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BTEC Edexcel Information Manual 2009-2010 - Section 15 15

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The BTEC information manual provides comprehensive details of BTEC qualifications, including key dates, registration, certification, fees and assessment information.

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Page 1: BTEC Information Manual

BTEC

Edexcel Information Manual 2009-2010 - Section 15

15

Page 2: BTEC Information Manual

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15 BTECContents

1 Key dates 3341.1 Registration deadlines 3341.2 Certifi cation deadlines 3351.3 Key dates for each term 336

2 Scope of Section 15 of the Information Manual 3372.1 BTEC qualifi cations: registration through Edexcel 3372.2 Notes on validity of section 15 in respect of specifi c BTEC programmes 338

3 Centre and qualifi cation approval 3403.1 Summary 3403.2 Edexcel Online Approvals for Schools and FE 3403.3 Online Qualifi cation Approval at levels 4-7 3463.4 Consortium Approval 346

4 Notes on issues for registration and certifi cation 3474.1 Timing of registration 3474.2 Registration: topping up 3474.3 Registration: estimating completion dates 3474.4 Registration: programme numbers 3484.5 Unique Learner Number (ULN) 3484.6 Reporting success to Edexcel 3484.7 Certifi cation 349

5 Registration policies and procedures 3495.1 Responsibility for registration 3495.2 Timing of registration 3495.3 Periods of registrations 3505.4 Deletion of registrations 3505.5 Withdrawal of learners 350

6 Registration fees 3516.1 Registration fees 3516.2 Special fees for re-registration to complete a non-accredited BTEC qualifi cation 3516.3 Special fees for re-registration to convert individual units to a full qualifi cation

(non-accredited) 3516.4 Other charges 3516.5 Invoices 3526.6 Payment of fees 352

7 Methods of registration 3537.1 Policy on electronic processing of registrations and amendments to registrations 3537.2 Making registrations on Edexcel Online 3537.3 Making registrations by EDI (Electronic Data Interchange) 353

8 How to make registrations using Edexcel Online 3558.1 Choosing header details 3558.2 Register online 3568.3 Register by spreadsheet 3598.4 Registrations that cannot be made online 361

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15 BTEC 9 How to register by EDI 361

9.1 Downloading BTEC Basedata from Edexcel Online 3619.2 Registration by EDIFACT EDI 3649.3 Registration by JCQ EDI 366

10 Confi rmation and outcomes of registration 36710.1 Outcomes 36710.2 Registration lists 36710.3 EDI centres 368

11 Transfers and changes to registration details 36811.1 Transfer of a learner between programmes at the same centre 36811.2 Transfer of a learner to another centre 36811.3 Transfer of a learner from a centre operating under the Licence Agreement 36811.4 Programmes that are not compatible 369

12 Electronic amendments and transfers 36912.1 Scope of electronic amendments 36912.2 Changing learner’s name, date of birth and other details on Edexcel Online 36912.3 Transferring within the same centre 37012.4 Transferring from a different centre 37112.5 Procedures for topping up on BTEC nationally accredited qualifi cations and

Short Courses 37212.6 EDI transfers and amendments 372

13 Completion of quality assurance processes required for certifi cation 37313.1 Summary 37313.2 BTEC s qualifi cations Levels 2/3 and Levels 1—3 Short Courses 37313.3 Entry Level BTEC Certifi cates in Skills for Working Life and Life Skills 37413.4 BTEC Introductory Certifi cates and Diplomas (Level 1) 37413.5 BTEC Foundation Diploma in Art and Design 37413.6 BTEC Higher Nationals Certifi cates and Diplomas and Nationally Accredited

Short Courses Levels 4-7 37413.7 Other BTEC Programmes 375

14 Access to assessment 375

15 Recognition of previous achievement 37515.1 Accreditation of prior learning and/or experience (APL) 37515.2 Claiming a qualifi cation by APL 375

16 BTEC qualifi cations assessed by computer-based or on-screen test 37616.1 Centre and qualifi cation approval 37616.2 Learner registration 37616.3 Test Booking 37616.4 Test Results 37616.5 Certifi cation 376

17 Reporting learner achievement 37617.1 Responsibility 37617.2 Unit grades 37717.3 Overall qualifi cation grades of achievement 377

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15 BTEC 17.4 Confi rmation of learner achievement 37817.5 Reporting success to UCAS 37817.6 Submission of results to Edexcel 37817.7 Methods of reporting 379

18 Claiming interim and full certifi cation via Edexcel Online (EOL) or EDI 37918.1 Claiming via Edexcel Online 37918.2 Timing of success reporting 38318.3 EDI results reporting: EDIFACT format 38318.4 Sending BTEC JCQ result entry fi les 38518.5 Eligibility 38518.6 Certifi cate deferrals 38718.7 Learners re-sitting units: BTEC Firsts, Nationals and Higher Nationals 387

19 Amendments to reported success 38819.1 Amendments to reported grades 38819.2 Decline grade 38819.3 Certifi cate recalls on nationally accredited programmes 38819.4 To re-open a registration where a fallback Certifi cate of Unit Achievement has

been issued 38819.5 Queries raised by Edexcel: form queries 388

20 Award documentation 38920.1 Certifi cates 38920.2 Course Assessment Report: all programmes 38920.3 Evidence of achievement 38920.4 Notifi cation of Performance 39020.5 Certifi cate of Unit Achievement 39020.6 Award date 39020.7 Award lists 39120.8 Certifi cate Check List: form SA6 39120.9 Retention of certifi cates 39120.10 Outstanding fi nancial obligations to the centre 39120.11 Incorrect and invalid certifi cate claims 391

21 Replacement certifi cation 39221.1 Lost between Edexcel and centre 39221.2 Lost by centre 39221.3 Learner name 39221.4 Damaged documents 39221.5 Lost or damaged between centre and learner 392

22 Duplicate documents 39322.1 Qualifi cation certifi cates 39322.2 Notifi cations of Performance, Certifi cates of Achievement or Certifi cates of

Unit Credit 39322.3 Letter of confi rmation: for awards originally obtained prior to 1984 393

23 Changes to Centre Details 39323.1 Centre and programme closures 39323.2 Centre mergers, de-mergers and sub-site additions 39423.3 Centre address and contact details 394

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15 BTEC

1 Key dates

1.1 Registration deadlinesEnrolment is defi ned as the day on which delivery of the candidate’s programme/unit commences. For programmes that follow the academic year, ie enrolment in September/October and completion in June/July, the following deadlines for registration apply.

1 November 2009BTEC Entry Level Certifi cates (Life Skills and Skills for Working Life)BTEC Introductory Certifi cates and DiplomasBTEC First Certifi cates and DiplomasBTEC National Awards, Certifi cates and DiplomasBTEC Short Courses (Advanced and Professional) Awards, Certifi cates and DiplomasBTEC Awards, Certifi cates and Diplomas in WorkSskills

15 November 2009BTEC Higher National Certifi cates and DiplomasBTEC Foundation Diploma (Art & Design)

15 December 2009Higher Education Licence Agreement registrations.

For programmes that do not follow the academic year (ie programmes where learners have enrolled between November and August), or for any programmes of less than one academic year in length, and for individual units, registration is due within one month of enrolment.

Note: Registrations received after the appropriate deadline will be subject to a late registration fee. (Please see the Fees Information issued separately.)

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1.2 Certifi cation deadlines

Last date for SRFs to be received by Edexcel

Last date for Edexcel Online certifi cate claims

Certifi cates will be in centres on

Wednesday 02 Sep 2009 Friday 11 Sep 2009 Friday 18 Sep 2009Wednesday 09 Sep 2009 Friday 18 Sep 2009 Friday 25 Sep 2009Wednesday 16 Sep 2009 Friday 25 Sep 2009 Friday 02 Oct 2009Wednesday 23 Sep 2009 Friday 02 Oct 2009 Friday 09 Oct 2009Wednesday 30 Sep 2009 Friday 09 Oct 2009 Friday 16 Oct 2009Wednesday 07 Oct 2009 Friday 16 Oct 2009 Friday 23 Oct 2009Wednesday 14 Oct 2009 Friday 23 Oct 2009 Friday 30 Oct 2009Wednesday 21 Oct 2009 Friday 30 Oct 2009 Friday 06 Nov 2009Wednesday 28 Oct 2009 Friday 06 Nov 2009 Friday 13 Nov 2009Wednesday 04 Nov 2009 Friday 13 Nov 2009 Friday 20 Nov 2009Wednesday 11 Nov 2009 Friday 20 Nov 2009 Friday 27 Nov 2009Wednesday 18 Nov 2009 Friday 27 Nov 2009 Friday 04 Dec 2009Wednesday 25 Nov 2009 Friday 04 Dec 2009 Friday 11 Dec 2009Wednesday 04 Dec 2009 Friday 11 Dec 2009 Friday 18 Dec 2009Wednesday 09 Dec 2009 Friday 18 Dec 2009 Friday 01 Jan 2010Wednesday 16 Dec 2009 Friday 01 Jan 2010 Friday 08 Jan 2010Wednesday 23 Dec 2009 Friday 08 Jan 2010 Friday 15 Jan 2010Wednesday 06 Jan 2010 Friday 15 Jan 2010 Friday 22 Jan 2010Wednesday 13 Jan 2010 Friday 22 Jan 2010 Friday 20 Jan 2010Wednesday 20 Jan 2010 Friday 31 Jan 2010 Friday 05 Feb 2010Wednesday 27 Jan 2010 Friday 05 Feb 2010 Friday 12 Feb 2010Wednesday 03 Feb 2010 Friday 12 Feb 2010 Friday 19 Feb 2010Wednesday 10 Feb 2010 Friday 19 Feb 2010 Friday 26 Feb 2010Wednesday 17 Feb 2010 Friday 26 Feb 2010 Friday 05 Mar 2010 Wednesday 24 Feb 2010 Friday 05 Mar 2010 Friday 12 Mar 2010Wednesday 03 Mar 2010 Friday 12 Mar 2010 Friday 19 Mar 2010 Wednesday 10 Mar 2010 Friday 19 Mar 2010 Friday 26 Mar 2010Wednesday 17 Mar 2010 Friday 26 Mar 2010 Friday 02 Apr 2010Wednesday 24 Mar 2010 Friday 02 Apr 2010 Friday 09 Apr 2010 Wednesday 31 Mar 2010 Friday 09 Apr 2010 Friday 16 Apr 2010Wednesday 07 Apr 2010 Friday 16 Apr 2010 Friday 23 Apr 2010 Wednesday 14 Apr 2010 Friday 23 Apr 2010 Friday 30 Apr 2010Wednesday 21 Apr 2010 Friday 30 Apr 2010 Friday 07 May 2010 Wednesday 28 Apr 2010 Friday 07 May 2010 Friday 14 May 2010Wednesday 05 May 2010 Friday 14 May 2010 Friday 21 May 2010 Wednesday 12 May 2010 Friday 21 May 2010 Friday 28 May 2010Wednesday 19 May 2010 Friday 28 May 2010 Friday 04 Jun 2010Wednesday 26 May 2010 Friday 04 Jun 2010 Friday 11 Jun 2010 Wednesday 02 Jun 2010 Friday 11 Jun 2010 Friday 18 Jun 2010Wednesday 09 Jun 2010 Friday 18 Jun 2010 Friday 25 Jun 2010 Wednesday 16 Jun 2010 Friday 25 Jun 2010 Friday 02 Jul 2010Wednesday 23 Jun 2010 Friday 02 Jul 2010 Friday 09 Jul 2010 ♦ Monday 05 July 2010 Friday 23 Jul 2010 Friday 06 Aug 2010Wednesday 04 Aug 2010 Friday 13 Aug 2010 Friday 20 Aug 2010Wednesday 11 Aug 2010 Friday 20 Aug 2010 Friday 27 Aug 2010 Wednesday 18 Aug 2010 Friday 27 Aug 2010 Friday 03 Sep 2010

♦ End of academic year, peak results period

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1.3 Key dates for each term

Autumn term 2009

1 October 2009 Deadline for issue of all BTEC approvals for programmes with learners following the academic year.

1 November 2009 Registration deadline for the following programmes beginning in September 2009:

BTEC Entry Level Certifi cates (Life Skills and Skills for Working Life)

BTEC Introductory Certifi cates and Diplomas

BTEC First Certifi cates and Diplomas

BTEC National Awards, Certifi cates and Diplomas

BTEC Short Courses (BTEC Professional, Advanced Professional)

BTEC Awards, Certifi cates and Diplomas in WorksSkills

15 November 2009 Registration deadline for the following programmes beginning in September/October 2009:

BTEC Higher National Certifi cates and Diplomas

BTEC Foundation Diploma in Art and Design

1 December 2009 External verifi er allocations notifi ed to centre quality nominees by email for the following programmes:

BTEC First Certifi cates and Diplomas

BTEC National Awards, Certifi cates and Diplomas

15 December 2009 External verifi er allocations notifi ed to centre quality nominees by email for the following programmes:

BTEC Entry Level Certifi cates (Life Skills and Skills for Working Life)

BTEC Introductory Certifi cates and Diplomas

15 December 2009 Appeal deadline for external verifi er allocations for the following programmes:

BTEC First Certifi cates and Diplomas

BTEC National Awards, Certifi cates and Diplomas

15 December 2009 Registration deadline for Higher Education Licence Agreement registrations

Spring term 2010

15 January 2010 External examiner allocations notifi ed to centre quality nominees by email for the following programmes:

BTEC Higher National Certifi cates and Diplomas

Nationally accredited 4—7 BTEC Short Courses (Professional and Advanced Professional)

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Summer term 2010

31 May 2010 Last date for National Standards Sampling (NSS) for the following programmes:

BTEC First Certifi cates and Diplomas

BTEC National Awards, Certifi cates and Diplomas

BTEC Entry Level Certifi cates (Life Skills and Skills for Working Life)

BTEC Introductory Certifi cates and Diplomas

BTEC Awards, Certifi cates and Diplomas in WorkSskills

30 June 2010 Last date for external examiner reports for the following programmes:

BTEC Higher National Certifi cates and Diplomas

Nationally accredited 4—7 BTEC Short Courses

30 June 2010 Last date for return of IVA centre points sheet

______________________________________________________________________________________

5 July 2010 Certifi cate claim deadline for learners following the academic year (especially important for UCAS applicants)

2 Scope of Section 15 of the Information Manual

2.1 BTEC qualifi cations: registration through EdexcelThis part of the manual gives instructions and information on the administrative procedures for learners on programmes leading to Edexcel BTEC qualifi cations. These include:

BTEC Entry Level Certifi cates (Life Skills and Skills for Working Life) BTEC Introductory Certifi cates and Diplomas BTEC First Certifi cates and Diplomas BTEC National Awards, Certifi cates and Diplomas BTEC Higher National Certifi cates and Diplomas BTEC Foundation Diploma (Art & Design) BTEC Short Courses Levels 1-7 BTEC Awards, Certifi cates and Diplomas in WorkSskills

The following areas are covered:

approval registration quality assurance assessment reporting achievement claiming certifi cation.

