RISK MANAGEMENT POLICY AND PROCEDURES

Toucanto is aware that there are potential risks which may affect the smooth running of examinations. In order to anticipate problems the risks are identified and the staff and processes which can be put in place identified. This risk management process is taken from the editable template supplied by JCQ/the Exam Office and adapted to suit our needs.

STAFF RESPONSIBLE INCLUDE THE TRAINING COORDINATOR AND ALL TEACHING AND ASSESSING STAFF

ALL STAFF ARE TRAINED IN ON THE GO RISK ASSESSMENTS “ POINT OF WORK “ RISK ASSESSMENTS 

TIMETABLINGFORWARD PLANNINGACTION
Controlled assessment schedule clashes with other activities Plan/establish priorities well ahead, assessment meeting to be scheduled as soon as course requirements and dates from completion are issued ASDAN/board.
Intention to enter required assessments should be completed 3-6 months prior, this should inform planning once the course requirements are known.
Plan dates in consultation with training calendar -negotiate with other parties
Too many controlled assessments close together across subjectsPlan controlled assessments so they are spaced over the duration of the courseSpace controlled assessments to allow candidates sometime between them. Set a controlled assessment calendar so that all subjects are calendared well in advance and theis fits into medium and long term teaching plans.
ACCOMMODATIONFORWARD PLANNINGACTION
Insufficient space in classrooms/learning areas for candidatesOnce the size of the cohort is known at the start of the year, flag instances where regular classroom space may not be suitable to conduct controlled assessments.Use more than one classroom or multiple sittings where necessary, book rooms in advance.
Insufficient facilities for all candidatesCareful planning ahead and booking of rooms/facilitiesUse more than one classroom or multiple sittings where necessary
Availability of rooms for scribes/readers/1:1Use more than one classroom or multiple sittings where necessary
DOWNLOADING AWARDING BODY SET TASKS
IT system unavailable on day of assessmentDownload tasks well ahead of scheduled assessment dateBook IT equipment well ahead and download tasks before scheduled date of assessment
Teaching staff unable to access task details Test secure access rights ahead of controlled assessment schedule every year and every sessionEnsure teaching staff have access rights for the correct area of awarding body secure extranet sites well ahead of the controlled assessment schedule
Loss of task details in transmission 
Download tasks well ahead of scheduled assessment date 

Contact awarding body and ask for replacement task; download again 
ABSENT CANDIDATES FORWARD PLANNINGACTION
Candidates absent for all or part of the assessment – various reasonsPlan alternate sessions for candidates Controlled assessment calendar to include mop up sessions where absent candidates will be given the opportunity to catch up and complete the assessment.
Tutor staff to advise the exams team of planned absence so that the calendar can accommodate Tutors to be made aware meetings 
CONTROL LEVEL FOR TASK TAKINGFORWARD PLANNINGACTION 
The assessment is undertaken under incorrect level of control – time, resources, supervision, collaborationEnsure teaching staff know what level is applicable and understand what is involved.  Provide training if requiredSeek guidance from the awarding body/ASDAN 
Meeting time set aside to update staff of annual changesCoordinator to schedule in calendar and update staff as and when required
SUPERVISIONFORWARD PLANNINGACTION 
Student study diary/plan not provided or completedEnsure teaching staff are aware of the ned for study diary/plans to be completed early in the course Ensure candidates start, continue and complete study diary/plans that ae signed after every session
Teaching staff do not understand that the supervision of controlled assessment is their responsibilityEnsure teaching staff fully understand the nature of controlled assessments and their role in supervising assessmentsCoordinator to schedule meeting calendar and update staff when required
A suitable supervisor has not been arranged for an assessment where teaching staff are not supervisingA suitable supervisor must be arranged for any controlled assessment session where a teacher is ot supervising in line with the awarding bodys specificationCoordinator to ensure there are spare staff available so that there are always staff in reserve
A calendar of rooms and staff not available Calendar to be posted on shared staff area under exams folder.  Hard copy to be put on the exams noticeboard in the staff roomCoordinator to post
TASK SETTINGFORWARD PLANNINGACTION 
Teaching staff fail to correctly set tasks Ensure teaching staff fully understand the task setting arrangements as defined in the awarding body’s specification Seek guidance from the awarding body
Time made available to highlight requirementsCoordinator to make time available 
Assessments have not been moderated in line with the awarding body’s specifications Check specification and plan required moderation appropriatelySeek guidance from the awarding body
SECURITY OF MATERIALSFORWARD PLANNINGACTION 
Assessment tasks not kept secure before assessmentEnsure teaching staff fully understand the importance of task security Contact the awarding body to request /obtain different assessment tasks

Security risks identified
If appropriate additional padlocks bought so cupboards can be made secure
Staff to be informed of the implications and requirements 
Coordinator to make time available 
Candidates work not kept secure during and /or after assessmentDefine the appropriate level of security, in line with the awarding bodys requirements, for each department as necessary  
Staff to be informed of the implications and requirements
Seek guidance from the awarding body


Coordinator to make time available 
Insufficient or insecure storage spaceLook at provision of suitable storage at the beginning of courseFind alternative storage within the centre
DEADLINESFORWARD PLANNINGACTION 
Deadlines not met by candidatesEnsure all candidates are briefed on deadlines and the penalties for not meeting themMark what candidates have produced by the deadline
Seek guidance from awarding body on further action
Students to be briefed in a special assembly
Parents will get a copy of assessment and exam calendar which will highlight deadlines and make parents aware of the implicationsAssessment and eam calendar to be issued to parents with a covering letter
Deadlines for marking and or paperwork not met by teaching staffEnsure teaching staff are given clear deadlines prior to the aarding ody deadline ot comet marking and paperwork – marks can them be processed and submitted ahead of awarding buddy deadlines 
Staff to be informed of the implications and requirements
Seek guidance from awarding body




Coordinator to allocate time to discuss
AUTHENTICATION FORWARD PLANNINGACTION 
Candidate fails to sign authentication form Ensure all candidates have authentication forms to sign
Teaching staff fail to complete authentication forms or leave before completing the authentication processEnsure teaching stuff fully understand the importance of authentication forms and the requirements of a signature
MARKINGFORWARD PLANNINGACTION 
Teaching staff interpret marking descriptions incorrectlyEnsure appropriate training and practicing of markingArrange for remarking 
Plan for sampling of marking during the practice phase, cross marking with other teachersConsult the awarding bodys specification for appropriate procedures
Centre does not run the standardisation activities as required by the awarding bodyPlan against the awarding bodys requirements for standardisation – when and how this activity must be conductedCheck with the awarding bod whether a later standardisation event can be arranged

Coordinator to plan ad allocate staff time
Staff meeting with relevant parties allocated