will therefore need to be accessed electronically.
Results are normally accessible under restricted release to centres only. Understand
what this means by consulting the current JCQ Release of results notice. Restricted
results information must be kept securely until results issue day.
Teaching staff should be reminded that results are provisional as they could be
subject to amendment after a review of results - certificates, when issued later,
confirm final results.
On restricted release day, authorised staff in centres can:
 access results data and results reports issued by the awarding bodies
 prepare for the release of results to candidates (for example, printing
candidate statements of results or exporting PDFs to prepare for issue by
email)
 check results and start to resolve any queries with the awarding bodies
 prepare centre results analysis reports (although these cannot be shared
more widely until after candidates have received their results the following
day)
Support resources
JCQ: Results and Certification
Understanding and interpreting the results

Awarding bodies provide information to support the understanding of results (marks
and grades).
Generic information is provided on the awarding body’s public website. Information
specific to a centre’s results will normally be provided on the awarding body’s secure
extranet site.
JCQ collates and publishes the collective results for its member awarding bodies.
The Department for Education (DfE) releases more detailed information on regions
and specific centres over the year.
Support resources
JCQ: Examination Results
DfE: Statistics: 16 to 19 attainment
The Exams Office: AWARDING BODY RESULTS AND POST-RESULTS
INFORMATION LINKS TEMPLATE
Unitised qualifications
As entries are normally made at unit level and a subject award (certification entry)
entered in the terminal exam series, results are normally provided to candidates as
an overall grade for the qualification against the subject award and a mark and grade
provided against each unit.
Grade boundaries may be published at unit and qualification level.
Linear qualifications
Entries are normally made at qualification level. Results may therefore only be
provided as an overall subject mark and grade against the qualification.
(Component marks may be provided separately as an XML file to centres through
the A2C Transport Application)
Component marks for candidates are also provided on the awarding body secure
extranet site.
Grade boundaries may only be published at qualification level.
Qualifications with a Registration/Qualification entry

(Examples include BTECs and Cambridge Technicals)
A registration or qualification entry has normally been made at the start of or early in
the course. Externally assessed units (and in some instances, internally assessed
units) have been entered during the course for the required exam series.
Unit results are issued on scheduled results days for the relevant exam series.
Results provide the grade (and where applicable, the mark) for each unit. When all
the required units have been assessed, externally assessed unit and internally
assessed unit marks are combined to provide an overall grade for the qualification at
the end of the course.
Candidate statements of results

Your exams officer must identify how statements of results will be prepared for issue
to candidates.
Sharing results and publishing results

Confirm your centre’s policy on sharing results with those with parental responsibility
and publishing results, for example in the media.
Support resources
DfE: Understanding and dealing with issues relating to parental responsibility
ICO: Exam Results
Post-results services
Once results are released the exam series enters the final stage of the exam cycle -
post-results.
This is the time awarding bodies make post-results services available. JCQ provides
information and guidance in the Post-Results Services publication setting out the
common arrangements for post-results services on behalf of its member awarding
bodies.
In advance of the release of results, your exams officer will need to
research JCQ and awarding body information to understand the services that will
normally be available. These include:
 Reviews of Results (RoRs) services: Clerical re-checks, Reviews of marking

and Reviews of moderation
 Appeals (The Appeals process is available to those who remain dissatisfied
after receiving the outcome of a review of results and have appropriate
grounds for appeal)
 Access to Scripts (ATS) services
 Missing and incomplete results services (MIRs)
 Late certification service (applicable to centres following unitised GCSE, GCE
AS and A-level specifications in Wales and Northern Ireland)
Your exams officer will also need to prepare centre-specific information for
candidates and centre staff clearly highlighting the services available, the cost of
each service and providing a way of collecting informed consent, where applicable.
It is recommended that a centre policy is in place regarding fees and charges,
determining who pays (candidate or centre) and if awarding body fees are charged
or a composite centre fee levied.
Your exams office may produce a form to provide information on the services
available and to collect requests, consent/permission and payment information, and
to highlight internal deadlines that must be met.
Support resources
JCQ: Post-Results Services (sections 4, 6, Appendices A, B)
The Exams Office:
A GUIDE TO ADMINISTERING POST-RESULTS SERVICES