Nationally accredited BTEC qualifi cations on the National Qualifi cations Framework (NQF), newly accredited BTEC qualifi cations on the Qualifi cations and Credit Framework (QCF) and BTEC qualifi cations that are not nationally accredited are covered. Previous versions of current qualifi cations or qualifi cation types are addressed, even where registrations are no longer permitted.

It is important that copies of this information are made available to the examinations offi cer/ administrator, all coordinators and members of staff responsible for the preparation of documents for enrolment, registration and reporting achievement of BTEC qualifi cations.

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2.2 Notes on validity of section 15 in respect of specifi c BTEC programmes

2.2.1 Licence Agreement: BTEC qualifi cations through higher education institutions

Universities and HEIs operating under the Edexcel Licence Agreement are required to follow the administrative procedures detailed in the Edexcel Licence Agreement Handbook (revised July 2007). The procedures set out in this section do not apply. Please note that registrations for licensed programmes must now be made through Edexcel Online. For help with Edexcel Online, contact 0844 576 0024.

However, the Edexcel Licence Agreement does not apply in the case of registration and reporting of achievement for the following qualifi cations:

BTEC nationally accredited qualifi cations (NQF/QCF) BTEC Foundation Diploma in Art and Design.

For programmes not under the licence centres should follow the procedures set out in this manual.

2.2.2 Modern Apprenticeships

Centres offering BTEC programmes for the Technical Certifi cate component of a Modern Apprenticeship must have approval for the scheme and an MAS number for the group of qualifi cations. Registrations must be submitted using the MAS number; learners should not be registered separately on to each component.

2.2.3 Collaborative Arrangements and Consortia

Where a centre works with other organisations or institutions to deliver programmes this is termed a collaborative arrangement (formerly referred to as a franchise). The lead centre has responsibility for the programme and is the only centre that can make registrations and receive communications about the programme. All collaborative arrangements must be approved by Edexcel prior to the commencement of programmes. The form can be found on the Edexcel website.

Where several centres work together to deliver a programme which is jointly approved to all of them, this is termed a consortium. Each centre within a consortium registers its own learners using the single programme number assigned to all the member centres. However, quality assurance is carried out across the consortium as a whole and centres will be reported on jointly with regard to programme quality and certifi cation sign off.

It is important that copies of this information are made available to the examinations

offi cer/ administrator, all coordinators and members of staff responsible for the preparation of documents for enrolment, registration and the certifi cate claims of BTEC qualifi cations.

2.2.4 Qualifi cation Groups Operating at Level 3 and Level 4

The operation of quality assurance arrangements for BTEC qualifi cations varies according to the level and type of qualifi cation. For nationally accredited qualifi cations up to Level 3, programmes are subject to external verifi cation and for Level 4 and above they are subject to external examination. Where there are directly related suites of qualifi cations that include qualifi cations at both Level 3 and Level 4, a singular method of quality assurance is defi ned. Centres should refer to the specifi cations for further information.

2.2.5 Edexcel Diploma Qualifi cations

Edexcel is seeking to make available a series of smaller BTEC awards to provide specialist learning for those taking Diploma qualifi cations. Arrangements for gaining approval, making registrations and claiming certifi cation will be advised separately.

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2.2.6 BTEC Qualifi cations Delivered through External Testing

Most BTEC qualifi cations are assessed through the centre and the outcomes are then reported to Edexcel. For some qualifi cations, assessment is through external testing. For some tests, centres are required to install appropriate supporting software, such as Promissor. For Security sector programmes it is not possible to use Edexcel Online to gain approval. For some of these qualifi cations it is not possible to make registrations through Edexcel Online. Refer to the specifi cation for further information. For further help in understanding the administration of individual programmes contact Customer Services on 0844 576 0026.

The following are examples of currently available BTEC short course qualifi cations assessed using external testing:

Edexcel Level 3 BTEC Certifi cate in Close Protection Operations Edexcel Level 3 BTEC Certifi cate in Road Freight Logistics Edexcel Level 3 BTEC Award in Providing Financial Advice Edexcel Level 3 BTEC Award in the Delivery of Confl ict Management Training Edexcel Level 3 BTEC Award in Contact Centre Supervisory Skills Edexcel Level 2 BTEC Certifi cate in Transporting Passengers by Bus and Coach Edexcel Level 2 BTEC Award in CCTV Operations (Public Space Surveillance) Edexcel Level 2 BTEC Award in Contact Centre Skills Edexcel Level 2 BTEC Award in Door Supervision Edexcel Level 2 BTEC Award in Security Operations Edexcel Level 2 BTEC Award in Transporting Passengers by Taxi and Private Hire Edexcel Level 2 BTEC Award in Vehicle Immobilisation Edexcel Level 2 BTEC Certifi cate in Ambulance Care Assistance Edexcel Level 1 BTEC Award in Introduction to Contact Centres Edexcel Level 2 BTEC Award in Introducing Team Leading Edexcel Level 2 BTEC Award in Safe Learning in the Workplace Edexcel Level 2 BTEC Award in Community Safety for Accredited Persons Edexcel Level 2 BTEC Certifi cate in Business Administration Edexcel Level 2 BTEC Certifi cate in Customer Service Edexcel Level 2 BTEC Certifi cate in Retailing Edexcel Level 2 BTEC Certifi cate in Children’s Care, Learning and Development Edexcel Level 2 BTEC Certifi cate in Health and Social Care Edexcel Level 3 BTEC Award in Introducing Management Edexcel Level 3 BTEC Certifi cate in Children’s Care, Learning and Development Edexcel Level 3 BTEC Certifi cate in Health and Social Care Edexcel Level 3 BTEC Certifi cate in Customer Service Edexcel Level 3 BTEC Certifi cate in Retailing Edexcel Level 3 BTEC Certifi cate in Business Administration

2.2.7 Grouping of Programmes for External Verifi cation The identifi cation of groups of programmes for verifi cation (particularly for BTEC

Firsts, Nationals and Short Courses at Levels 1-3) is subject to updating each year. Centres should refer to the centre handbooks and guides for each particular qualifi cation. These can be accessed through the Quality Assurance area of the Edexcel website.

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3 Centre and qualifi cation approval

3.1 SummaryCentres are advised that they must gain approval from Edexcel in order to offer BTEC qualifi cations. Approval must be given at the level of the centre and then subsequently for each qualifi cation that a centre wishes to offer. Applications are either submitted through Edexcel Online or using application forms downloaded from the website.

Schools and colleges of further education can gain centre approval and approval for most nationally accredited BTEC qualifi cations through Edexcel Online (www.edexcelonline.com). For non-accredited programmes and some specifi c cases, centres may need to apply using an electronic application form.

Employer and training provider centres seeking centre approval or further qualifi cation approval should apply through an application form, having fi rst completed the Expression of Interest on our website. Centres should contact their Regional Offi ce or the Work Based Learning Team for guidance and support. The contact details for the Work Based Learning Team are:

Telephone: 0207 190 4862/4868/4863Fax: 0207 190 5636 Email: [email protected] Address: Work Based Learning Team 7th fl oor Edexcel One90 High Holborn London WC1V 7BH

Centres wishing to offer nationally accredited BTEC Higher National qualifi cations and Short Courses at nationally accredited Levels 4-7 can only use Edexcel Online to add qualifi cations where they already hold centre approval and qualifi cation approval at the same level or higher and where external verifi cation has taken place.

3.2 Edexcel Online Approvals for Schools and FE

3.2.1 Qualifi cations for which Online approval is available

Schools and FE colleges may apply online for centre approval and for qualifi cation approval for nationally accredited qualifi cations from Entry Level to Level 3, eg for BTEC Introductory, Firsts and National Certifi cates and Diplomas.

Certain qualifi cation exceptions are covered in part 3.2.6. Centres may not apply for approval as a consortium through Edexcel Online.

3.2.2 An overview of BTEC approvals via Edexcel Online

Edexcel Online enables most schools and colleges to apply directly for approval and receive an immediate decision. The process may be used for:

applying for centre approval where a centre has not held BTEC approval before applying to add further programmes at a centre that already holds BTEC approval applying to amend a programme to meet local needs (MLN) by the addition of

standard units from other programmes to the specialist unit choices.

For help, centres can contact Edexcel Customer Services on 0844 576 0026.

3.2.3 Accessing EOL (Edexcel Online)

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If you require access to the online system, please refer to the Edexcel Online section of this manual for further details. You can also contact the Edexcel Online Support Team on 0844 576 0024.

3.2.4 Gaining Centre Approval

a) Declaration of Intent

Centres that have an Edexcel Online account, but have not held approval for any BTEC nationally accredited programmes must fi rst complete a declaration of intent. The Head of centre must agree to questions that relate to the requirement that centres have systems and procedures in place to maintain standards.

Also the centre must supply details of key contacts for future communications.

Step 1 The centre must ensure that they are registered with Edexcel Online.

Step 2 The centre navigates to the BTEC section (see top left of centre box) and completes the online Declaration of Intent; this is available through the ‘Approvals — Schools and FE’ menu (see left-hand navigation). The centre confi rms acceptance of the Declaration of Intent.

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b) Approvals home page

There are links to BTEC Specifi cations and other material (e.g. BOSCA).

By clicking on ‘Qualifi cation Approval’, centres can access the individual qualifi cations they wish to gain approval for. However you must have centre approval before you can gain qualifi cation approval.

c) Centre Approval

The centre user completes the Centre Approval by either selecting ‘Centre Approval’ from the ‘Approvals — Schools and FE’ menu or navigating from the Approvals homepage.

Once the details have been entered, the declaration ticked and the submit button selected, then the screen will refresh and inform you of your successful centre approval. A letter confi rming your centre approval will be sent to your Edexcel Online inbox.

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3.2.5 Gaining approval for specifi c qualifi cations

Qualifi cation selection

The centre is now able to gain qualifi cation approval to run most BTEC Entry, Levels 1, 2 and/or 3 qualifi cations. When each selection is made the system refreshes itself. If the option required is not displayed go back one stage and check selection.

Step 1: Qualifi cation Level Using the drop-down box, select the Qualifi cation type required. Please note that WorkSkills is listed as ‘“Multiple Level Qualifi cation’”.

Step 2: Sector Use the drop-down box. This identifi es all the broad sectors which have accredited qualifi cations. These are often not identical with the title of the specifi c qualifi cations being applied for (eg Food Science 1—3 is the sector for Nutrition Awareness).

Please note that for BTEC Introductory Certifi cate and Diploma in Vocational Studies the sector shown is identifi ed as ‘MISC’.

Step 3: Specifi c Programme The drop-down box will now allow a specifi c title to be selected.

Step 4: Programme Leader information Insert the name of the person responsible for coordinating the selected programme.

Step 5: Predicted Registrations The centre predicts potential registrations for this particular programme.

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Step 6: Read the Qualifi cation Approval Declaration Centres need to agree to adhere to the criteria by checking the appropriate box before accepting.

Step 7: Confi rmation of qualifi cation. After submitting the request, your centre will either be given approval for the qualifi cation or advised that the approval criteria have not been met. If the application is successful, the centre will receive onscreen confi rmation. A centre will also be able to access an online letter confi rming the success of its application in its Edexcel Online mailbox (as indicated below). Centres should then order a programme defi nition by going to the ‘Qualifi cations’ menu and selecting ‘Reports’. Centres will also be given the contact details for the regional offi ce. In the event that approval is not confi rmed the centre should contact Edexcel.

Note: Qualifi cations with an accreditation period that begins in the future (eg from 1 September 2009) will not appear on the Approved Programme Listing screen. Centres can order defi nitions as above if they need to check structures.

3.2.6 Certain exceptions to the standard online process

If a title is not listed in a drop-down box, the centre will need to apply using a BTEC1 form. If in doubt, please contact Customer Services on 0844 576 0026. Excluded qualifi cations include:

BTEC Foundation Diploma in Art and Design

Security Sector Qualifi cations

BTEC Programmes in Children’s Care, Learning and Development

Centres wishing to gain approval for these qualifi cations must complete a full application on Form BTEC1. In the case of CCLD the BTEC1 — EY Supp is also required because licence to practice is conferred on learners who successfully achieve these qualifi cations. This does not apply to the OnScreen tested Technical Certifi cates.

3.2.7 Adding units to meet local needs to approved programmes

Units to meet local needs (MLN) may be added to:

BTEC National Diplomas BTEC National Certifi cates BTEC National Award (2007 specifi cations onwards) BTEC First Diplomas.

Units may only be added to programmes for which centres already have approval. In most cases units may be added using Edexcel Online.

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Rules for MLN at Levels 2 and 3

Before applying to add units centres should ensure that they understand and are able to abide by the rules for use of MLN units.

1 The centre must ensure at all times that amending programmes to meet local needs does not undermine the integrity of the programme and that no learner is disadvantaged or has eligibility for certifi cation affected.

2 Units may be drawn from any sector but the centre must have the resources necessary to deliver any units that it wishes to import. Unit information can be found within the relevant qualifi cation specifi cation, which will state the resources required.

3 Core, Compulsory Specialist units and any units with external assessment cannot be replaced.

4 A centre may add up to 10 units to a programme. However, a learner MUST only undertake the number of MLN units stipulated in the specifi cation.

5 Centres should only add MLN units where there is evidence of the additional units being needed to meet a real and identifi able local need. This may be checked by a programme’s external verifi er.

6 Centres are permitted to add units which are not at the same level. In this case they must be at an adjacent level. However, this cannot be completed online; the centre should complete an MLN1 form accessed by clicking on the ‘apply directly to Edexcel’ link on the MLN screen.

Step 1: Select from list of Approved Programmes This is the fi rst of two drop-down boxes. This shows the list of programmes approved for the centre to which units may be added to MLN.

Step 2: Select from list of Approved Units This lists those Level 2 BTEC First and Level 3 National units already available and approved at the centre, from which to make an electronic selection.

Using the drop-down option, select the qualifi cation level, sector and specifi c programme you wish to gain approval for. After selecting the header fi elds, it is compulsory to state the predicted number of registrations.

After submitting the request, your centre will either be given approval for the MLN units qualifi cation or advised that the approval criteria have not been met. Where approval is granted, an approval letter is generated and sent to your Edexcel Online mailbox.

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3.3 Online Qualifi cation Approval at levels 4-7Centres that already hold centre approval wanting to gain approval for Higher National Certifi cate, Higher National Diploma and nationally accredited Short Course Levels 4—7 should use Edexcel Online. A centre must already have approval for a BTEC qualifi cation at the same level or higher than that being requested.

Step 1 Declaration Under the BTEC tab, choose ‘Approvals — other centres and Higher awards’ and then the sub-menu ‘Online Award Approval’. This will present you with a Declaration which must be agreed before you are able to proceed.

Step 2 Specifi c Programme You will now see the screen shown. You will then be able to choose the qualifi cation level, sector and specifi c programme you wish to apply for.

