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Proctoring Policy Agreement

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PROCTORING POLICY AGREEMENT

Parties

Recitals

WHEREAS, Provider is engaged in the business of administering, monitoring and proctoring examinations and assessments, including in-person, live remote, and automated proctoring technologies; and

WHEREAS, Client requires proctoring services for one or more assessments delivered to Candidates and desires to retain Provider to perform those services under the terms and conditions set forth in this Agreement; and

NOW, THEREFORE, in consideration of the mutual covenants contained herein and other good and valuable consideration, the sufficiency of which is acknowledged, the parties agree as follows:

Scope of Work

Provider shall supply proctoring services for examinations identified and scheduled by Client, including candidate identity verification, exam environment checks, monitoring during test administration, secure delivery and retrieval of exam content, and incident reporting. Specific deliverables, modalities, and candidate volumes are set forth below.

Proctoring Procedures

Provider will follow documented procedures to verify Candidate identity, secure testing environments, and monitor Candidate activity. Provider may use video, audio, screen capture, browser lockdown, and motion detection consistent with the modalities selected by Client below. Provider retains discretion to apply established escalation procedures when irregularities or suspected violations occur.

In-person proctoring

Live remote proctoring

Automated (AI-assisted) proctoring

Candidate Obligations and Conduct

Client shall ensure Candidates are informed of applicable rules and required materials prior to test administration. Candidates must provide photographic identification when requested, maintain a clear testing environment, and comply with proctor instructions. Provider may remove a Candidate from a session for noncompliance, suspected fraud, or unsafe conduct and will deliver an incident report to Client.

Data Handling and Privacy

Provider will collect and retain Candidate personal data and monitoring records only as necessary to perform services. Provider shall safeguard such data using industry-standard administrative, technical, and physical safeguards. Provider shall not use Candidate data for purposes unrelated to the provision of proctoring services without Client's prior written consent.

Client confirms Candidates will be provided notice that audio, video, screen capture and related data may be recorded and retained in connection with proctoring services.

Payment Terms

Client shall pay Provider the fees specified below in consideration for services rendered. Unless otherwise stated, amounts are exclusive of applicable taxes.

If Client fails to pay undisputed amounts when due, Provider may suspend services after providing not less than fourteen (14) days' written notice, without prejudice to Provider's right to recover fees and costs.

Term and Termination

This Agreement commences on the Start Date and, unless earlier terminated in accordance with this section, continues through the End Date. Either party may terminate for material breach if the breaching party fails to cure such breach within the Notice Period following receipt of written notice.

Start Date:    End Date:

Upon termination, Client shall pay for all services rendered through the effective date of termination and any non-cancellable costs reasonably incurred by Provider.

Confidentiality

Each party shall treat Confidential Information of the other party as confidential and shall not disclose it except to employees, agents, or subcontractors with a need to know and who are bound by obligations of confidentiality no less restrictive than those herein. Confidential Information excludes information that is or becomes publicly available other than by breach of this Agreement, is independently developed, or is rightfully received from a third party without restriction.

Provider may disclose Confidential Information to the extent compelled by law, provided Provider gives Client prompt notice and cooperates with Client's efforts to limit the disclosure.

Limitation of Liability and Indemnification

Each party's liability for damages arising out of this Agreement shall be limited to direct damages and shall not exceed the fees paid or payable to Provider under this Agreement during the twelve (12) month period preceding the claim. Neither party shall be liable for consequential, incidental, or punitive damages. Client shall indemnify Provider for claims arising from Client's exam content, instructions, or Candidate misconduct, and Provider shall indemnify Client for claims arising from Provider's gross negligence or willful misconduct.

Compliance and Incident Reporting

Provider will report suspected breaches, irregularities, or security incidents related to exam administration to Client within twenty-four (24) hours of discovery and provide a written incident report within a reasonable time. Parties shall cooperate in investigating incidents and taking corrective measures.

Governing Law

This Agreement shall be governed by and construed in accordance with the laws of the State of , without regard to its conflicts of law principles.

Entire Agreement

This Agreement, together with any attachments or exhibits expressly incorporated herein, constitutes the entire agreement between the parties with respect to the subject matter and supersedes all prior and contemporaneous agreements, proposals, or representations, whether written or oral. No amendment or waiver shall be effective unless in writing and signed by authorized representatives of both parties.

Notices

All notices required or permitted under this Agreement shall be in writing and delivered to the addresses set forth above or to such other address as a party may designate in writing, and shall be deemed given when delivered personally, sent by nationally recognized overnight courier, or by certified mail, return receipt requested.

Signatures

Provider:

By:

Date:

Title:

Client:

By:

Date:

Title:

Enter text✕

What a Proctoring Policy Agreement Covers

A Proctoring Policy Agreement documents the rules, responsibilities, and technical procedures governing supervised assessments and identity verification for exams, certifications, or monitored tasks. It explains proctor roles, candidate obligations, permitted devices and materials, authentication methods, recording and retention practices, and data privacy safeguards. The agreement often distinguishes in-person, live remote, and automated remote proctoring and sets dispute resolution and escalation steps. When used with electronic signatures the agreement should comply with federal ESIGN standards and applicable state UETA/ESRA rules and account for sector-specific laws such as HIPAA or FERPA where protected data are involved.

