Identifying Testing Improprieties, Irregularities, and Breaches

Test security incidents, such as improprieties, irregularities, and breaches, are behaviors prohibited either because they give a student an unfair advantage, compromising the validity of inferences from student test results, or because they compromise the secure administration of the assessments. Whether intentional or accidental, failure to comply with security and administration rules, either by staff or students, constitutes a test security incident. Improprieties, irregularities, and breaches must be reported in accordance with the instructions in this section for each severity level.

LEA CAASPP coordinators or site CAASPP coordinators will use the online STAIRS process in TOMS for reporting test security incidents that occur before, during, or after testing. Some incidents may require that an Appeal be submitted to reset, reopen, restore (if a test had been reset in error), provide a grace period extension, or invalidate a test. LEA CAASPP coordinators or site CAASPP coordinators can make the determination by reporting the incident using the online STAIRS/Appeals process in TOMS.

The STAIRS/Appeals Process

The online STAIRS/Appeals process, which is available in TOMS and described in the Security Incidents and Appeals Procedure Guide, must be used by LEA CAASPP coordinators and site CAASPP coordinators to report a confirmed test security incident or other testing issue that interferes with the administration and completion of the assessment.

LEA CAASPP coordinators and site CAASPP coordinators must ensure that all test security incidents are documented using the STAIRS/Appeals process in TOMS within 24 hours of the incident.

After the incident is reported, TOMS will immediately prompt the filing of an Appeal if that is the appropriate action. A system email will be sent that describes the submittal and includes the STAIRS case number that can be used for searches in TOMS. This email will be sent to the submitter (and to the LEA CAASPP coordinator, if the STAIRS case or the Appeal is submitted by the site CAASPP coordinator).

LEA CAASPP coordinators must view the announcements and to-do list in the “MyTOMS at a Glance” section of their home page in TOMS. TOMS sends an automated notification to the LEA if there are any STAIRS cases that have a Draft status and need to be submitted shortly before the LEA’s testing window closes.

STAIRS cases with any status are searchable in Search Appeals in TOMS.

Incident Definitions and Action Steps

Refer to the Security Incidents and Appeals Procedure Guide for details about the incident reporting process and a detailed description of the STAIRS process.

After an incident has occurred, the site CAASPP coordinator is responsible for reviewing and verifying the details of the incident and immediately notifying the LEA CAASPP coordinator of any security breaches or testing irregularities that occur before, during, or after summative testing. Depending on the LEA’s procedure, it is either the LEA CAASPP coordinator or the site CAASPP coordinator who submits the incident using the STAIRS/Appeals process.

If the incident is a breach, the LEA CAASPP coordinator should be informed immediately; it is the LEA CAASPP coordinator who will initiate action. If the incident is due to social media exposure on the part of a student or adult, in addition to submitting the incident via STAIRS, the LEA CAASPP coordinator must immediately contact CalTAC by phone at 800-955-2954 to report it.

The LEA CAASPP coordinator will also respond to and assist the CDE and test security personnel, as requested. Any documentation associated with the incident should be kept for at least one year.

The online data-entry screens used during the STAIRS/Appeals process in TOMS prompt the user through the steps necessary to submit a STAIRS case. The Security Incidents and Appeals Procedure Guide lists the incident types and any action to be taken.

Impropriety

An impropriety is an unusual circumstance that has a low impact on the individual or group of students who are testing and has a low risk of potentially affecting student performance on the test or of impacting test security or test validity. These circumstances can be corrected and contained at the local level. An example of an impropriety could be if students were making distracting gestures or sounds or talking during the test session that creates a disruption in the test session for other students, or a student or students left the test room without authorization.

The steps to process an impropriety are as follows:

Local administrators or staff take corrective action, where necessary, and notify the site coordinator.
The incident is mitigated as necessary by school staff, and the LEA CAASPP coordinator is contacted for assistance with mitigation as necessary.
The site CAASPP coordinator or LEA CAASPP coordinator reports the impropriety using the online STAIRS/Appeals process in TOMS within 24 hours.

Irregularity

An irregularity is an unusual circumstance that impacts an individual or group of students who are testing and may potentially affect student performance on the test or impact test security or test validity. These circumstances can be contained at the local level. An example of an irregularity could be that student(s) were assigned an incorrect designated support or accommodation, or student(s) cheated or provided answers to each other.

The steps to process an irregularity are as follows:

Local administrators or staff take corrective action and notify the site coordinator.
The incident is mitigated as necessary by school staff, and the LEA CAASPP coordinator is notified for assistance with mitigation.
The site CAASPP coordinator or LEA CAASPP coordinator reports the irregularity using the online STAIRS/Appeals process in TOMS within 24 hours.
The CDE or the ETS LEA Administrator reviews the STAIRS case and approves the Appeal, if necessary. The coordinator retains the STAIRS response email for the record.

Breach

A breach is a test administration event that poses a threat to the validity of the test. These circumstances have external implications for the CDE, the Smarter Balanced Assessment Consortium, or both, and may result in a decision to remove the test item(s) from the available secure item bank.

Breaches require immediate attention and escalation. If the breach is due to social media exposure on the part of a student or adult, the LEA CAASPP coordinator must call CalTAC at 800-955-2954. Following the call, the site CAASPP coordinator or LEA CAASPP coordinator must report the breach using the STAIRS/Appeals process within 24 hours.

Examples may include such situations as exposure of secure materials, a repeatable security or system risk, a TA modifying student answers, or that test items were shared on social media. These circumstances have external implications.

The steps to process a breach are as follows:

Local administrators or staff mitigate the incident as necessary and immediately report the breach to the site CAASPP coordinator, LEA CAASPP coordinator, or both.
LEA staff members investigate the security risk and alert the LEA Success Agent or call CalTAC for social media breaches and stand ready to receive further instructions.
The site CAASPP coordinator or LEA CAASPP coordinator reports the breach using the online STAIRS/Appeals process in TOMS within 24 hours.
The CDE reviews the STAIRS case and approves the Appeal, if necessary. The coordinator retains the STAIRS response email for the record.

Appeals Submission

An incident must first be reported by the LEA CAASPP coordinator or site CAASPP coordinator using the STAIRS/Appeals process in TOMS. If an Appeal is to be filed, the data-entry screen will provide the appropriate prompts.

NOTES:

LEA CAASPP coordinators must contact the assigned LEA Success Agent to make a request in STAIRS to restore a test that has been reset by the LEA in error. Only an LEA Success Agent can submit a STAIRS case for a Restore Appeal on behalf of the LEA. A Restore Appeal is approved by the CDE.
If a student’s test is invalidated in TOMS, the student will not have access to continue the test or be eligible for an Appeal. Invalidation of a test cannot be reversed unless the appealed SSID used was incorrect.
LEA CAASPP coordinators receive an email notification when an Appeal has been processed and when there is a change in its status.
A Reopen Appeal cannot be submitted if the test taken by the student has an existing Invalidate Appeal submitted.
An Appeal must be filed before the end of the selected testing window and with enough time to complete testing the student within the selected testing window.

If an Appeal is warranted for an incident and the case is submitted, the STAIRS process creates a request for an Appeal. An Appeal is processed within four business days of its receipt. Users will receive an email verifying that the Appeal has been processed. Ensure that communications generated by the email address ca‑assessments@ets.org are not automatically sent to a junk mail or spam folder.

The CDE may review a STAIRS case to determine whether the testing issue requires additional action by the LEA.