Step 3 Estimated registrations You will then be required to enter an estimate of the number of registrations you will be making in each of the fi rst two years of the approval.

Step 4 Confi rmation of qualifi cation After submitting the request, your centre will either be given approval for the qualifi cation or advised that the approval criteria have not been met. Where approval is granted, an approval letter is generated and sent to your Edexcel Online mailbox. The letter will contain your programme number, which is to be used when making registrations.

3.4 Consortium ApprovalIf you wish to offer a BTEC programme as part of a consortium the lead centre of the consortium must complete the Consortium Arrangement Approval form and send this in with a copy of the Consortium Contractual Agreement. This must be completed and submitted at least 1 month before you intend to register learners.

Once the consortium application has been agreed, a programme number for the whole consortium will be issued to the lead centre, any registrations made against this programme by any of the member centres of the consortium will be allocated the same External Verifi er.

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4 Notes on issues for registration and certifi cation

Centres should note these important issues in relation to registration and certifi cation. Full details are given in the appropriate parts of this section of the manual.

4.1 Timing of registrationProgrammes that do not follow the academic year

This refers to all programmes that:

enrol learners at any time other than September/October (including roll-on roll-off programmes) are of less than one academic year’s duration.

Learners must be registered within one month of enrolment at the centre. Enrolment at the centre is defi ned as the day on which delivery of the learner’s programme/unit of learning commences.

Programmes that do follow the academic yearFor programmes that follow the academic year, i.e. enrolment in September/October and completion in June/July, the registration deadlines are detailed in part 1.1. Registrations received after the relevant deadline will be subject to late registration fees. (Please see the Fees information issued separately.)Note: Any delay in registration may affect our capacity to provide centres with the assessment and verifi cation opportunities that they require and, therefore, certifi cation may be delayed. Centres should note that this could cause problems for learners going through UCAS in order to enter higher education.

4.2 Registration: topping upFor nationally accredited Introductory, First, National and Higher National qualifi cations, learners may achieve a Certifi cate (or Award) and then top-up to a Diploma (or Certifi cate) provided that both qualifi cations are based on the same specifi cation, ie have the same unit identifi cation codes.

For BTEC Short Courses learners may achieve an Award and top up to a Certifi cate and from a Certifi cate to a Diploma provided that both qualifi cations are based on the same specifi cation, i.e. have the same unit identifi cation codes.

NNQF nationally accredited BTEC First Certifi cate and Diploma programmes have been re-accredited by QCA for delivery from 1 September 2006 and nationally accredited BTEC National Award, Certifi cate and Diploma programmes from 1 September 2007. No registrations are accepted onto earlier versions of these qualifi cations.

However, a learner registered before September 2006 on a First Certifi cate may top-up onto the same specifi cation First Diploma and a learner registered before September 2007 on a National Award or Certifi cate may top-up onto the same specifi cation National Certifi cate or Diploma. Please note that centres must be aware of certifi cation end dates for these qualifi cations given on the website and not make transfers unless learners will be able to complete programmes before the certifi cation deadline.

4.3 Registration: estimating completion datesAt the time of registration, centres are asked to give an estimated completion date. These dates are used in relation to the allocation of external verifi ers and external examiners and the delivery of assessment and verifi cation/external examining for nationally accredited qualifi cations. It is important that centres give an accurate date (within two months) and that any changes are notifi ed.

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4.4 Registration: programme numbersCentres should check that the programme numbers being used for all programmes are those which match the programmes being delivered, particularly if registrations are submitted electronically.

Note: Whilst learners who are incorrectly registered may transfer, this could delay assessment, quality assurance and certifi cation. Centres are advised that it could also affect funding for the programme

4.5 Unique Learner Number (ULN)The ULN is a learner identifi er that is allocated by the government agency MIAP (Managing Information Across Partners) and will be used in the aggregation of learner results across awarding bodies for the new Diplomas.

Edexcel is able to accept the ULN in EDI entry, amendment and registration fi les and on any entries/registrations made through Edexcel Online. The ULN must be provided with any learner registrations or entries where the qualifi cation or unit concerned is to be used as a component of a Diploma, in order that Edexcel can provide the learner’s achievement data to the Diploma Aggregation Service (DAS).

It is not necessary for you to provide the ULN with entries or registrations for learners who are not taking Diplomas.

The ULN is a 10 digit number and it is important that you validate the ULN against MIAP’s central Learner Registration Service (LRS) before submitting the learner’s entry/registration to Edexcel to ensure that the personal details (name, gender and date of birth) being provided with the learner’s entry or registration match exactly the details on the LRS. Edexcel will check the ULN against MIAP LRS and if there is a mismatch, the ULN will not be accepted and a query will be raised with you.

For further information about the ULN, and to fi nd out how to obtain ULNs for your learners, please refer to the MIAP website www.miap.gov.uk.

4.6 Reporting success to Edexcel

There are three methods of reporting results, through Edexcel Online, EDIFACT EDI or by SRF. There are signifi cant advantages in reporting results electronically through Edexcel Online or EDIFACT EDI in terms of the speed we can process the results (see certifi cation deadline table in part 1.2). SRFs will continue to be issued to centres unless requested otherwise.

Centres who intend to report all results electronically and do not wish to continue to be issued with SRFs should email the request to [email protected].

In order to issue certifi cates in August, results should be reported by 5 July for every learner completing at the end of an academic year. Results must be reported for every learner who has achieved unit success and also where the learner has withdrawn from the programme.� No action is required where a learner has not completed any units in year one of a two-year programme.

UCAS SRFs will be issued in May 2010 for learners following BTEC Nationals, Higher Nationals, the BTEC Foundation Diploma in Art and Design, and those who are applying for higher education places.

It is particularly important that, for these learners, results are reported by 5 July, even where the learner is retaking assessments and/or tests, so that HEIs have information on each applicant. A member of centre staff should be available during July/August.

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4.7 Certifi cationCertifi cates are issued weekly. Please refer to part 1 of this section for the schedule of dates. Edexcel reserves the right to withhold certifi cates if fees are outstanding at the time of despatch

Results should only be reported if the centre has clearance to certifi cate through reports from external verifi ers or examiners. Subject to this results must be reported immediately following programme completion so that certifi cates can be issued as soon as possible.

5 Registration policies and procedures

5.1 Responsibility for registrationWhen a centre has enrolled learners onto an approved Edexcel programme or individual units, the learners must then be formally registered with Edexcel so that quality assurance can be implemented, achievement can be reported and awards issued. Responsibility for the registration of learners and for the payment of fees lies with the approved centre.

Centres operating under a collaborative arrangement are not able to register learners directly, and the responsibility lies with the franchising centre to register learners and identify the collaborative centre attended by each learner. (Please refer to the Collaborative Arrangements Vocational Qualifi cations Centre Guidance, available on the Edexcel website.)

Where two or more centres are operating as a consortium, the approved centre within the consortium is responsible for registering learners with Edexcel. (Please refer to Edexcel policy: Consortium Arrangements for BTEC and NVQ Edexcel Qualifi cations, available on the Edexcel website.)

5.2 Timing of registrationFor programmes which do not follow the academic year, learners must be registered within one month of enrolment at the centre. Enrolment is defi ned as the day on which delivery of the learner’s programme/unit commences. For roll-on roll-off and assessment-only programmes, such as BTEC Short Courses, it is acceptable for registrations to be submitted monthly if it assists the centre’s administration. All learners must still be registered within one month of enrolment.

Programmes that follow the academic yearFor programmes that follow the academic year, ie enrolment in September/October and completion in June/July, the following deadlines apply:

1 November 2009

BTEC Entry Level Certifi cates (Life Skills and Skills for Working Life)BTEC Introductory Certifi cates and DiplomasBTEC First Certifi cates and DiplomasBTEC National Awards, Certifi cates and DiplomasBTEC Short Courses at Levels 1-7BTEC Awards, Certifi cates and Diplomas in WorkSkills

15 November 2009

BTEC Higher National Certifi cates and DiplomasBTEC Foundation Diploma in Art and Design

15 December 2009

Higher Education Licence Agreement registrations

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A delay in registration may affect our capacity to provide centres with the assessment and verifi cation/external examining opportunities that they require and, therefore, certifi cation may be delayed or withheld completely. Centres should note that this could cause problems for learners applying through UCAS in order to enter higher education. If you are unclear about the correct time for registrations, please contact Customer Services. (See the Contact Information section of this manual.)

Edexcel reserves the right to:

refuse to accept new registrations from a centre if the centre has a debt outstanding to Edexcel at the due date of submission of new registrations withhold certifi cates if the centre has a debt outstanding to Edexcel at the due date of

issue of certifi cates.

5.3 Periods of registrationsRegistrations must be made before the end date given for qualifi cation approval. Registrations are valid for a period of up to fi ve years or until the issue of certifi cates, whichever is the earlier. A learner may only be certifi cated during the stipulated period. For qualifi cations accredited by QCA the fi nal date is specifi ed as shown on the website.

Where registration lapses by the expiry of the period of registration, the learner must be re-registered on a currently approved programme: the special registration fee may then be payable.

5.4 Deletion of registrationsLearner registrations will not normally be deleted or fees refunded once registrations have been accepted by Edexcel. A new learner cannot replace an individual who has been registered and subsequently left the programme

However, we are aware that there may be learners who drop out from academic year programmes over the Christmas period. Therefore, we will accept all requests for the deletion of learners registered from September 2009, provided we are notifi ed by email to [email protected], before 31 January 2010 and the learners have not completed any units. You must give the learner name and registration number in the email. This provision does not apply to any other learner intake.

5.5 Withdrawal of learners Centres should advise us of all learners who have withdrawn from programmes. Withdrawal can be done through Edexcel Online and can take place throughout the year. Withdrawal does not result in a credit back of any fees.

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6 Registration fees

6.1 Registration feesThe programme on which the learner registers and the type of registration determines the fee due. The registration fee covers learner registration, external verifi cation and certifi cation. (Please see the Fees Information issued separately.)

A late registration fee will be charged where the learner’s registration is received by Edexcel after the registration deadline. (Please see the Fees Information issued separately.)

Note: A learner cannot achieve more than one qualifi cation per registration, unless he/she is registered on an Edexcel-approved Modern Apprenticeship Scheme.

6.2 Special fees for re-registration to complete a non-accredited BTEC qualifi cation

Learners who have gained a qualifi cation will be entitled to re-register to complete one further qualifi cation of the same type/subject area and level, for half the normal fee applicable at the time of re-registration. For example, a student who has completed a BTEC Higher National Certifi cate in Business may re-register for a BTEC Higher National Diploma in Business at half the normal fee.

If a previous registration on a programme leading to a qualifi cation has expired and no qualifi cation has been issued, learners may be re-registered on a currently approved programme of the same type/subject area and level, for half the normal fee applicable at the time of re-registration.

Special registrations are not available through Edexcel Online. As such, any requests for registrations should be put in writing to Service Operations and should include centre number, programme number, enrolment date, learner name, date of birth and completion date.

Note: Special registration is not applicable to BTEC nationally accredited Introductory, First, National or Higher National programmes or BTEC Short Courses.

For BTEC nationally accredited programmes, where learners are topping-up their qualifi cation (eg from a Certifi cate to a Diploma), the top-up should be submitted through Edexcel Online. In such cases, centres will be charged the appropriate top-up fee. (Please see the Fees Information issued separately.)

6.3 Special fees for re-registration to convert individual units to a full qualifi cation (non-accredited)Where a learner has already registered for four or more individual units (three for the BTEC Short Course) and wishes to gain credit towards a full qualifi cation, the fee is half the normal fee of the full qualifi cation applicable at the time of re-registration. For example, this facility is for those learners who wish to work towards a qualifi cation on a unit accumulation basis via a part-time mode of study.

Requests should be put in writing to Service Operations and should include centre number, programme number, enrolment date, learner name, date of birth and completion date.

6.4 Other chargesIn some cases, there is a charge for learners who complete additional units. Details of additional charges are identifi ed in the current price list. (Please see the Fees Information issued separately.)There may also be a charge for transferring between programmes, where the fee charged

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for the original registration is less than the price for the programme to which the learner is transferring.

A late registration fee will be charged where the learner’s registration is received by Edexcel after the registration deadline. (Please see the Fees Information issued separately.)

6.5 InvoicesInvoices are normally issued weekly by the Edexcel Finance Department.

Centres using Edexcel Online to register learners may enter an order number in the ‘Order Number’ box on the ‘Register Students’ screen. This will then be printed on the corresponding registration invoice.

Centres submitting registrations by EDIFACT EDI or through Edexcel Onine are able to use their own numbers to identify learner groups, as appropriate. The reference number may be any alphanumeric reference of up to twelve characters.

Invoices for registrations submitted by JCQ EDI will show the form reference as 13 xxxx (ie Board 13 Edexcel registrations, fi le extension .xxxx).

6.6 Payment of feesFees are due within thirty (30) days of the date of the Edexcel invoice, and should be made payable to Edexcel Ltd and sent to the Edexcel Finance Department. (Please see the Contact Information section of this manual.) Any queries should be raised promptly as failure to pay by due date will affect learner registration and certifi cation.

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7 Methods of registration

7.1 Policy on electronic processing of registrations and amendments to registrations

Edexcel now has available a range of electronic processing methods to enable centres to process registrations and amendments to registrations effi ciently.

We no longer issue form SA2 (BTEC) for amendments to, or transfers of, BTEC registrations. Instructions on submitting amendments electronically are detailed in part 12.

7.2 Making registrations on Edexcel OnlineEdexcel Online is a web-based service designed to make the administration and access of learner information easier and faster. It allows you to make registrations within a few minutes and receive confi rmation of registration numbers immediately. Detailed instructions on how to make registrations online are given in part 8.

7.3 Making registrations by EDI (Electronic Data Interchange)There are two EDI formats, which will support BTEC registrations: EDIFACT and JCQ.

EDIFACT fi le formats may be found under the ‘Requirements for Centre Management Information System (Centre MIS) Providers’ on the Edexcel website (www.edexcel.com).

JCQ fi le formats may be obtained from the JCQ website: www.jcq.org.uk .

EDIFACT

EDIFACT supports the following activities:

provision of centre-specifi c basedata (Edexcel to centre) registration of learners (centre to Edexcel) email acknowledgement of fi le receipt and processing (Edexcel to centre) provision of registration numbers (Edexcel to centre) reporting of learner unit grades (centre to Edexcel) confi rmation of learner unit and overall grades (Edexcel to centre).

JCQJCQ supports the following activities:

provision of centre specifi c basedata (Edexcel to centre) registration of learners (centre to Edexcel) email acknowledgement of fi le receipt and processing (Edexcel to centre) amendments to learner registration data (centre to Edexcel) confi rmation of learner overall grades (Edexcel to centre).

Software suppliers and CMIS packages supporting BTEC EDIFACT EDIPlease refer to the Edexcel website for a list of software packages that support BTEC EDI. Advice on the operation of a software package should be sought from the software provider. Edexcel is unable to provide technical support for specifi c software issues.

