Non-Exam Assessment Policy

The Management of Non Examination Assessment Policy including Risk Management

Procedures for planning and managing non-examination assessments identifying staff roles and responsibilities

The basic principles
Head of centre
• Ensures that the centre’s non-examination assessment policy (NEA) is fit for purpose
• Ensures the centre’s internal appeals procedures clearly detail the procedure to be followed by candidates (or their parents/carers) appealing against internally assessed marks
Senior management team
• Ensure the correct conduct of non-examination assessments which comply with NEA and awarding body subject-specific instructions
• Ensure the centre-wide calendar records assessment schedules by the start of the academic year
• At the start of the academic year, begin coordinating with heads of department/subject to schedule controlled assessments.
• Map overall resource management requirements for the academic year. As part of this resolve:
o clashes/problems over the timing or operation of controlled assessments;
o issues arising from the need for particular facilities (rooms, IT networks, time out of school etc);
• Ensure that all staff involved have a calendar of events.
• Create, publish and update an internal appeals policy for controlled assessments.
Head of department
• Standardise internally the marking of all teachers involved in assessing an internally assessed component.
• Ensure that individual teachers fully understand their responsibilities with regard to NEA’s
• Ensure that individual teachers fully understand the requirements of the awarding body’s specification, are familiar with the relevant teachers’ notes and any other subject specific instructions.
• Ensures appropriate centre-devised templates are provided to capture/record relevant information given to candidates by subject teachers
• Ensures the exams office is provided with relevant entry codes for subjects (whether the entry for the internally assessment forms part of the overall entry code or is made as a separate unit entry code) to the internal deadline for entries.
Subject teacher
• Understand and comply with the general guidelines detailed within the JCQ publication Instructions for conducting non examination assessments.
• Understand and comply with the awarding body’s specification for conducting NEA’s, including any subject-specific instructions, teachers’ notes or additional information on the awarding body’s website.
Exams office staff
• Carries out tasks where these may be applicable to the role in supporting the administration/management of NEA’s

Task setting
Subject teacher
• Selects tasks from a choice provided by the awarding body OR designs tasks where this is permitted by criteria set out within the subject specification
• Makes candidates aware of the criteria used to assess their work

Issuing of tasks
Subject teacher
• Determines when set tasks are issued by the awarding body
• Identifies date(s) when tasks should be taken by candidates
• Accesses set tasks in sufficient time to allow planning, resourcing and teaching and ensures that materials are stored securely at all times
• Ensures requirements for legacy specification tasks and new specification tasks are distinguished between

Task taking
Subject teacher
• Checks the awarding body’s subject-specific requirements ensuring candidates take tasks under the required conditions and supervision arrangements
• Ensures there is sufficient supervision to enable the work of a candidate to be authenticated
• Ensures there is sufficient supervision to ensure the work a candidate submits is their own
• Where candidates may work in groups, keeps a record of each candidate’s contribution
• Ensures candidates are aware of the JCQ documents Information for candidates – non-examination assessments and Information for candidates – Social Media
• Ensures candidates understand and comply with the regulations in relevant JCQ documents Information for candidates

Advice and feedback
Subject teacher
• As relevant to the subject/component, advises candidates on relevant aspects before candidates begin working on a task
• When reviewing candidates’ work, unless prohibited by the specification, provides oral and written advice at a general level to candidates
• Allow candidates to revise and re-draft work after advice has been given at a general level
• Records any assistance given beyond general advice and takes it into account in the marking or submits it to the external examiner
• Ensures when work has been assessed, candidates are not allowed to revise it

Resources
Subject teacher
• Refers to the awarding body’s specification and/or associated documentation to determine if candidates have restricted/unrestricted access to resources when planning and researching their tasks
• Ensures conditions for any formally supervised sessions are known and put in place
• Ensures conditions for any formally supervised sessions are understood and followed by candidates
• Ensures candidates understand that they are not allowed to introduce improved notes or new resources between formally supervised sessions
• Ensures that where appropriate to include references, candidates keep a detailed record of their own research, planning, resources etc.

Word and time limits
Subject teacher
• Refers to the awarding body’s specification to determine where word and time limits apply/are mandatory

Collaboration and group work
Subject teacher
• Unless stated otherwise in the awarding body’s specification, and where appropriate, allows candidates to collaborate when carrying out research and preparatory work
• Ensures that it is possible to attribute assessable outcomes to individual candidates
• Ensures that where an assignment requires written work to be produced, each candidate writes up their own account of the assignment
• Assesses the work of each candidate individually