Why a Formal Proctoring Agreement Matters

A clear Proctoring Policy Agreement reduces ambiguity about responsibilities, helps protect assessment integrity, documents consent for recording and data use, and establishes remedies for breaches while aligning the process with electronic signature laws such as the ESIGN Act and applicable state statutes.

Why a Formal Proctoring Agreement Matters

Who Typically Adopts This Agreement

Organizations that require supervised assessments use this agreement to standardize proctoring procedures, reduce liability, and ensure consistent candidate treatment.

  • Educational institutions and testing centers that manage classroom and remote exams.
  • Certification bodies and professional associations administering licensure assessments.
  • Employers and HR teams using prehire or internal compliance testing.

The document helps both administrators and examinees understand expectations and legal rights before proctoring begins.

Stepwise Completion Process

Follow these steps to prepare, execute, and store a Proctoring Policy Agreement accurately.

  • 01
    Draft: Define scope, proctoring method, data use, and dispute procedures.
  • 02
    Verify Identity: Specify accepted IDs and verification steps used by the proctor.
  • 03
    Obtain Consent: Present recording and privacy disclosures and secure explicit consent.
  • 04
    Sign and Archive: Execute with eSignature and store with retention metadata.

Technical and Platform Considerations

Specify the technical requirements and integrations that enable compliant proctoring and eSignature execution.

  • Supported Formats: PDF, DOCX
  • Integrations: LMS, Google Workspace, NetSuite
  • Authentication: Email, SMS code, or KBA

Document platform requirements, retention locations, and any recording storage policies to align IT, legal, and operations teams.

Configuring the Digital Proctoring Workflow

Choose settings that balance verification strength, candidate experience, and privacy obligations.

Field Configuration
Proctor Method Live remote with video or automated AI monitoring
Identity Check ID scan plus selfie or KBA
Recording Retention Retain recordings per policy and legal requirements
Access Controls Role-based access for proctors and auditors

Where to Submit and Route Signed Agreements

Define the submission endpoints and typical routing paths for executed Proctoring Policy Agreements.

  • Proctoring Portal: Signed agreements stored with candidate record.
  • Learning Management: Copy placed in LMS course folder for audit.
  • Compliance Archive: Central repository for long-term retention and reporting.
  • Registrar or HR: Final routing for certification or personnel files.

Essential Elements to Include in the Agreement

A professional Proctoring Policy Agreement clearly allocates roles, technical rules, privacy obligations, and remedies.

Scope

Describe covered tests, participant groups, and locations where the policy applies, including remote variants and time windows.

Proctor Responsibilities

List duties such as identity checks, monitoring actions, incident reporting procedures, and escalation points for suspected violations.

Candidate Obligations

State allowed devices, banned items, required environmental setup, and rules for breaks or technical issues during exams.

Verification Methods

Specify acceptable ID types, multi-factor options, KBA parameters, or biometric checks used to confirm identity.

Privacy and Data Handling

Detail recording use, retention, access controls, permitted disclosures, and any HIPAA or FERPA protections if applicable.

Dispute Resolution

Explain appeal timing, evidence review process, governing law, and consequences for integrity violations.

Security and Compliance Controls to Reference

Encryption: TLS 1.2/1.3; AES-256 at rest
Audit Trail: Timestamps, IP, and action logs
HIPAA: BAA required when PHI present
21 CFR Part 11: Controls for FDA-regulated records
SOC 2: Type II certification available
Accessibility: WCAG 2.0 Level AA support

Consequences of Noncompliance or Errors

Invalidated Results: Assessment outcomes may be voided
Regulatory Fines: Penalties for privacy breaches possible
Breach Notification: Obligations to notify affected parties
Reputational Harm: Loss of stakeholder trust
Legal Liability: Civil claims for wrongful action
Operational Delay: Retests and audits increase costs

Common Preparation and Execution Mistakes

  • Relying on weak identity checks that allow impersonation or automated bypasses during remote sessions.
  • Failing to document candidate consent for recordings and data use, creating privacy and legal exposure.
  • Inconsistent proctor training and enforcement that leads to unequal treatment and contested results.
  • Improper retention or deletion of recordings, causing audit failures or inability to defend integrity findings.

Key Deadlines and Retention-Related Dates

Track scheduling, appeal, and retention dates to ensure compliance and preserve evidentiary records.

Effective Date Entry:

Set using MM/DD/YYYY; ties to statute limitations and enforcement timing.

Scheduling Window:

Specify earliest and latest booking times for proctored sessions.

Incident Notice Period:

Define time allowed to report suspected misconduct for timely review.

Record Retention Rule:

Retain recordings per HIPAA (45 CFR §164.530(j)) or applicable law.

Appeals Deadline:

State the time frame candidates have to request review.

Milestone Timeline for a Proctored Assessment

Sequential milestones clarify responsibilities and timing from policy creation to archives.

01

Policy Finalization

Legal and operations sign off on the final policy text.

02

Candidate Notification

Distribute the agreement before scheduling or allowing entry to the exam.

03

Proctoring Event

Conduct identity checks, monitoring, and incident logs during the session.

04

Archive and Audit

Store completed records and make available for compliance reviews.

eSignature Pricing and Feature Comparison

Compare common pricing and feature criteria for eSignature vendors when implementing the Proctoring Policy Agreement. signNow appears first per vendor ordering rules.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial Yes, 7-day trial No No No No
Bulk Send Yes Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No

Frequently Asked Questions

Answers to common legal, technical, and operational questions about Proctoring Policy Agreements and electronic execution.


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