Becoming a BTEC EDI centreCentres do not need specifi c approval to operate BTEC EDI with Edexcel. However, there are certain key details that we require to enable Edexcel to provide the full range of EDI services. Please provide Edexcel with the following information: fi le transmission method (AVCO, Redstone, RM or email) to allow Edexcel to send

registration and results acknowledgement fi les the centre EDI contact name, job title, telephone, fax and email address to enable

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Edexcel to email fi le receipt and processing acknowledgements: this should be a generic address where possible (e.g. [email protected]) and sent by email to [email protected].

TestingThere is no need to send a test fi le of data prior to starting to use EDI, Edexcel but when the fi rst fi le is sent, email to [email protected] to advise that you have sent a fi le. We will inspect the fi le and monitor its progress to ensure that there are no formatting or processing problems.

Should you want to send a test fi le prior to starting to use EDI, please contact Edexcel as above for advice on how to proceed.

Sending fi les Files may be sent to Edexcel by these Value Added Networks (VANs):

AVCO ExamService RM SecureNet Redstone webXchange.

Please contact the appropriate VAN for further details of how to send fi les. Alternatively, attach a fi le to an email and send it to:<your centre number>@edidata.edexcel.com .

Note: Please note that this is an automated fi le receipt address and any correspondence will not be replied to and non-EDI formatted fi les will not be processed.

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8 How to make registrations using Edexcel Online

Please see the Edexcel Online section of this manual for details of how to register for the service if you have not already done so. Any persons making registrations must have authority to do so as they will generate fee invoices.

8.1 Choosing header detailsThe ‘Register Candidates’ option can be found in the ‘Candidates’ menu under the BTEC tab. If your centre has more than one sub-site, please ensure that the correct one has been chosen at the top of the page.

This screen allows you to enter information that will apply to a whole group of learners on a particular programme or unit. The individual learner information will be entered in the next stage.

Registration type: Full Award, Individual Units or ApprenticeshipThe ‘Full Award’ option should be selected when the learner will be completing a BTEC programme.

The ‘Individual Units’ option should be selected when the learners are completing particular units from a BTEC programme. This should not be chosen if you intend the learners to meet the requirements of the full programme. See below for how to customise a list of units for individual unit registration.

For special registrations, please see part 6 of this section of the manual.

Select ‘Apprenticeship’ when registering learners for a Modern Apprenticeship Scheme. Modern Apprenticeship Schemes link two or more programmes together as a package and

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you will need to have approval for a Modern Apprenticeship Scheme before you can register learners.

Enrolment dateIt is important that the enrolment date accurately refl ects the time in which the group commenced the Edexcel programme. The enrolment date defi nes the due date for registrations for roll-on roll-off programmes. The default enrolment date will be the start of the current academic year, eg 01/09/2009. If learners are not following the academic year, it is important that this is amended.

By clicking on the ‘Next’ button you are confi rming that the enrolment date accurately refl ects the learner commencement date for purposes of fees, quality assurance and certifi cation.

Order number The order number will be printed on the invoice arising from the registrations. It may be up to twelve characters (alphanumeric) and can be whatever you choose. The order number can be left blank but you should have a system in place to ensure that invoices can be reconciled to the registrations.

Customising list of individual unitsBefore selecting the individual unit to be registered for a learner, that unit must be added to the list of units available. This involves selecting which individual units you will be registering for so that you are not required to choose from all your approved units each time you register.

In order to do this, you will need to select ‘Customised Units’ from the ‘Qualifi cations’ menu on the left-hand side. You will then be presented with a list of all currently approved BTEC units in alphabetical unit title order. By selecting the units required and clicking the ‘Save’ button you will update your profi le of customised units to be used later. Selecting programme or apprenticeshipAfter clicking the ‘Next’ button you will be given the chance to choose which programme or apprenticeship you wish to register the learners on.

You will now be given a drop-down box listing all of your currently approved programmes or apprenticeships. Simply select the required programme or apprenticeship and click ‘Next’ to proceed. If the programme that you wish to register for is not listed, please check your currently approved programmes in the ‘Qualifi cations’ menu.

8.2 Register onlineAfter selecting all of the header records that apply to all learners in a group, you can now enter the individual learner details. Check all details carefully before registrations are processed as the information will be used for the issue of certifi cation.

The register online option allows you to enter all the learner details individually. For large groups of registrations, the register by spreadsheet option may be easier (see part 8.3 in this section of the manual). The information required for each is the same.

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Centre ReferenceThis fi eld allows you to enter a reference for your own administrative convenience. It should be alphanumeric, up to a maximum 10 digits in length.

First NamesThe fi rst name must be no more than 20 characters including spaces.

Last NameThe last name should be no more than 30 characters including spaces.

SexSelect either M for male, or F for female.

Date of BirthThis is a required fi eld and should be in the format: dd/mm/yy (eg 24/11/88).

Planned CompletionThis date must be in the future and should be in the format: dd/mm/yy (eg 01/07/11). Many BTEC programmes have a completion date at the end of 1, 2 or 3 academic years.

It is important that a planned completion date is entered as it is used to allocate an external verifi er/external examiner and arrange verifi cation/review of the programme’s assessment.

ULN (Unique Learner Identifi er)

The learner’s 10 character identifi er as issued by MIAP . This a required fi eld for registrations for components of the Diploma.

LSC (Learning and Skills Council) codeThis should only be used in cases where the learner is funded by an LSC and you would like Edexcel to confi rm the learner’s achievement directly to the LSC.

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The code entered should be for your local LSC and should be three-digit numeric. Where an LSC code is entered, learners’ results will be confi rmed directly to the LSC on a monthly basis. An award list will be produced listing the successful learners for each specifi c LSC, which can also be submitted as confi rmation of learner completion.

LSC code LSC Description

000 National LSC (Cheylesmore House)

001 National LSC (Lockhurst Lane)

002 National LSC (NECS)

010 Derbyshire

020 Nottinghamshire

030 Lincolnshire and Rutland

040 Leicestershire

050 Northamptonshire

060 Norfolk

070 Cambridgeshire

080 Suffolk

090 Bedfordshire and Luton

100 Hertfordshire

110 Essex

120 London North

130 London West

140 London Central

150 London East

160 London South

170 Northumberland

180 Tyne and Wear

190 County Durham

200 Tees Valley

210 Cumbria

220 Lancashire

230 Greater Merseyside

240 Greater Manchester

250 Cheshire and Warrington

260 Milton Keynes, Oxfordshire, Buckinghamshire

270 Berkshire

280 Hampshire and Isle of Wight

290 Surrey

300 Sussex

310 Kent and Medway

320 Devon and Cornwall

330 Somerset

340 Bournemouth, Dorset & Poole

350 West of England

360 Wiltshire and Swindon

370 Gloucestershire

380 Shropshire

390 Staffordshire

400 Black Country

410 Birmingham and Solihull

420 Herefordshire and Worcestershire

430 Coventry and Warwickshire

440 North Yorkshire

450 West Yorkshire

460 South Yorkshire

470 Humberside

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Study ModeChoose the main mode of study from the drop-down list.

Collaborative Partner NumberThis is used for centres in collaborative arrangements and should be left blank unless the learner is attending a franchisee institution approved to offer the programme. This will enable Edexcel to ensure that the appropriate external verifi cation/external examination processes are complete.

CombinationThis is required for BTEC programme registrations only. The drop-down box allows you to choose from the valid combinations and this will usually be A. The programme defi nition should be used to check different combinations; this can be found in the ‘Qualifi cations’ menu under the ‘Reports’ option.

Completing the registrationsOnce you have entered all of the required information for a particular learner you need to click the ‘Add’ button. This will then start a list of learners to be registered at the bottom of the screen. You need to keep adding learner details until you have everyone for that particular course. At this point, you have the option to delete learners from the list using the ‘Del’ button, or to amend any details incorrectly entered using ‘Edit’ next to each learner’s name.

Once you are happy that all information is correct, proceed by clicking the ‘Register’ button. The data will then be checked and, if no problems are found, registration numbers will be displayed on screen. A confi rmation report will be available at this point for you to print or save electronically for your records.

Possible errorsAny errors relating to the data entered will be displayed, with instructions in red advising you of the problem — for instance, invalid characters in the name fi eld or a completion date in the past. You will have an opportunity to correct the data before uploading once more.

The registration will also be rejected if it is found that a registration already exists for that learner and programme. If this is the case, the learner will be highlighted in green and their existing registration number will be displayed. You will need to remove this learner from the list to be registered before continuing. Where a record is highlighted in green you can view the specifi c error message by ‘hovering’ the mouse pointer over the highlighted record.

8.3 Register by spreadsheetThis option allows you to use a standard format of an Excel spreadsheet template which can be downloaded in order to provide learner details. The spreadsheet, once downloaded, can be completed offl ine either by the person who intends to make the registrations, or sent to another member of staff for the updating of learner details to be uploaded at a later date. This might be a more convenient way of registering large numbers of learners on different programmes.The information required for these fi elds — centre reference, fi rst name, last name, date of birth, ULN (components of the Diploma only) completion date, franchise number and LSC code — is the same and in the same format as required above in part 8.2. It is essential that no amendment is made to the column headings in Row 1, that the correct order of the column is maintained and that no columns are deleted.

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SexType either M for male, or F for female.

Study modeIt is important that a letter is entered for the study mode column for all learners. This should be one of the letters shown below and must be in this format.

A Full time B Short full time C Sandwich D Block release E Part-time day F Part-time day/evening G Evening only H Open learning J Distance learning K Open and/or distance learning L Flexible Z Assessment only (APL). This is only available in cases where a learner has approached

you on the basis of a complete portfolio of previous qualifi cations or experience.

CombinationEvery BTEC programme should include a combination which will be a single letter and must be entered in this column. For most programmes, there is only one combination which will be A. If you are unsure, please check the programme defi nition for combinations. This is not required for apprenticeship registrations or individual units.

Individual unit registration by spreadsheetThis spreadsheet has the addition of unit code columns. At least one valid BTEC unit code must be entered for each learner in the unit code column.

Uploading the completed spreadsheetWhen your spreadsheet has been completed and saved, you are ready to upload it to Edexcel. Click on the ‘Browse’ button to locate the fi le on your computer and, once selected, click ‘Upload’.

Once registered, the registration numbers of the learners will be listed in the right-hand column and you will be able to access the confi rmation report for your records if you wish.

Possible errorsAny errors relating to the data entered will be displayed with instructions in red advising you of the problem. Examples might be invalid characters in the name fi eld or a completion date in the past. You will have an opportunity to correct the data before uploading once more. The registration will also be rejected if it is found that a registration already exists for that learner and programme. If this is the case, the learner will be highlighted in green and their existing registration number will be displayed. You will need to remove this learner from the list to be registered before continuing. Where a record is highlighted in green, you can view the specifi c error message by ‘hovering’ the mouse pointer over the highlighted record.

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Possible reasons for errors are:

column added or deleted from spreadsheet column headings deleted or amended (must be in bold font) required fi eld not completed DOB or Completion Date not in DD/MM/YYYY format sex entered as Male or Female, rather then a single letter M or F study mode not entered as a single letter (eg FT for full time) LSC code entered when course is not LSC funded.

8.4 Registrations that cannot be made onlineIf you are unable to make a registration electronically, due to special circumstances, you will need to submit the request in writing to Service Operations, giving all of the required information. Registrations that you will not be able to make online include:

special registration (S type) learners with enrolment date prior to September 2009. Please submit your request

for registration by email to: [email protected] .

9 How to register by EDI

9.1 Downloading BTEC Basedata from Edexcel OnlineNote: if you are a school using a session based software package such as SIMS and wish to send BTEC registrations in the same way that you send other Edexcel entries; you will need JCQ EDI basedata.

There are two EDI formats that support BTEC basedata:

EDIFACT JCQ.

EDIFACT fi le formats were developed by Edexcel to support the electronic administration of our vocational learners. The formats may be used for BTEC, NVQ, programmes and individual units. They support the provision of centre specifi c basedata from Edexcel to centres, learner registration and results reporting from centres to Edexcel as well as the provision of registration number and results confi rmation from Edexcel to centres.

JCQ formats can be used for BTEC programmes; they cannot be used for BTEC individual unit or Modern Apprenticeship registrations.

The formats support learner registration and registration amendments from centres and the provision of overall results from Edexcel.

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Ordering EDIFACT BTEC Basedata

Click on ‘BTEC’.

Click on ‘EDI Basedata’ on the left-hand menu.

Select Basedata Format as ‘EDIFACT’.

Select Approval Year required (basedata will be available for two years approvals. From 1 July, the next two academic years will appear. After this date, you will have to contact Edexcel should you require basedata for old approvals).

Select either ‘All Programmes’ or a single programme number from the drop-down list (you cannot request more than one single programme at a time).

Select either ‘Include Units’ or ‘Exclude Units’. (If you exclude units you will still receive all units attached to each programme. This is a list of all units approved at your centre that you will only need if you are offering stand alone individual units.)

Press ‘Submit’.

If there is a problem with producing basedata for you, an error message will appear asking you to contact Customer Services. They will log your call with the Operations Management team who will investigate the matter and get back to you.

If the request accepts, a basedata fi le will be emailed to your user email address. If you click on the fi le, you will be able to view the basedata or save to fi le.

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Ordering JCQ BTEC Basedata

Click on ‘BTEC’.

Click on ‘EDI Basedata’ on the left-hand menu.

Select Basedata Format as ‘JCQ’.

Select Basedata Subtype as ‘Registrations 9B’ or ‘Results Entry 7B’ (9B should be used for initial registrations in October/November under Board 13 (Edexcel Registrations). 7B should be used for requesting a fi le of your candidates’ overall grades in August under Board 15 (Edexcel Key Skills Assessments).

Select Approval Year required (basedata will be available for two years approvals. From 1 July the next two academic years will appear for registration 9B basedata and the previous and current years for result entry 7B. After this date, you will have to contact Edexcel should you require basedata for old approvals).

Select either ‘All Programmes’ or a single programme number from the drop-down list (you cannot request more than one single programme at a time).

Press ‘Submit’.

If there is a problem with producing basedata for you, an error message will appear asking you to contact Customer Services. They will log your call with the Operations Management team who will investigate the matter and get back to you.

If the request accepts, the basedata will be sent to you as a zipped fi le to your user email address. If you right click on the fi le you will be able to view the basedata or to save to fi le.

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9.2 Registration by EDIFACT EDIEDIFACT basedata

EDIFACT basedata contains details of all programmes and their unit structures and all units approved at your centre. This can be downloaded into your software package to enable you to register learners onto BTEC, ESOL, Entry, ALAN and NVQ programmes and individual units and to report unit grades.

BTEC operates a centre and programme approval process through which centres are allocated their own programme number for each approved course. Therefore, BTEC basedata, unlike that relating to General Qualifi cations, is unique to each individual centre.