 POST-RESULTS SERVICES CHECKLIST TEMPLATE
Re-sits/Retakes
Your exams officer will need to be prepared to deal with any enquiries about re-sits
or retakes of the qualifications for which results have just been issued.
The term ‘re-sit’ normally relates to taking an individual unit of a qualification again,
where this may be available as an option for unitised specifications.
The term ‘retake’ normally relates to taking the whole qualification again (or at least
taking all the written exam papers again and carrying forward the marks achieved for
any non-examined (NEA) component where this is permitted by the awarding body’s
specification).
In both cases, a candidate would need to be entered again. However, entry
opportunities are dependent on the qualification and the availability offered by the
awarding body.
A process will need to be confirmed for collecting entry requests and when this will
be made available to potential candidates. Your exams officer may produce a
form/an electronic process for candidates to request an entry to be made for them.
Support resources
The Exams Office: EXAM ENTRY/RE-SIT FORM TEMPLATE
Analysis of results
Determine if your exams officer's role requires them to be involved in the provision of
results analysis or if this is a data role. Where relevant, confirm the analysis that is
required, for whom and by when.
Confirm and understand your role/your exams officer's role in any DfE performance
tables checking exercise that may be required (this may be dependent on your
centre type).
Support resources
DfE: School and College Checking Exercises Information
Certificates
Certificates to confirm final results normally arrive around two months after the issue
of results (certificates for some VTQs may arrive earlier). Role and responsibilities
affecting the distribution, retention (and destruction) of unclaimed certificates, which
includes obtaining and maintaining accurate candidate contact information to ensure
the correct and secure despatch of certificates, will need to be confirmed.
Your exams officer will need to ensure all candidates are aware of the arrangements
for distributing/collecting certificates.
Support resources
JCQ: General Regulations for Approved Centres (section 5)
The Exams Office: CERTIFICATE COLLECTION INFORMATION FOR
CANDIDATES TEMPLATE

Management Exam Planning

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Management Exam Planning

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Exam Planning

The exam cycle

This section covers stage 1 of the exam cycle: Planning

Building an annual exams plan

 missed deadlines incurring late or other penalty fees

 General Regulations for Approved Centres (sections 1, 3)

The Exams Office: ANNUAL EXAMS PLAN TEMPLATE

Key tasks and key dates

 Regularlycheck awarding body websites and email alerts/e-newsletters for

 Setappropriate internal deadlines to enable external deadlines to be

 Thismight include events such as an awards evening, parents’ evenings,

As a senior leader/line manager you should be aware of any events or meetings

Early key dates

 Final date for awarding bodies to make basedata available

JCQ: Key Dates and Timetables

 Key Dates Calendar Tool

Information gathering and information sharing

 ensure all qualifications are identified - by checking timetabling or other

 Forgeneral exams-related information (that is not subject-specific), your

 INFORMATION GATHERING FORM TEMPLATE

 the centre’s written complaints policy and internal appeals procedure

 Coursework and/or Non-examination assessments – before candidates

 Planning: information gathering and sharing - internal (and where relevant,

 General Regulations for Approved Centres (sections 5.8, 6.2)

The Exams Office:

 CANDIDATE EXAM HANDBOOK TEMPLATE

 information not being provided by teaching teams when requested

Ensuring the security and integrity of the examination/assessment

 General Regulations for Approved Centres (including sections 3.6, 5.3n-o)

The Exams Office:

A GUIDE TO MANAGING CONFIDENTIALITY & SECURITY IN THE EXAM

Centre assessed work

 Instructions for conducting non-examination assessments

The Exams Office: NEA SECURITY CHECKLIST TEMPLATE

 awarding bodies are informed, where required

 DECLARATION OF INTEREST FORM TEMPLATE

Access arrangements and reasonable adjustments

 General regulations for Approved Centres (section 5.9)

 exam accommodation arrangements

Additional inspection visits

 Access arrangements inspection - this is a detailed inspection of access

 General Regulations for Approved Centres (section 5.3x-y)

Exam regulation changes

Exams records management

 EXAMS ARCHIVING POLICY TEMPLATE

 gathering any updated information from awarding bodies on the administration

The exam cycle

This section covers stage 2 of the exam cycle: Entries

 General Regulations for Approved Centres (section 5.6)

Entry types and entry codes

 qualification/specification entry codes

Basedata is provided for centres using a compatible management information

Early entry information

Final entry information

 EXTERNAL ENTRIES COLLECTION FORM TEMPLATE

 Unique Candidate Identifiers (UCI)

 MANAGING ENTRIES: CANDIDATE NAMES AND GENDER IDENTITY

Submitting entry information (making entries)

Entry checks, confirmation and feedback

Other key tasks around entry deadlines

 ordering modified papers to the deadline

The exam cycle

 General Regulations for Approved Centres

Candidates taking exams elsewhere or under joint teaching