Authentication procedures
Subject teacher
• Where required by the awarding body’s specification
o ensures candidates sign a declaration confirming the work they submit for final assessment is their own unaided work
o signs the teacher declaration of authentication confirming the requirements have been met
• Keeps signed candidate declarations on file until the deadline for enquiries about results has passed or until any appeal, malpractice or other results enquiry has been completed, whichever is later
• Provides signed candidate declarations where these may be requested by a JCQ Centre Inspector
• Where there may be doubt about the authenticity of the work of a candidate or if malpractice is suspected, follows the authentication procedures and malpractice information in NEA and informs the exams office

Presentation of work
Subject teacher
• Instructs candidates to present work as detailed in NEA unless the awarding body’s specification gives different subject-specific instructions
• Instructs candidates to add their candidate number, centre number and the component code of the assessment as a header/footer on each page of their work

Keeping materials secure
Subject teacher
• When work is being undertaken by candidates under formal supervision, ensures work is securely stored between sessions (if more than one session)
• When work is submitted by candidates for final assessment, ensures work is securely stored
• Follows secure storage instructions as defined in NEA 4.8
• Takes sensible precautions when work is taken home for marking
• Stores internally assessed work, including the sample returned after awarding body moderation, securely until the closing date for enquiries about results or until the outcome of an enquiry or any subsequent appeal has been conveyed to the centre
• Reminds candidates of the need to keep their own work secure at all times and not share completed or partially completed work on-line, on social media or through any other means
• Liaises with the IT Manager to ensure that appropriate arrangements are in place to restrict access between sessions to candidates’ work where work is stored electronically
IT Manager
• Ensures appropriate arrangements are in place to restrict access between sessions to candidates’ work where work is stored electronically

Task marking – externally assessed components

Conduct of externally assessed work
Subject teacher
• Liaises with the exams office regarding arrangements for the conduct of any externally assessed non-examination component of a specification
• Liaises with the Visiting Examiner where this may be applicable to any externally assessed component
Exams office staff
• Arranges timetabling, rooming and invigilation where this is applicable to any externally assessed non-examination component of a specification
• Conducts the externally assessed component within the window specified by the awarding body
• Conducts the externally assessed component according to the JCQ publication Instructions for conducting examinations

Submission of work
Subject teacher
• Provides the attendance register to a Visiting Examiner
Exams office staff
• Provides the attendance register to the subject teacher where the component may be assessed by a Visiting Examiner
• Ensures the awarding body’s attendance register for any externally assessed component is completed correctly to show candidates who are present and any who may be absent
• Where candidates’ work must be despatched to an awarding body’s examiner, ensures the completed attendance register accompanies the work
• Keeps a copy of the attendance register until after the deadline for enquiries about results for the exam series
• Packages the work as required by the awarding body and attaches the examiner address label
• Despatches the work to the awarding body’s instructions by the required deadline

Task marking – internally assessed components

Marking and annotation
Subject teacher
• Marks candidates’ work in accordance with the marking criteria provided by the awarding body
• Annotates candidates’ work as required to facilitate internal standardisation of marking and enable external moderation to check that marking is in line with the assessment criteria
• Informs candidates of their marks which could be subject to change by the awarding body moderation process
• Ensures candidates are informed in a timely manner to enable an internal appeal to be submitted by a candidate and the outcome known before final marks are submitted to the awarding body

Internal standardisation
Head of department
• Ensures that internal standardisation of marks across assessors and teaching groups takes place as required and to sequence
Subject teacher
• Indicates on work (or cover sheet) the date of marking
• Marks to common standards

Submission of marks and work for moderation
Subject teacher
• Provides marks to the exams office to the internal deadline
• Provides the moderation sample to the exams office to the internal deadline
• Ensures the moderator is provided with authentication of candidates’ work, confirmation that internal standardisation has been undertaken and any other subject-specific information where this may be required
Exams office staff
• Inputs and submits marks online via the awarding body secure extranet site, keeping a record of the marks submitted to the external deadline/Confirms with subject teachers that marks have been submitted to the awarding body deadline
• Submits the requested samples of candidates’ work to the moderator by the awarding body deadline, keeping a record of the work submitted/Confirms with Subject teacher that the moderation sample has been submitted to the awarding body deadline
• Ensures that for postal moderation
o work is dispatched in packaging provided by the awarding body
o moderator label(s) provided by the awarding body are affixed to the packaging
o proof of dispatch is obtained and kept on file until the successful issue of final results
• Through the subject teacher, ensures the moderator is provided with authentication of candidates’ work, confirmation that internal standardisation has been undertaken and any other subject-specific information where this may be required

Storage and retention of work after submission of marks
Subject teacher
• Keeps a record of names and candidate numbers for candidates whose work was included in the moderation sample
• Retains all marked candidates’ work (including any sample returned after moderation) under secure conditions until after the deadline for enquiries about results
• Takes steps to protect any work stored electronically from corruption and has a back-up procedure in place
• Retains evidence of work where retention may be a problem (for example, photos of artefacts etc.)
Exams office staff
• Ensures any sample returned after moderation is logged and returned to the subject teacher for secure storage and required retention