You can download your centre’s basedata from Edexcel Online (see part 9.1 of this section of the manual). You can request all BTEC or NVQ programmes or a single BTEC or NVQ programme. When you order all programmes, you will automatically receive all programmes and a list of all units of that qualifi cation type (BTEC or NVQ) approved for your centre.

We are unable to provide basedata for programmes for which you do not have approval. If you are still awaiting approval for one or more programmes, we would suggest that you request basedata for the centre as a whole and, when you receive confi rmation of approvals, request a refresh of your basedata. Please do not delay registration of your main registrations whilst you are awaiting approval. Send an amendment fi le of registrations for those programmes once approval is received.

EDIFACT fi le content

It is essential that EDI registration fi les contain all the required centre, programme and learner details. Programme registrations should include the appropriate header and footer lines, one registration header line per programme and one registration detail line per learner. The registration header must include registration type (R or S), your centre number, programme number, date of learner enrolment and form/order number.

Note: Please note that, if the date of learner enrolment is omitted, the registrations will be initially rejected. We will contact the centre to obtain the ernrolment date. The form/order number will be quoted in the corresponding registration fees invoice and help to identify learners.

UNB+UNOA:2+99999+EDEX+20070111:1609+1182++++++0UNG+REGIST+99999+EDEXCEL+20070111:1609+1182+BT+4:2++UNH+1182+REGIST:5:1++1:FREG1+R+59999+Y1234+20050904+00002++++REG2+143850+ELIZABETH +BURTON+F+19810623+++N++REG2+65596+JANE +CRIGHTON+F+19581027+++N++REG1+R+99999+Y1235+20050904+00001++++REG2+108145+WENDY +MCADAMS+F+19660709+++N++REG2+147734+JOHN+CAFFERTY+M+19541021+++N++UNT+6+1182UNE+1+1182UNZ+1+1182

Individual unit registrations should include the appropriate header and footer lines, one registration header line per programme, one registration detail line per learner and one or more registration module detail lines per learner. The registration header must include registration type (I), your centre number, the date of learner enrolment and form/order number. The programme number fi eld must be blank.

The form/order number will be quoted in the corresponding registration fees invoice and will help to identify learners.

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UNB+UNOA:2+99999+EDEX+20070111:1609+1182++++++0UNG+REGIST+99999+EDEXCEL +20070111:1609+1182+BT+4:2++UNH+1182+REGIST:4:2++1:FREG1+I+99999++20050904+00003++++BUS.DEVREG2+147735+PETER +BROWN+M+19570928+20060701+A+N++REG3+20656VREG3+20657VREG2+143851+FRAN ANN+DEELEY+F+19700811+20060701+A+N++REG3+20656VREG3+20657VREG2+88634+LESLEY +GOLDING+F+19700112+20060701+A+N++REG3+20656VREG3+20657VUNT+10+1182UNE+1+1182UNZ+1+1182

Sending EDIFACT registration fi les (.erd)Edexcel will validate the data:

centre number so that the fi le can be allocated to your EDI account. the format of the content to ensure that it may be processed.

An automated email receipt acknowledgement will be sent to the email address on record. (See ‘Becoming a BTEC EDI centre’ in part 7.3).

The learner details will then be processed through our learner registration process and an automated email processing acknowledgement sent as above.

The processing acknowledgements contain details of any processing rejections generated by our system. This is for information only and does not require any immediate action. Edexcel will review all rejected learner registration data to resolve errors only contacting you if necessary.

Note: Please note that remedial action taken by Edexcel may include reprocessing all or part of a fi le. This will generate a new processing acknowledgement email to the centre.

Receiving EDIFACT registration number fi les (.ern)

Edexcel will send fi les of BTEC registration numbers to centres daily (.ern fi les) for all learners registered by EDI during the previous week. These fi les may be downloaded into your system to record the BTEC registration numbers of your learners.

These fi les will be in version 6 of the EDIFACT fi le format regardless of the format version of the registration fi le received at Edexcel. (Version 6 contains the programme number for the learner. This is essential where learners have multiple registrations.)

Edexcel is only able to send automated .ern fi les for learners registered by EDIFACT EDI.

The .ern fi les will be sent to centres via the transmission record we hold on record for your centre. This does not need to be the same method by which registration (.erd) fi les were sent to Edexcel. For example, if a fi le is sent via a carrier we are able to send the .ern fi le back by email. If you require this, it is important that we have up-to-date EDI contact details for your centre (see above, ‘Sending EDIFACT registration fi les (.erd)’).

Should you require a fi le of registration numbers in .ern format for learners not registered by EDI, this may be obtained from Edexcel Online.

••

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9.3 Registration by JCQ EDI

Obtaining basedata

JCQ basedata contains details of all programmes approved at your centre. This can be downloaded into your software package to enable you to create entries to allow you to register learners onto BTEC, Entry, ALAN and ESOL programmes.

BTEC operates a centre and programme approval process through which centres are allocated their own programme number for each approved course. Therefore, BTEC basedata, unlike that relating to General Qualifi cations, is unique to each individual centre.

We are unable to provide basedata for programmes for which you do not have approval. If you are still awaiting approval for one or more programmes, we would suggest that you request basedata for the centre as a whole and, when you receive confi rmation of approvals, request a refresh of your basedata. Please do not delay registration of your main registrations whilst you are awaiting approval. Send an amendment fi le of registrations for those programmes once approval is received.

You will be able to download your centre’s basedata from Edexcel Online. You can request all BTEC programmes or a single BTEC programme.

Basedata is only issued for programmes that have current year approval. In June each year, the default is changed to the forthcoming academic year.

JCQ fi le content

It is essential that EDI registration fi les contain all the required centre, programme and learner details.

Programme registrations should include the appropriate header and footer lines and one detail line per learner. The detail line must include the learner number and UCI.

E199999139B05SECLIPSEV0510E399999139B05091SK8 5HAE5C999990001TESTER:SIMON NEIL M010687999990001061L X3271AE5C999990002HANDILAND:SAMANTHA ANNE F240788334370000198T W�E5C999990003BROON:LOUISA RUTH F061288999990040060X X3757AE5C999990004JACKSON:DEAN ANTHONY M170789999990037071F X3274AE7999990000006261005E99999900000080000001

The JCQ format does not permit you to report enrolment and completion dates. Therefore, we will default the date of learner enrolment to 1 September 2009 and the completion dates to 31 July 2011 for National and Higher National programmes and 31 July 2010 for all other qualifi cations. When you receive the registration listing, you must check the completion date and notify Edexcel of any changes required; failure to do so may impact on fees and provision of quality assurance.

Sending JCQ entry and amendment fi lesBTEC registration and amendment fi les should be created under Board 13 (Edexcel Registrations and series 9B (September).

Upon receipt of a fi le at Edexcel, your centre number will fi rst be validated to ensure that the fi le can be allocated to your EDI account. Once this has happened, the format of the fi le will be validated to ensure that the content may be processed. Then, when this has taken place, an automated email receipt acknowledgement will be sent to the email address we hold on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 7.3 of this section of the manual).

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After successful validation of a fi le the learner details will then be processed through our internal learner registration programme. Once this has happened, an automated email processing acknowledgement will be sent as described above.

10 Confi rmation and outcomes of registration

10.1 OutcomesThe outcome of registration is the creation of an individual record for each learner on an approved programme or unit at a specifi ed centre. A specifi c learner registration number for the qualifi cation is allocated and the award will be identifi ed by this number. The code numbers listed below are essential components of registration and subsequent award issue, and are represented as:

Field Code required

Learner registration number One or two letters indicating year of registration + six or fi ve digits

Centre number Five digits (National Centre Number register)

Note: Additional suffi xes to the centre number can be allocated on request to ensure that learner documentation is sent to a specifi c centre site.

BTEC programme number One or two letters + up to four digits

BTEC individual module number Up to fi ve digits + one letter

Modern Apprenticeship Scheme number MAS + fi ve digits

If incorrect, or insuffi cient, registration information has been submitted, we will issue a query through Edexcel Online requesting additional information. The query will specify the problem and request additional data in order that the registration may be completed. We will send an email to your designated examinations offi cer registered for Edexcel Online, to advise that a query has been issued and requires a response. To check if you are registered as the examinations offi cer for your centre, click on the ‘Edit my Account’ link in the Edexcel Online homepage.

We would ask that you keep track of the queries outstanding with your centre by checking the ‘Form Queries’ option in the BTEC section of Edexcel Online. When you have the answer to a query, please reply to the query online to ensure the speediest possible resolution to the query.

Registration leads to the production of a list of learners with the registration numbers allocated. Listings will normally be produced weekly and will include all registrations processed that week.

10.2 Registration listsRegistration lists report back all registration details, with the registration number, and the centre reference number where submitted. Learners are listed by registration number within a programme in the order in which they were entered.

Centres are requested to verify details, especially the learner names, and report any necessary changes to Service Operations as soon as possible. Learners not listed will normally have already been queried by Edexcel or will appear in a subsequent listing.

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10.3 EDI centresFor centres registering by EDIFACT EDI, registration numbers will be transmitted to the centre electronically in order to update the appropriate systems.

11 Transfers and changes to registration details

11.1 Transfer of a learner between programmes at the same centreIf, for any reason, the amendment cannot be made electronically then the request should be put in writing to Service Operations with all details including centre number, registration number, name and details of the required amendment.

A learner registration may be transferred between programmes approved at the centre with current open validity for registrations; the centre must ensure that the learner is able to complete the programme on to which transfer is made, eg that arrangements for accreditation of learning on the existing programme can be made.

No extra fee is payable, provided that the fee due for the new programme at the time of transfer is the same as, or less than, what was invoiced for the original registration. Where the fee for the programme the learner is transferring to is higher than that invoiced for on the original registration, an invoice will be issued for the difference between the two fees.

A learner may not be transferred from an individual unit registration to a full programme (qualifi cation). In such cases, the learner must be re-registered for a full programme. The special registration fee may be applicable.

All success reported under one registration number will appear on the fi nal, cumulative Notifi cation of Performance or Certifi cate of Unit Credit. If the learner does not wish the earlier unit success to appear on fi nal award documentation, then it will be necessary for him/her to re-register.

Learners may not be transferred from or to a Modern Apprenticeship Scheme and should be re-registered if they change to a new programme or scheme.

11.2 Transfer of a learner to another centreA learner may transfer to another centre; normally if a registration is being transferred it is to enable the learner to complete the same programme of study.

For a certifi cate to be awarded, the learner’s record at the fi nal centre will have to show all the completed units required. Prior to transfer, it is therefore essential that a comparison of units previously undertaken is made against the requirement of the new programme. The learner must be advised of any additional work that may be needed to meet in full the requirements of the receiving centre. The initial centre must ensure both that all completed units are notifi ed to Edexcel and that all the relevant assessment records are passed to the receiving centre. The receiving centre should not process the transfer until the all previous achievement has been notifi ed.

11.3 Transfer of a learner from a centre operating under the Licence AgreementLearners registered under the Edexcel Licence Agreement at a HE centre may not be transferred to a non-licenced programme. The learner must be registered in the normal way. Edexcel will issue a credit note for the fees charged for this registration, providing you email [email protected] with learner name, registration number, date of birth, centre number, programme number and enrolment date. Edexcel does not hold achievement

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information for such learners; receiving centres should ask for the assessment records from the registration centre and use accreditation of prior learning (APL) where applicable.

11.4 Programmes that are not compatibleIf a learner, having completed some units of the programme for which he/she was initially registered, wishes to commence an entirely new and different programme where units already completed may not be compatible with the new programme, then the transfer of the original registration may not be applicable.

12 Electronic amendments and transfers

12.1 Scope of electronic amendmentsCentres are able to amend stored learner data through Edexcel Online or JCQ EDI.

Edexcel Online and JCQ EDI support amendments to:

learner fi rst names, last name, date of birth and gender learner ULN programme transfer within your centre.

Edexcel Online only supports amendments to:

planned completion dates transfers from other centres top-up on nationally accredited Introductory, First, National and HN programmes.

12.2 Changing learner’s name, date of birth and other details on Edexcel Online

It is important that any errors made at the time of registration are corrected as soon as possible and before claiming certifi cation. The learner details screen can be found through the ‘Candidates’ menu, using either the ‘Search by Candidate’ option, or ‘Search by Course’.

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By clicking the ‘Edit’ button at the bottom of the screen you are able to amend all of the fi elds shown above, as well as being able to claim certifi cation (see part 17).

In order to prevent the substitution of one learner for another, you are able to change only one of the fi rst name, last name or date of birth fi elds and only once. Any further amendments should be emailed to [email protected]. Once saved, any certifi cates issued will refl ect the details on our database.

12.3 Transferring within the same centreChanges to the registered programme for a learner should be made on the screen, shown on the next page, found in the ‘Candidates’ menu of the BTEC section. Transfers of registration between programmes of the same qualifi cation type and level are made at no extra charge.

This screen allows you to transfer groups of learners or individual learners to any of your currently approved BTEC programmes. A new completion date is mandatory when transferring. Groups of 20 or more learners will be transferred overnight; all other transfers should take place almost immediately.

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If you are unable to transfer a particular learner, please contact Edexcel and we will advise if the transfer needs to be submitted in writing.

12.4 Transferring from a different centreThe screen can be found in the ‘Candidates’ menu.

To validate the identity of a learner transferring into your centre, you will need to provide their date of birth along with their registration number. If these details match, you will be able to choose which currently approved BTEC programme you wish the learner to be transferred to.

It is important to ensure that any units completed by the previous centre are reported prior to the transfer. The receiving centre should confi rm the units completed by the learner by viewing the unit certifi cate gained at the previous centre.

When you have selected the programme to be transferred to, click on ‘Transfer’ to process the transaction.

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12.5 Procedures for topping up on BTEC nationally accredited qualifi cations and Short Courses

A learner who has been awarded an nationally accredited qualifi cation and who wants to extend the qualifi cation to a larger qualifi cation in the same subject at the same level and against the same specifi cation, can have a top-up registration to the new qualifi cation. Learners may be topped up as follows:

Learner’s original registered qualifi cation: Learner may top-up to:BTEC Introductory Certifi cate BTEC Introductory DiplomaBTEC First Certifi cate BTEC First DiplomaBTEC National Award BTEC National Certifi cate or DiplomaBTEC National Certifi cate BTEC National DiplomaBTEC Higher National Certifi cate BTEC Higher National DiplomaBTEC Short Course Award BTEC Short Course Certifi cateBTEC Short Course Certifi cate BTEC Short Course Diploma

All top-up registrations should be made on Edexcel Online by 1 November 2009 for learners enrolling in September, or within one month of the enrolment date for learners enrolling in November or later. The learner will retain the registration number allocated to the original programme registration.

Do not re-register the learner for the new programme. Re-registering will create a new registration number for the learner which, in turn, will cause problems on programme completion and delays in certifi cation.

12.6 EDI transfers and amendmentsEDIFACT formats

EDIFACT EDI formats do not currently support amendments to learner registration details. Amendments to registrations may be made through Edexcel Online, as detailed above.

JCQ formats

Amendments may be submitted to learner registration details through JCQ EDI. EDI amendments may be made to:

fi rst name and surname date of birth programme code (transfer) within your centre ULN deletion of learners (up to 31 January) withdrawal of learners (after 31 January).

Amendments to learner numbers and UCIs should be submitted by email to [email protected].

Transfers from other centres should be made via Edexcel Online.

Note if you register a learner by Edexcel Online for a particular subject and then send an amendment fi le for the learner that does not include the subject code. JCQ EDI formats will delete the subject registration. It is essential that were you make registrations via Edexcel Online; you also update your system with the appropriate entry for the learner.

For details on submitting JCQ EDI amendment fi les, please see part 9.3 of this section.

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13 Completion of quality assurance processes required for certifi cation

13.1 SummaryBTEC programmes are operated on the basis that appropriate quality checks are completed prior to certifi cation. Certifi cation claims should only be made when centres have authority to do so. Claims made without authority may be blocked from processing or may lead to subsequent action by Edexcel.

For a newly approved programme/unit which has not yet been subject to quality assurance, learners’ assessment results should not be submitted to Edexcel until the quality assurance method has been applied, a report of outcomes provided and authorisation to certifi cation given.

Thereafter, the centre’s authority to certifi cate will be reviewed regularly and at least once in every year. It is not necessary for each individual learner’s achievement to be sampled, and results may be reported as necessary on completion of the programme.

Edexcel reserves the right to suspend certifi cation by a centre on a programme/unit if there are any concerns over standards, quality assurance or centre management.

The arrangements for individual programmes are given below. All the guidance documents for these programmes can be accessed through the Quality Assurance area of the Edexcel website.

Language of Assessment

The language of assessment is English unless agreed with Edexcel. Centres are required to notify Edexcel Customer Services by the end of September 2009 where a programme is delivered solely in the medium of Welsh. Edexcel will endeavour to provide external verifi cation in Welsh for programmes notifi ed by this date.

13.2 BTEC s qualifi cations Levels 2/3 and Levels 1—3 Short CoursesCentre Risk Assessment (CRA)

This process addresses quality and risk across all the BTEC programmes of this type offered by a centre. Full details of the Centre Risk Assessment process are provided through guides to centres that are in the Quality Assurance area of the Edexcel website.

The outcomes of CRA are reported against criteria. If there are serious risks that require immediate corrective action, certifi cation will be prevented.

National Standards Sampling (NSS)

NSS is the method by which Edexcel monitors the maintenance of national standards for all units on all nationally accredited BTEC 2/3 programmes and Level 1 Short Courses in every centre. The external verifi cation of assessment decisions ensures that samples are consistent with the requirement of national standards. Full details of the NSS process are given in the handbooks and guides and are in the Quality Assurance area of the Edexcel website. Sampling is organised by grouping related programmes, identifi ed by a Programme Area Title (PAT). The outcome decision relates to all the programmes in the PAT regardless of the programmes that have been sampled. The outcome of NSS is a report showing Release or Block to certifi cation. If a ‘Block’ is given, then no certifi cates should be claimed until the action plan has been addressed and a subsequent ‘Release’ report issued.

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13.3 Entry Level BTEC Certifi cates in Skills for Working Life and Life Skills Quality assurance for Entry level qualifi cations is through external verifi cation and undertaking Edexcel-devised assignments. Full details of the process are given in the handbook in the Quality Assurance area of the Edexcel website.

Core units are assessed using Edexcel-devised assignments available on the Edexcel website. These were fi rst issued in October 2004 and are valid for the duration of accreditation. All other units are assessed using internally set assignments. The external verifi er will verify a sample of assessed work either through postal sampling or by making a centre visit.

After the external verifi er has confi rmed that national standards have been met, the centre may claim certifi cation. The learner will be issued with a certifi cate at Entry Level 1, 2 or 3, depending on the unit achievement reported.

13.4 BTEC Introductory Certifi cates and Diplomas (Level 1)Quality assurance for BTEC Introductory qualifi cations is through external verifi cation and undertaking projects to an Edexcel-defi ned brief.

Units 1 and 2, except for Art, Design and Media, use the Edexcel project briefs found in the relevant Qualifi cation area of the Edexcel website. All other units are assessed by internally set assignments. Full details of the process are provided in the handbook in the Quality Assurance area of the Edexcel website.

An external verifi er will verify a sample of assessed work to ensure that national standards are being met. After the external verifi er has confi rmed that national standards have been met, the centre may claim certifi cation.

13.5 BTEC Foundation Diploma in Art and DesignQuality assurance for the BTEC Foundation Diploma in Art and Design is through an external examination visit, of fi nal standard major project work towards the end of the programme. Full details of the external examination process are given in the handbook in the Quality Assurance area of the Edexcel website.

13.6 BTEC Higher Nationals Certifi cates and Diplomas and Nationally Accredited Short Courses Levels 4-7Quality assurance for these qualifi cations in directly funded FE colleges, private colleges and employer centres is through external examination.

It is a requirement that an external examiner will review all programmes with current registrations; normally this requires two visits per cohort. When a centre has an external examiner report which includes a ‘Yes’ to certifi cation, certifi cates can then be claimed. The same reporting protocols apply to Level 4-7 Short Courses, but there may be more fl exibility in terms of visit arrangements.

The report form used by external examiners has been designed to articulate with the relevant sections of the QAA Code of Practice for the Assurance of Academic Quality and Standards in Higher Education.

Full details of the external examiner process are given in the handbook and specialist papers that can be accessed through the Quality Assurance area of the Edexcel website.

Note: Please note that there are separate quality assurance arrangements in the case of Higher Nationals run as institutional awards by Licensed HEIs; please refer to the Licence Agreement page on the Edexcel website.

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13.7 Other BTEC Programmes

This includes qualifi cations approved prior to 2003 and those on the customised qualifi cation framework (CQF). Programmes are subject to external verifi cation. Full details are given in the customised handbooks on the Edexcel website The outcome of external verifi cation is a report and if this indicates a ‘Yes’, then certifi cation may be claimed.

14 Access to assessment

Equality of opportunity is a tenet of our provision and is embedded in Edexcel’s policies. There should be no artifi cial barriers to Edexcel BTEC programmes and awards, which must:

be available to everyone who can achieve the required standard be free from barriers which restrict access to progression be free from overt or covert discriminatory practices with regard to age, colour, creed, ethnic

origin, gender, nationality, marital status, race or sexual orientation pay due regard to the particular requirements of individuals, including those who may require

support to undertake learning and assessment be free from any restrictions that are not legally required.

Edexcel’s policy on access arrangements and special considerations for BTEC and Edexcel NVQ qualifi cations aims to enhance access to the qualifi cations for learners with disabilities and other diffi culties (as defi ned by the Disability and Discrimination Act 1995 and the Amendments to the Act), without compromising the assessment of skills, knowledge, understanding or competence being measured.

Further details are given in the policy document: AA & SC 04-011 Access Arrangements and Special Considerations for BTEC and Edexcel NVQ Qualifi cations, which is on the Edexcel website.

Note: The Disability Rights Commission (DRC) closed on 28 September 2007. Its responsibility for helping resolve civil rights for disabled people has transferred to the new Equality and Human Rights Commission which opened for business in October 2007. For further information visit http://www.equalityhumanrights.com/ .

15 Recognition of previous achievement

15.1 Accreditation of prior learning and/or experience (APL)Centres may make claims for some units or a whole qualifi cation based on accreditation of prior learning and/or experience. Please refer to the document APL 06/14 Policy on Accreditation of Prior Learning which is on the Edexcel website.

15.2 Claiming a qualifi cation by APLAfter accepting a learner for assessment of previous achievements, registration should be made in the usual way and APL achievement may then be reported and graded where appropriate, using normal methods.

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16 BTEC qualifi cations assessed by computer-based or on-screen test

16.1 Centre and qualifi cation approvalPlease refer to part 3 of this BTEC section of the Information Manual for guidance on gaining approval. Once the qualifi cation is approved, we will contact you to arrange for the installation of our computer-based test software on your IT network.

16.2 Learner registrationBefore they can take a test, learners must be registered with Edexcel for the relevant qualifi cation. Please refer to parts 4-9 of this BTEC section of the Information Manual for details of our learner registration policies and procedures.

16.3 Test BookingFor further details on onscreen testing, how to become an onscreen test centre and how to make test bookings, please visit http://www.edexcel.com/iwantto/Pages/default.aspx and enter onscreen.

16.4 Test ResultsFor further details on onscreen testing, how to become an onscreen test centre and how to access test results, please visit http://www.edexcel.com/iwantto/Pages/default.aspx and enter onscreen.

16.5 Certifi cationComputer-based tested qualifi cations may either be assessed entirely by a test(s) or by a mix of tests and portfolio of evidence.

Where the qualifi cation is assessed entirely by one or more computer based tests, there is no need for you to claim the certifi cate. We will issue the certifi cate as soon as the learner is eligible. However, where the qualifi cation is also assessed by an externally verifi ed portfolio of evidence, you need to report achievement for the units concerned and claim the certifi cate for the learner. Please refer to parts 17 and 18 of this BTEC section of the Information Manual for guidance.

17 Reporting learner achievement

17.1 ResponsibilityCentres are responsible for reporting on the achievement in internally assessed units for each learner, in respect of assessment requirements for the programme for which he/she is registered, and for reporting success to Edexcel for interim or fi nal certifi cation. Where programmes also include external assessment, the centre must ensure that appropriate assessments have been completed and that Edexcel has data related to achievement. Refer to qualifi cation specifi cations for further guidance.

Note: From January 2006 to meet QCA levels and requirements, the certifi cation of the original NQF Level 4/5 BTEC qualifi cations is at the level determined by the revised NQF (National Qualifi cations Framework). A Higher National Diploma which was set at Level 4 in the original NQF is now certifi cated as an Edexcel Level 5 BTEC Higher National Diploma.

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17.2 Unit gradesCentres must report unit grades accurately according to the available assessment records for the programme and in accordance with the grading rules stipulated.

BTEC First, National and Higher National qualifi cation units are always subject to grading. Achievement should be reported using the grades below:

P — PassM — Merit D — Distinction.

Nationally accredited BTEC First and National qualifi cations units completed but not achieved should be reported as U, ie Unclassifi ed.

BTEC Introductory qualifi cations have units that are graded (P, M and D as above) and units that are achieved at Pass grade only. Please refer to specifi cations for each programme for full details. Centres must ensure that they correctly report grades according to the status of the unit.

BTEC Entry qualifi cation units may be achieved at E3, E2 and (for some units) E1. The achievement is indicated by entering Pass against the correct unit code.

BTEC Foundation Diploma in Art and Design – has units that are pass only.

BTEC Short Courses may permit the awarding of grades (P, M and D as before), but often contain units that are achieved at Pass grade only. Please refer to specifi cations for each programme for full details. Centres must ensure that they correctly report grades according to the status of the unit.

17.3 Overall qualifi cation grades of achievementThe following qualifi cations have overall grades based on reported unit achievement of Pass, Merit and Distinction grades:

BTEC Introductory Certifi cates and Diplomas BTEC First Awards, Certifi cates and Diplomas BTEC National, Awards, Certifi cates and Diplomas BTEC Foundation Diploma in Art and Design.

The overall grade is calculated automatically from the unit grades reported; the centre does not need to supply further information. Full details on how grades are determined are given in the specifi cation for each programme. Centres should note:

For the BTEC Foundation Diploma in Art and Design there is an overall grade of Pass, Merit or Distinction, related to performance in the fi nal project units. For BTEC First Certifi cates and Diplomas, for programmes fi rst approved for September

2006, there is a single grade for each learner including the grade of Distinction* (ie Pass, Merit, Distinction and Distinction*). Previously the highest grade was Distinction. For BTEC National Certifi cates, there are two overall grades for each learner (eg Merit,

Pass). For BTEC National Diplomas, there are three overall grades for each learner (eg Merit,

Merit, Distinction).

For BTEC Entry Level Certifi cates, the overall level of attainment is shown as Entry 1, Entry 2 or Entry 3.

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The following qualifi cations have no overall qualifi cation grade:

BTEC Higher National Certifi cates and Diplomas BTEC Short-Courses Non-accredited BTEC First and National qualifi cations.

17.4 Confi rmation of learner achievement It is essential that all centres issue annual reports of success to learners.

Centre reporting grades by EDI should issue their own centre report for learners, and centres using Edexcel Online should issue the learners with the Edexcel Online report provided. It is most important that centres accept the responsibility to provide learners with evidence of portfolio achievement in order that they have early offi cial evidence of their success.

17.5 Reporting success to UCASIn March/April each year, we undertake a matching exercise with UCAS to identify those BTEC National, Higher National and Foundation Studies Art and Design learners who have applied to UCAS for entry to higher education courses. During July/August, we will provide UCAS with confi rmation of these matched learners’ achievements so that HEIs have the latest information on each applicant.

Where a match cannot be found, because of incorrect spellings or incorrect centre details, UCAS will write to the learners to ask them to send evidence directly to HEIs. We will still be able to inform UCAS of these learners’ achievements if you notify Edexcel of the learner’s UCAS applicant number by email to [email protected]. This number must be in the following format:09–123–345–6.

Red UCAS SRFs will be issued in May 2010 for matched learners following BTEC Nationals, Higher Nationals and Foundations Studies Art and Design and who are applying for higher education places.

It is important that results are reported for these learners to Edexcel by 5 July. Where we receive results after 5 July and before 31 July, we make every effort to confi rm the results to UCAS.

If you are reporting results to Edexcel by EDIFACT EDI, we would ask that you send a fi le earlier in July for your UCAS learners only, rather than include these learners in a larger fi le later in July.

Note: We are concerned by the number of problems which arise where centres do not have staff available in August to resolve queries from universities concerning results. Centres should ensure that staff are available to respond to university queries during this period and that results are sent to Edexcel as soon as possible.

17.6 Submission of results to EdexcelInterim reportingResults must be returned or results reported via EDI or Edexcel Online for every learner registered who has achieved unit success, and also where he/she has withdrawn from the programme. If he/she has already been deleted, then you do not need to report. Success on units should only be reported where all requirements have been met. All units are reported on the SRF, by EDI or through Edexcel Online.

Note: In all cases of interim reporting, a Notifi cation of Performance will be produced automatically.

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Dates for grade reportingIn order to ensure that certifi cation is received as soon as possible, please refer to part 1.2 in this section for the required dates.

For learners completing programmes at the end of the academic year, if results reach Edexcel by 5 July, awards will be issued by 15 August unless there is an external verifi cation certifi cate block or a query over the result. Certifi cates and results for success reported after 5 July may be issued after 15 August.