External moderation – feedback
Head of department/Line manager
• Checks moderator reports and ensures that any remedial action, if necessary, is undertaken before the next examination series
Exams office staff
• Copies and forwards moderator reports to relevant staff
• Takes remedial action, if necessary, where feedback may relate to centre administration

Access arrangements
Subject teacher
• Works with the SENCo to ensure any access arrangements for eligible candidates are applied to assessments
SENCo
• Follows the regulations and guidance in the JCQ publication Access Arrangements and Reasonable Adjustments
• Where arrangements do not undermine the integrity of the qualification and is the candidate’s normal way of working, will ensure access arrangements are in place and awarding body approval, where required, has been obtained prior to assessments taking place
• Makes subject teachers aware of any access arrangements for eligible candidates which need to be applied to assessments
• Works with subject teachers to ensure requirements for access arrangement candidates requiring the support of a facilitator in assessments are met
• Ensures that staff acting as an access arrangement facilitator are fully trained in their role

Special consideration
Subject teacher
• Understands that a candidate may be eligible for special consideration in assessments in certain situations where a candidate
o is absent
o produces a reduced quantity of work
o work has been lost
• Liaises with the exams office when special consideration may need to be applied for a candidate taking assessments
Exams office staff
• Refers to/directs relevant staff to the JCQ publication A guide to the special consideration process
• Where a candidate is eligible, submits an application for special consideration via the awarding body’s secure extranet site to the prescribed timescale
• Where application for special consideration via the awarding body’s secure extranet site is not applicable, submits the required form to the awarding body to the prescribed timescale
• Keeps required evidence on file to support the application

Malpractice
Head of centre
• Understands the responsibility to report to the relevant awarding body any suspected cases of malpractice involving candidates, teachers, invigilators or other administrative staff
• Is familiar with the JCQ publication Suspected Malpractice in Examinations and Assessments: Policies and Procedures
Subject teacher
• Is aware of the JCQ Notice to Centres – Teachers sharing assessment material and candidates’ work
• Ensures candidates understand the JCQ document Information for candidates – non-examination assessments
• Ensures candidates understand the JCQ document Information for candidates – Social Media
Exams office staff
• Signposts the JCQ publication Suspected Malpractice in Examinations and Assessments: Policies and Procedures to the head of centre
• Signposts the JCQ Notice to Centres – Teachers sharing assessment material and candidates’ work to subject heads
• Signposts candidates to the relevant JCQ information for candidates documents
• Where required, supports the head of centre in investigating and reporting incidents of suspected malpractice

Enquiries about results
Head of centre
• Ensures the centre’s internal appeals procedures clearly detail the procedure to be followed by candidates (or their parents/carers) appealing against a centre decision not to support an enquiry about results request or not supporting an appeal following the outcome of an enquiry about results
Head of department
• Provides relevant support to subject teachers making decisions about enquiries about results
Subject teacher
• Provides advice and guidance to candidates on their results and the post-results services available
• Provides the exams office with the original sample or relevant sample of candidates’ work that may be required for an enquiry about results to the internal deadline
• Supports the exams office in collecting candidate consent where required
Exams office staff
• Is aware of the individual post-results services available for externally assessed and internally assessed components of non-examination assessments as detailed in the JCQ publication Post Results Services, Information and guidance for centres
• Provides/signposts relevant centre staff and candidates to post-results services information
• Ensures any requests for post-results services that are available to non-examination assessments are submitted online via the awarding body secure extranet site to deadline
• Collects candidate consent where required

Spoken Language Endorsement for GCSE English Language specifications
Head of centre
• Provides a signed declaration as part of the National Centre Number Register Annual Update, that all reasonable steps have been or will be taken to ensure that all candidates at the centre have had, or will have, the opportunity to undertake the Spoken Language endorsement
Head of department
• Ensures the appropriate arrangements are in place for internal standardisation of assessments
• Confirms understanding of the Spoken Language Endorsement for GCSE English Language specifications designed for use in England
• Ensures the required task setting and task taking instructions are followed by subject teachers
• Ensures subject teachers assess candidates, either live or from recordings, using the common assessment criteria
• Ensures for monitoring purposes, audio-visual recordings of the presentations of a sample of candidates are provided
Subject teacher
• Ensures all the requirements in relation to the endorsement are known and understood
• Follows the required task setting and task taking instructions
• Assesses candidates, either live or from recordings, using the common assessment criteria
• Provides audio-visual recordings of the presentations of a sample of candidates for monitoring purposes
• Follows the awarding body’s instructions for the submission of grades (Pass, Merit, Distinction or Not Classified) and the storage and submission of recordings
Exams office staff
• Follows the awarding body’s instructions for the submission of grades and the storage and submission of recordings