Note: Results should be submitted immediately at the end of each summer term, as the results submitted to Edexcel are used, in some instances, to create the performance and league tables. If you have not reported early enough to enable Edexcel to process the results by the end of July, you may fi nd your outcomes are incorrect in these tables.

17.7 Methods of reportingThere are two methods of reporting success:

EDIFACT EDI transmission Edexcel Online.

Note: JCQ format EDI does not currently support the reporting of unit outcomes and award claims from centres to Edexcel. Centres using this format should use Edexcel Online or the student report form (SRF) to report success to Edexcel. (For example, SIMS uses JCQ format EDI.)

For information on how to receive a fi le of electronic results in an EDI format in August, see part 18.3 of this section of this manual.

EDI transmission Learners’ unit results, certifi cate claims and withdrawals may be transmitted electronically by EDI. (See part 18.3 of this section.)

Edexcel OnlineCentres may report results, claim certifi cation and notify withdrawals through Edexcel Online. (See the Edexcel Online section of this manual for how to gain access to Edexcel Online.)

18 Claiming interim and full certifi cation via Edexcel Online (EOL) or EDI

18.1 Claiming via Edexcel OnlineEdexcel Online is a web-based service designed to make the administration of learner information easier, faster and more accessible. The information that we require you to submit when reporting unit grades and/or making award claims online is the same as that which used to be required when completing SRFs.

Choosing header details

If your centre has sub-sites, please ensure that the correct site has been chosen at the top of the screen. You will need to select the ‘BTEC’ tab from the qualifi cation bar, followed by the ‘Candidates’ menu and ‘Search by Course’ option.

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You then need to use the drop-down menus to determine the qualifi cation type and the session before clicking on the ‘Next’ box.

This will result in a new window appearing, listing the programme numbers and number of learners registered for the qualifi cation type and session selected. By clicking on the ‘Candidates’ link on the right for the programme the learners are currently registered on, a list will appear showing all candidates for the specifi ed criteria in numerical order of registration number.

To change registration details, please refer to part 11 of this section of this manual. Locate the student for whom you want to claim and then click the ‘Details’ link on the right. This will show the individual learner’s details. Scroll down and click on the ‘Edit’ button, which then allows you to indicate the ‘Claim Type’.

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Claim typeFull AwardWhere the learner has completed all required units and is eligible for the full qualifi cation, as shown in the ‘Programme/Unit Details’ fi eld, click the ‘Full Award’ button. When the student is eligible for the full award it is important that a full award claim is made or a fi nal qualifi cation will not be issued.

For learners registered on individual units, only click the ‘Full Award’ button if the learner has completed all the units.

Please ensure that all the requirements for the programme have been satisfactorily completed and all units are showing onscreen, as this entry closes the registration.

InterimWhere a learner has not completed all the requirements for the qualifi cation appearing in the ‘Programme/Unit Details’ fi eld, click the ‘Interim’ button.

Note: A Notifi cation of Performance will be issued for learners on full programmes when an interim claim is made, the registration remains open.

For learners registered on individual units, click the ‘Interim’ button if the learner has not completed all the units registered for and you wish to keep the registration open so that the remaining units may be completed at a future date.

Note: A Certifi cate of Unit Achievement will be issued automatically for all learners registered for individual units.

FallbackFallback permits the issue of a Certifi cate of Achievement for learners not intending to complete the programme. Clicking this button closes the learner’s registration, so you should only do so where you are sure that the learner will not be returning to continue the qualifi cation at a later date. The Certifi cate of Unit Achievement does not state the title of the original programme of registration: it lists units that have been successfully achieved.

Where a centre is able to certifi cate a learner for an alternative complete qualifi cation, eg a National Certifi cate instead of a National Diploma, this must be achieved by transferring the learner to the appropriate programme.

Note: A Notifi cation of Performance can be issued (see above) without closing the registration and is accepted as evidence of achievement in most circumstances.

Additional UnitsBTEC units approved for the centre, but outside the registered combination, may be added and will be certifi ed on the Notifi cation of Performance. Enter the unit code (up to fi ve digits followed by a letter) into the ’Add Unit’ fi eld.

Additional units undertaken on an individual unit registration (I type) may be added and a fee will be charged and an invoice issued.

Unit gradesGrades should not be reported until all the assessment necessary for individual units has been completed.

Units that have already been achieved at your centre may be upgraded where the fi nal award or fallback has not been issued. To delete or downgrade a unit grade, see part 19 in this section, ‘Amendments to reported success’.

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P — Pass (completed/achieved where units are not graded; for example, Professional Development, Entry Level, etc)M — MeritD — DistinctionU — Unclassifi ed, ie completed but not achieved (reported for nationally accredited First and National qualifi cations only)T — Transferred credit

We do not collect failed or referred grades, other than as specifi ed above.

The T (transferred credit) is for use only where a learner has transferred registration to a new programme at the same or another centre, previous success on these units has already been reported, and you have received a transfer performance report confi rming the grades. In all other instances, credit for previous learner achievement must be assessed by APL.

No request for transfer may be submitted to Edexcel until the initial centre has notifi ed Edexcel of all success achieved to date (normally the learner(s) will be able to produce the Notifi cation of Performance). Unless success has been reported, achievement at the initial centre will not be included in the fi nal award.

Success reported by the initial centre will remain in the learner’s record and be reported on a transfer performance report when the transfer of the learner is requested. This success will show on the fi nal Notifi cation of Performance, together with the units achieved at the receiving centre. The whole document will therefore show units completed at each centre, which together have led to a recommendation for an award against an approved programme.

When recommending a fi nal award for a learner who has transferred, it is necessary to review performance at the previous centre and credit equivalent units at your centre. Indicate with a T against your approved units to show which equivalent units have already been completed.

The use of this transferred credit will allow learner eligibility to be checked against your approved programme and the correct units achieved by the learner to be printed on the certifi cate.

Problem transfers

For non-accredited programmes, exceptionally, if there are problems with a transfer, but both you and the external verifi er/external examiner are certain that the learner has met the general requirements for your approved programme, then an award may be claimed.

However, in order to prevent administration problems, centres are required to identify all necessary units of your programme either by a grade, ie Pass, Merit or Distinction, or T (transferred credit), to ensure that the recommendation shows that all essential units of your programme have been completed and that the total unit requirements have been met.

This T facility allows you to deal with exceptions at your discretion and prevents undue delay to fi nal certifi cation. For example, if a learner has completed optional units at a previous centre that are not approved on your programme, T can be entered against any one of your optional units to indicate that the learner has met the required total unit value of your approved programme.

The optional unit, as already reported by the previous centre, will show correctly on the Notifi cation of Performance. Modules credited as T will not be printed on the Notifi cation of Performance as being completed at your centre and, thus, fi nal certifi cation will be correct. The T grade can also be used to indicate eligibility if there is a problem with the compatibility of units for learners transferring between programmes at the same centre.

For BTEC nationally accredited programmes, the T grade may be used to indicate that the

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same, standard unit was completed at a previous centre prior to transfer. We will then check that the unit was reported to Edexcel by the previous centre.Award date boxEnter MM/YY (eg 07/09), to indicate the month that the programme was fully completed.

The date entered, which may be any month/year within the last six months, will appear on the fi nal award document. For advice on submitting claims where the award date is more than six months in the past, email the details to [email protected].

Awards may not be post-dated. We will print the award issue date as well as the award date on the fi nal certifi cate.

Overall result

For the BTEC Foundation Diploma in Art and Design, the overall grade from the confi rmatory stage should be entered as one of the following:

P — PassM — Merit D — Distinction.

Note: For nationally accredited qualifi cations with overall grades, the overall grade is calculated by Edexcel, based on internally and externally assessed units, and nothing should be entered in this box.

Withdraw/Reinstate Candidate

Click on this box where the learner has withdrawn from the programme, or where he/she is transferring to another centre and an updated SRF is not required. This puts the registration on hold, but does not permanently close the registration. A Notifi cation of Performance will be issued for any units reported.

Declaration (for centre)

When claiming certifi cation online, the user is declaring that he/she attests to the authenticity of the information and claims submitted and confi rms that he/she is authorised to make the statement on behalf of the centre.

18.2 Timing of success reportingData should be submitted for all learners via EDI or through Edexcel Online on these occasions:

at the end of each year/stage of the programme: by 5 July for programmes following a normal academic year, or as soon as possible thereafter, even where learners are retaking assessments or tests (especially important for UCAS applicants) immediately after completion for non-academic year programmes on transfer of the learner to another programme/centre for all learners who have withdrawn from the programme, even where no success has

been achieved (especially important for UCAS applicants).

18.3 EDI results reporting: EDIFACT formatSending EDIFACT results fi les (.era)EDIFACT fi le formats may be found in the ‘Requirements for Centre Management Information System (Centre MIS) Providers’ on the Edexcel website (www.edexcel.com) in ‘Services for Centres’, ‘EDI and Basedata’, ‘Centre Support’.

It is essential that EDI results fi les contain all the required centre, programme and learner details. Results fi les should include the appropriate header and footer lines, one results header per learner and multiple module/unit grade lines for each learner. The learner results

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header must include registration number, centre number and programme number, together with the appropriate award application, award date, fallback claim, overall grade (Diploma in Foundation Studies in Art and Design only) and withdrawal indicator.

Note: An overall grade of P, M or D must be reported by the centre to Edexcel for learners successfully completing the Diploma in Foundation Studies in Art and Design.

UNB+UNOA+2+12345+EDEX+20090705:1548+45++++++0UNG+RESULTS+12345+EDEXCEL+20090705:1548+45+BT+5:1++UNH+45+RESULTS: 5:1++1:FRES1+ X220151+12345A+Y1234++Y+200907++++RES2+12345Y+PRES2+12346Y+MUNZ+3+45UNE+1+45UNT+71+45

Sending EDIFACT results fi les (.era)Upon receipt of a fi le the centre number will be validated to ensure that the fi le can be allocated to your EDI account. The format of the content of the fi le will be validated to ensure that the content may be processed. An automated email receipt acknowledgement will be sent to the email address held on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 7.3).

After successful validation, the learner details will be processed and an automated email processing acknowledgement sent as above giving details of how many learners were processed and how many rejected.

Note: Please note that remedial action taken by Edexcel may include reprocessing all or part of a fi le. This will generate a new processing acknowledgement email to the centre.

Receiving EDIFACT results acknowledgements (.ere) Edexcel will send fi les of BTEC results acknowledgements to centres weekly (.ere fi les) for all learners for whom results were reported by EDI during the previous week.

EDIFACT .ere fi les contain confi rmation of all unit outcomes reported and the overall grade achieved where applicable. These fi les may be downloaded into your system to record the overall result achieved for learners.

Note: BTEC National Diploma programmes carry a three character over grade (Pass Merit Distinction) but EDIFACT EDI only supports a two character code. To this end, our .ere fi le carries the following code:

DDD = D1DDM = D2DMM = D3MMM = M1MMP = M2MPP = M3PPP = P1U = U (UUU is not a code used for describing overall grades)

Edexcel is only able to send automated .ere fi les for learners for whom results were reported by EDIFACT EDI. Should you require a fi le of results acknowledgements for learners for whom results were not reported by EDI, please email [email protected].

.ere fi les will be sent to centres via the transmission record we hold on record for your centre. This does not need to be the same method with which results (.era) fi les were sent to

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Edexcel. For example, if a fi le is sent via a carrier we are able to send the .ere fi le back by email. If you require this, it is important that we have up to date EDI contact details for your centre (see ‘Becoming a BTEC EDI centre’ in part 7.3 of this section).

UNB+UNOA+2+12345+EDEX+20090705:1548+45++++++0UNG+RESULTS+12345+EDEXCEL+20090705:1548+45+BT+5:1++UNH+45+RESULTS: 5:1++1:FRAC1+12345+Y1234+1+X220151++1263+FRED+BLOGGS+20090701+20090810+M+00002314+20090810+RAC2+12345Y+P++15RAC2+12346Y+M++13RAC2+12347Y+D++14UNZ+4+45UNE+1+45UNT+71+45

18.4 Sending BTEC JCQ result entry fi lesNote: The JCQ EDI formats does not support the submission of unit results and award claims from centres to Edexcel. These should be submitted through Edexcel Online.

To be able to download an EDI fi le of your learners’ overall qualifi cation grades into your system during August, you will need to set up a summer examinations series. This should be:

Board 15 (your system may say Edexcel Key Skills Assessments) and series 7B (July).

You then submit a fi le of your summer entries to Edexcel through your usual transmission method.

Upon receipt of a fi le at Edexcel, your centre number will fi rst be validated to ensure that the fi le can be allocated to your EDI account. Once this has happened, the format of the content of the fi le will be validated to ensure that the content may be processed. When this has taken place, an automated email receipt acknowledgement will be sent to the email address we hold on record for your centre (see ‘Becoming a BTEC EDI centre’ in part 7.3 of this section).

Receiving JCQ overall results fi les

Edexcel will send JCQ results fi les on the Monday of A level results week for all centres that have sent a results entry fi le to Edexcel for the current series. These fi les will allow you to download the overall grades achieved by your learners into your system. JCQ formats do not support the transmission of learners’ unit outcomes.

We are unable to provide a results fi le for learners for whom no results entries have been received (see the opening of this section, ‘Sending BTEC JCQ results entry fi les’).

Results fi les will be sent to centres via the transmission record we hold on record for your centre. This does not need to be the same method with which results entry fi les were sent to Edexcel. For example, if a fi le is sent via a carrier we are able to send the results fi le back by email. If you require this, it is important that we have up-to-date EDI contact details for your centre (see ‘Becoming a BTEC EDI centre’ in part 7.3 of this section).

18.5 Eligibility This only applies where a full award application has been made for learners on BTEC programmes. For full certifi cation to be issued, the eligibility requirements must be met for that particular programme. Eligibility requirements are available to view on Edexcel Online for all BTEC programmes that have been/currently are approved at your centre.

For BTEC nationally accredited programmes, you can check eligibility requirements according to the formula on the programme defi nition.

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To order a programme defi nition from Edexcel Online, select the ‘Qualifi cations’ option from the menu on the left of the screen, then select ‘Reports’. You are then able to order a programme defi nition for either an individual programme or for all programmes approved. You can then access the programme defi nition by clicking on your Edexcel Online ‘Mailbox’ at the top of the screen above your centre number.

For this particular programme, the requirements are: 36(36A) and 72(36B and 0C). This means units to a value of 36 are required from group ‘A’ and units to a value of 72 are required from groups ‘B’ and ‘C’, of which at least 36 must be from group ‘B’. As all six units from group ‘A’ have a value of 6, it means all group ‘A’ units are required to reach the value of 36. All units from groups ‘B’ and ‘C’ also have a value of 6, which means six units are required from group ‘B’, and a further six units are required from either ‘B’ or ‘C’ or a mixture of the two.

For non-accredited BTEC programmes, we check the eligibility according to the required total unit value (TUV) and the completion of all Essential units (E* and E status).

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For this particular programme, a TUV of 10 is required. As all units have a value of ‘1’, it means 10 units are required to meet this criterion. Included in these 10 units must be all Core and Essential status units. Additionally, the Common Skills units must be completed, as they are core units.

Where eligibility requirements have not been met for learners’ full award claims, centres will be notifi ed via a query form. Eligibility does not apply to unit registrations as there are no eligibility criteria for individual units.

18.6 Certifi cate deferralsCertifi cate deferrals occur where no external verifi er or external examiner report has been received by Edexcel or where a centre or learners at the centre have been blocked for certifi cation.

A weekly report is produced and forwarded to centres identifying the learners affected and the appropriate action required to remove the deferral.

18.7 Learners re-sitting units: BTEC Firsts, Nationals and Higher Nationals Learners may upgrade performance prior to award issue at any time within the validity of registration. Revised recommendations should be reported via Edexcel Online, or transmitted via EDI where appropriate, quoting:

learner registration number learner name unit code unit grade award claimed (where appropriate).

An amended Notifi cation of Performance will be issued in all cases. Re-sit grades may be reported at Pass, Merit or Distinction levels.

A learner who has achieved a BTEC nationally accredited qualifi cation, and who wishes to upgrade the result, must fi rst decline the grade awarded before units can be retaken.

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19 Amendments to reported success

19.1 Amendments to reported gradesApplications for amendments to unit grades reported after the qualifi cation has been issued must be accompanied by a written explanation. Where award documentation has already been issued, the original Notifi cation of Performance should be returned so that a revised document may be issued.

Where the amendment leads to a change in the overall qualifi cation result, the original qualifi cation certifi cate and Notifi cation of Performance should be returned, with form SA16(BTEC).

Any request for amended certifi cates received by Edexcel more than one month after the certifi cates were issued will be subject to the Edexcel duplicate certifi cate fee which is applicable at the time the request is received.

Edexcel may ask the centre to take corrective action, where requests result from maladministration.

19.2 Decline gradeA learner who wants to reject the grade(s) achieved on a nationally accredited qualifi cation must make a request to decline the grade(s) through his/her centre. Requests to decline grades should be made on form SA9(BTEC) and should reach Edexcel within fi ve weeks of the receipt of certifi cation by the centre. All certifi cation must be returned with the request. A request received within fi ve weeks of the receipt of certifi cation will be processed free of charge.

Once the grade(s) has been declined, an interim Notifi cation of Performance and a new SRF will be issued for the learner.

Late requests will only be accepted within the validity of the learner registration and the programme approval. Any late request accepted will be subject to a duplicate certifi cate fee.

19.3 Certifi cate recalls on nationally accredited programmesWhere there has been a change to the overall grade(s) for a learner on a nationally accredited programme after certifi cation has been issued, the original certifi cate and Notifi cation of Performance must be returned to BTEC Registration and Certifi cate Services at Edexcel, with form SA16(BTEC) or SA6, before amended documents will be issued.

19.4 To re-open a registration where a fallback Certifi cate of Unit Achievement has been issuedWhen a fallback Certifi cate of Unit Achievement is claimed and issued, the learner’s registration is closed. If the learner then resumes his or her programme of study, we will re-open the registration on request from the centre. This request will be subject to the standard duplicate certifi cate fee at the time of the request.

19.5 Queries raised by Edexcel: form queriesIf learners’ reported success cannot be satisfactorily processed because of insuffi cient or incorrect information, or if an award has been withheld due to ineligibility on the basis of the information submitted, we will issue a query to the centre through Edexcel Online.

An email is sent to the designated examinations offi cer registered on Edexcel Online, to

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advise that a query has been issued. Centres should then reply to the query online by clicking on the ‘Reply’ button.

The query will specify the problem and request additional information or documentation in order that processing and award issue may be fi nalised. The query should be dealt with by the centre immediately and replied to online in order to avoid unnecessary delay in the issue of a fi nal award.

It is important that there is a designated examinations offi cer registered for Edexcel Online at each centre. To check whether you are registered as the examinations offi cer, click on the ‘Edit my Account’ link from the Edexcel Online homepage.

A progress check is kept on queries to ensure that a response is received and that outstanding problems are resolved.

20 Award documentation

20.1 Certifi catesCertifi cates are issued to the centre weekly as necessary. They are normally sent by recorded delivery or by courier service.

Where certifi cates are normally distributed by the centre at an award ceremony, sympathetic consideration should be given to learners who require awards earlier for employment purposes. Centres are requested to issue awards to learners as soon as possible after receipt from Edexcel.

Note: Edexcel reserves the right to withhold certifi cation if fees are outstanding at the time of despatch.

20.2 Course Assessment Report: all programmesA listing of grades reported for all learners, the Course Assessment Report (CAR), will be produced showing the current status of the learner. This listing is for reference purposes only and no action needs to be taken by the centre. Any problems will be queried separately by Edexcel.

20.3 Evidence of achievementSuccessful completion of all programme requirements will be recognised by the issuing of an Award, Certifi cate or Diploma, as appropriate, together with a unit certifi cate, the Notifi cation of Performance, Certifi cate of Unit Credit, or credit transcript, which lists all units successfully completed.

Where the learner does not complete all programme elements satisfactorily, and you do not claim the fi nal Award, Certifi cate or Diploma, the unit certifi cate appropriate to the programme will automatically be issued. It will list all units successfully completed.

This document gives evidence of completion in order that all units successfully achieved may be used as credits in the future, and it allows learners to retake or add units under the same registration free of charge throughout registration validity.

Successful completion of individual units is recognised by the award of a Certifi cate of Unit Achievement, which lists all units satisfactorily completed.

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20.4 Notifi cation of Performance Individual notifi cations of performance will be issued in respect of all learners registered for BTEC programmes for which interim or fi nal results have been received.

The Notifi cation of Performance will list all units achieved on the registration to date, at all centres attended. The title and details of each unit studied at each centre and the grade achieved will be shown, together with an indication of the current status of the learner.

This Notifi cation of Performance should be forwarded promptly to the learner, so that he/she has evidence of achievement to offer for entry to a further programme, for employment purposes or for transfer to another centre.

A learner may collect a number of notifi cations of performance during completion of a programme of study and each document will be a cumulative record of success up to the date of issue.

20.5 Certifi cate of Unit AchievementLearners registered on a programme of study which does not lead to a full award or who do not obtain the qualifi cation for which they were registered, and who claim a Certifi cate of Unit Achievement, will receive details of graded success, where appropriate. This document will be a cumulative record of success to the date of issue and does not state the title of the programme for which the learner was originally entered.

The issue of a Certifi cate of Unit Achievement, where learners fail to achieve the Award, Certifi cate or Diploma for which they were registered, closes the learner’s registration. It should be noted that a Notifi cation of Performance will automatically be issued for all units reported, so a request for a Certifi cate of Unit Achievement should not be necessary unless specifi cally requested by the learner.

20.6 Award dateThe award documentation will show the month and year in which a programme was completed. Unless otherwise requested, one of fi ve standard months (depending on the date of receipt of the recommendation) will be printed by Edexcel on all award documents, as follows:

Results received Award dateDecember—February DecemberMarch—April MarchMay—June MayJuly—September JulyOctober—November September

If, for any reason, results were submitted late to Edexcel, or the programme was of unusual duration, the centre can backdate the month to be entered on the fi nal award by up to six months when reporting through Edexcel Online or EDI.

The termination of the programme and the appropriate month for inclusion on the fi nal award must be taken as the month in which the total learning process (including the fi nal assessment) was completed, and not the date on which any formal teaching fi nished.

Award claims may not be backdated by more than one year without a written explanation for the lateness of the claim.

Note: In order to ensure that the award date is correct, centres are advised to report this date for all learners who do not complete the programme at the end of the normal academic year.

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20.7 Award listsAn awards list will be issued for each programme. Where Learning and Skills Council (LSC) codes have been reported, a separate list will be produced for each LSC. These lists should be retained for information and for LSC funding purposes if required.

Note: In order to provide a list for a specifi c LSC, you must enter the LSC code against the learner on registration. (See part 8.2 of this section of the manual.)

If certifi cation is, exceptionally, issued outside our normal award date, we are unable to produce the award list automatically and you will need to contact Service Operations.

The award lists for full qualifi cations have been agreed by QCA and DfES as providing the appropriate evidence of learner achievement and they are acceptable as offi cial documentary evidence for output-related payment purposes.

We also confi rm all qualifi cations, issued by a centre, to each LSC monthly, where you have notifi ed Edexcel at the time of registration that a learner is LSC funded.

20.8 Certifi cate Check List: form SA6All awards received should be checked for accuracy. The personalised form SA6 ‘Certifi cate Check List’ issued with the awards should be completed and returned to Service Operations as soon as possible to confi rm receipt. Any amendments necessary will be actioned and the corrected documents sent to you.

Any request for amended certifi cates received by Edexcel more than one month after certifi cates were issued will be subject to the Edexcel duplicate certifi cate fee which is applicable at the time the request is received.

We will not accept responsibility for missing award documents, unless we are informed of the omission within one month of award issue.

20.9 Retention of certifi catesIf learners do not collect certifi cates, it is the responsibility of centres to retain this documentation for a minimum of 12 months. They may then be destroyed (in a confi dential manner). However, a duplicate award fee will be due if a replacement is then required. Uncollected certifi cates should not be returned to Edexcel.

20.10 Outstanding fi nancial obligations to the centreCentres are reminded that certifi cates are and remain at all times the property of Edexcel. Where a learner has been registered and an award has been claimed but he/she has an outstanding fi nancial obligation to the centre, and the centre is considering withholding the learner’s certifi cate until settlement of the fi nancial obligation is made, the centre must always seek the prior consent of Edexcel to withhold the certifi cate. Edexcel reserves the right not to permit the centre to withhold the certifi cate.

The additional charge of a late registration fee can be levied by a centre on a learner who does not pay the initial registration fee when required.

In order to avoid problems, centres are advised to ensure that they receive all necessary payments from learners prior to registration.

20.11 Incorrect and invalid certifi cate claimsWhere a certifi cate has been claimed in error for a unit or qualifi cation that the learner did not actually complete, the certifi cate(s) must be returned to Service Operations with an

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explanatory letter. The letter should explain how the error occurred, describe the nature of the error and detail any steps taken to prevent a recurrence of the error.

21 Replacement certifi cation

21.1 Lost between Edexcel and centreWe will take every care to ensure the correct preparation of the award and the receipt by the centre of a satisfactory document. All award documents are issued to centres by recorded delivery, or by a similar service that provides evidence of delivery.

If a centre has to return documents to Edexcel, either recorded delivery should be used or proof of posting obtained from the post offi ce. Either will be accepted as satisfactory evidence of posting.

21.2 Lost by centreWe ask that you take due care in receipt and distribution of award documents. However, if you misplace award documents in the centre, you may apply in writing to Edexcel giving full details of the loss. In such cases, a duplicate certifi cate fee per learner will be charged for replacement. Applications should be sent in writing to Service Operations.

21.3 Learner nameThe centre is asked to ensure that the learner’s name reported on registration is the name that he/she wishes to see on the fi nal award document. We will issue amended award documents where the learner’s name is incorrect because of a spelling mistake. Where a change of name is required, the original document must be returned to Edexcel.

A replacement certifi cate fee will be charged if the request is received by Edexcel more than one month after the certifi cate was issued. No change of name that has taken place later than the award date can normally be taken into account. Learners should be made aware of this policy.

21.4 Damaged documentsIf any damaged award documents are received by the centre, they should immediately be returned to Edexcel for replacement.

21.5 Lost or damaged between centre and learnerWe cannot accept responsibility for the loss or damage of documents between the centre and the learner. It is suggested that centres either arrange for personal collection or use recorded delivery for despatch of original documents. We make every effort to pack documents securely and advise centres to ensure that any awards mailed to learners are likewise securely packaged.

If award documents are lost between the centre and the learner, you may apply in writing to Service Operations for duplicates, enclosing details of any information you have from the post offi ce regarding the loss. A duplicate certifi cate fee per learner will be charged for replacements.

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22 Duplicate documents

22.1 Qualifi cation certifi catesWhere the original was issued after 1983, the learner may apply for duplicate award documents on form SA5 (Vocational), available from Service Operations (Past Records).

If an award document is damaged after receipt, a duplicate will be issued on payment of the appropriate fee, provided that the original is returned to Edexcel. Duplicates, whilst of precisely the same standing as the original they replace, are produced in the layout currently in use and they may not be facsimiles of the original.

Duplicates may be issued to replace award documents which are lost, stolen or completely destroyed, provided that the application is witnessed and a copy of a birth certifi cate or passport is produced.

There is a fee for such a replacement, which covers the award and, where appropriate, the Notifi cation of Performance or Certifi cate of Unit Credit. The fee must accompany the application.

Note: In cases where documents are lost in transit, a period of at least four weeks must elapse before application for the issue of a duplicate document is made.

22.2 Notifi cations of Performance, Certifi cates of Achievement or Certifi cates of Unit CreditDuplicate copies of these documents will be produced on payment of the appropriate fee and completion of the application form.

22.3 Letter of confi rmation: for awards originally obtained prior to 1984A letter confi rming success will be produced on payment of the appropriate fee where award documentation was issued prior to 1984, as the original certifi cation is no longer available.

23 Changes to Centre Details

23.1 Centre and programme closuresCentres are reminded that where there is a planned closure of a centre or programmes, it is a requirement that Edexcel is informed in writing. This communication should include information as to the proposed plan for learners who are registered and active as well as those who are enrolled but not yet withdrawn. A progression plan would need to be proposed and agreed with the Head of BTEC Assessment.

Records should be kept for three years and, where this is not possible, a plan made of where they will be stored. Records which should be kept are those which allow for an audit trail of the process from registration to certifi cation, including records of assessors and internal verifi cation activities. Retaining records is an obligation for all centres that are approved to offer Edexcel qualifi cations.

Where there is an unexpected closure, it is important that Edexcel is informed in writing as soon as the remedial actions are identifi ed.

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23.2 Centre mergers, de-mergers and sub-site additionsBecause all details held such as registrations, external verifi cation decisions and approvals are linked to your centre number it is not normally possible to merge or de-merge centres during the academic year. This activity will usually take place in August. If you want to make such changes please notify us detailing your requirements. This should include details of current centre number(s) and proposed new centre number(s) along with details of where live registrations should be transferred.

Upon receipt of your request we will contact you to discuss your requirements. It may be possible to make some short term changes, for instance you may wish to change the name of your centre to be in-line with that of the merged centre name before the full merger is initiated in August.

23.3 Centre address and contact details

The Centre Records and Approvals team hold centrally details of your Principal/ Head of Centre and Examinations Offi cer, including name, telephone number and email address. Changes to these details should be emailed to [email protected]. This should be done in addition to ensuring that all contact details held on Edexcel Online for all registered users are updated.

If you wish to change the name or address of your centre this should be notifi ed to us on a letter signed by the Head of Centre. Please also tell us at which date these details should be changed.