Risk management process

Risk/IssueForward PlanningActionRole/responsibility
Timetabling
Assessment schedule clashes with other activitiesPlan/establish priorities well ahead (e.g. start of academic year) for all subjects or lines of learningPlan dates in consultation with school calendar – negotiate with other partiesHoD & Deputy Head – Academic
Too many assessments close together across subjects or lines of learningPlan assessments so they are spaced over the duration of the courseSpace assessments to at least allow candidates some time between assessmentsHoD & Deputy Head – Academic
Accommodation
Insufficient space in classrooms for candidatesOnce group sizes are known at the start of the year, flag instances where regular classroom space may not be suitable to conduct controlled assessmentUse more than one classroom or multiple sittings where necessaryTeacher /HoD
Insufficient facilities for all candidatesCareful planning ahead and booking of rooms / centre facilitiesTeacher/ HoD
Downloading awarding body set tasks
IT system unavailable on day of assessmentDownload tasks well ahead of scheduled assessment date in all casesBook IT equipment well ahead and download tasks before scheduled date of assessmentTeacher/ HoD/IT Department
Teaching staff/assessors unable to access task detailsTest secure access rights ahead of schedule every year and every sessionEnsure teaching staff/assessors have access rights for correct area of awarding body secure extranet sites ahead of timeExams Office
Loss of task details in transmissionDownload tasks well ahead of scheduled assessment dateReport loss to awarding body for replacement; download againExams Office
Absent candidates
Candidates absent for all or part of assessment (various reasons)Plan alternative session(s) for candidates Teacher/ HoD
Candidates have a scheduling clash for exams or assessmentAlways consider candidate timetables well ahead and decide on priorities in advance to scheduling clashesCheck before booking the date; provide an alternative date, where necessary and consult awarding body procedures for dealing with timetabling clashes

N.B. retakes of controlled assessment are limited

Teacher/ HoD
Control levels for task taking
Assessment is undertaken under incorrect level of control (time, resources, supervision and collaboration)Ensure teaching staff know what level is applicable and understand what is involved. Provide training if requiredSeek guidance from the awarding bodyTeacher/HoD
Supervision
Student study diary/plan not provided or completedEnsure teaching staff are aware of the need for study diary/plans to be completed early in courseEnsure candidates start, continue and complete study diary/plans that are signed after every sessionTeacher
Teaching staff do not understand supervision of controlled assessment is their responsibilityEnsure teaching staff understand nature of controlled assessments and their role in supervisionHoD
Task Setting
Teaching staff fail to correctly set tasksEnsure teaching staff understand the task setting arrangements as defined in the awarding body specificationSeek guidance from the awarding bodyHoD
Assessments have not been moderated as required in the awarding body specificationCheck specification and plan required moderation appropriatelySeek guidance from the awarding bodyHoD
Security of materials
Assessment tasks not kept secure before assessmentEnsure teaching staff understand importance of task securityRequest/obtain different assessment tasksTeacher, HoD & Exams Office
Candidates’ work not kept secure during or after assessmentDefine appropriate level of security, in line with awarding body requirements, for each department as necessaryTake materials to secure storageTeacher
Insufficient or insecure storage spaceLook at provision for suitable storage early in the courseFind alternative spacesTeacher/HoD
Deadlines
Deadlines not met by candidates

Ensure all candidates are briefed on deadlines/penalties for not meeting themMark what candidates have produced by deadline and seek guidance from awarding body on further action.Teacher
Deadlines for marking and/or paperwork not met by teaching staffEnsure teaching staff are given clear deadlines (prior to awarding body ones) to complete marking/paperwork so the exams office can process and send off marks ahead of AB deadlinesSeek guidance from awarding bodyTeacher, HoD & Exams Office
Authentication
Candidate fails to sign authentication formEnsure all candidates have authentication forms to sign and attach to work when it is completed before handing inFind candidate and ensure form is signedTeacher
Teaching staff fail to complete authentication forms or leave before completing authenticationEnsure teaching staff understand importance of authentication forms and the requirement of a signatureReturn form to staff for signature. Ensure forms are signed as work is marked, not at end of seasonTeacher, HoD & Exams Office
Test Marking
Teaching staff interpret marking descriptions incorrectlyEnsure appropriate training and practicing of marking. Plan for sampling of marking during the practice phase.Arrange for remarking. Consult awarding body specification for appropriate procedureTeacher/HoD
Centre does not run standardisation activity as required by the awarding bodyPlan against the requirements for standardisation for the awarding body when and how this activity will be conducted.Check with the awarding body whether a later standardisation event can be arranged.Teacher/HoD/Deputy Head