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 or because they compromise the secure administration of the assessments. Whether intentional or by accident, failure to comply with security and administration rules, either by staff or students, constitutes a test security incident. Improprieties, irregularities, and breaches need to be reported in accordance with the instructions in this section for each severity level.

LEA ELPAC coordinators or site ELPAC coordinators will use the online STAIRS process in TOMS for reporting test security incidents that occur before, during, or after testing on computer-based assessments and PPTs. Some incidents may require that an Appeal be submitted to reset, reopen, or restore (if a test had been reset in error) a computer-based assessment. LEA ELPAC coordinators or site ELPAC coordinators can make the determination by reporting the incident using the online STAIRS/Appeals process in TOMS.

The STAIRS/Appeals Process

NOTES:

A separate STAIRS case should be submitted for each domain in which the incident occurred.
The STAIRS/Appeals process must be used by an LEA ELPAC coordinator or site ELPAC coordinator within 24 hours to report a test security incident or other testing issue that occurs.
Incidents that occur during the administration of the interim assessments are handled at the local level and should not be reported using the STAIRS/Appeals process.
Use the Data Entry Issue testing incident type in STAIRS to submit a Reset or a Reopen Appeal only for the DEI part of the domain-level test if it is required. To reset or reopen a domain-level test that includes both the TDS and the DEI components, use testing issues other than Data Entry Issue for Appeal submission.
Testing incidents can only be reported within the testing window and should be filed with enough time for students to finish testing after an Appeal has been granted.

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

LEA ELPAC coordinators and site ELPAC 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 ELPAC coordinator, if the STAIRS case or the Appeal is submitted by the site ELPAC coordinator).

LEA ELPAC 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—draft, partial CDE approval, partial CalTAC approval, pending CDE approval, pending CalTAC approval, and completed—are searchable in Search STAIRS in TOMS. Appeals with any status—approved, pending, pending approval, rejected (Appeals rejected by CDE or CalTAC), rejected by system, swap approved, and withdrawn—are searchable in Search Appeals in TOMS.

Incident Definitions and Action Steps

Refer to the CAASPP and ELPAC 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 ELPAC coordinator is responsible for reviewing and verifying the details of the incident and immediately notifying the LEA ELPAC 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 ELPAC coordinator or the site ELPAC coordinator who submits the incident using the STAIRS/Appeals process.

If the incident is a breach, the LEA ELPAC coordinator should be informed immediately; it is the LEA ELPAC coordinator who will initiate action. If the incident is due to social media exposure on the part of a student or adult or to media coverage of an administration, the LEA ELPAC coordinator immediately contacts CalTAC by phone at 800-955-2954 to report it.

The LEA ELPAC 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 CAASPP and ELPAC 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. 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 and notify the site coordinator.
The incident is mitigated as necessary by school staff, and the LEA ELPAC coordinator is contacted for assistance with mitigation as necessary.
The site ELPAC coordinator or LEA ELPAC 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 ELPAC coordinator is notified for assistance with mitigation.
The site ELPAC coordinator or LEA ELPAC coordinator reports the irregularity using the online STAIRS/Appeals process in TOMS within 24 hours.
The coordinator submits an Appeal request through STAIRS, if prompted.
The submitter (and the LEA ELPAC coordinator, if the submitter was a site ELPAC coordinator) receives an email summarizing the STAIRS case.
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.
If the STAIRS case that was submitted results in an irregularity notation, it is reported at the domain level in the STAIRS reports and in the [Score Status] tab of the student’s profile in TOMS.

Breach

A breach is a test administration event that poses a threat to the validity of the test. Breaches require immediate attention and escalation via telephone by the LEA ELPAC coordinator calling CalTAC at 800-955-2954 if the breach is due to social media exposure on the part of a student or an adult, or media coverage of a test administration. Following the call, the site ELPAC coordinator or LEA ELPAC 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 TE 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 ELPAC coordinator, LEA ELPAC coordinator, or both.
LEA staff members investigate the security risk, alert the assigned LEA Success Agent for social media breaches, and stand ready to receive further guidance on the dispensation of the event.
The LEA ELPAC coordinator immediately calls CalTAC at 800-955-2954 to report the breach. Following the call, the site ELPAC coordinator or LEA ELPAC coordinator reports the breach using the online STAIRS/Appeals process in TOMS within 24 hours.
The coordinator submits an Appeal request, if prompted. The coordinator will be required to also include a plan of action for avoiding similar testing incidents in the future.
The submitter (and the LEA ELPAC coordinator, if the submitter was a site ELPAC coordinator) receives an email summarizing the submittal.
The CDE reviews the STAIRS case and approves the Appeal, if necessary. The coordinator retains the STAIRS response email for the record.
If the STAIRS case that was submitted results in an irregularity notation, it is reported at the domain level in the STAIRS reports and in the [Score Status] tab of the student’s profile in TOMS.

Appeals Submission

Process

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.

Coordinating STAIRS Cases and Appeals Between the Initial ELPAC and the Summative ELPAC

If the student is assigned with the test assignment for the Summative ELPAC, the LEA must ensure that all STAIRS and Appeals are submitted and approved for the Initial ELPAC prior to when the student begins testing for the Summative ELPAC.

If an Appeal of the Initial ELPAC has been approved for a grace period extension or to reset, restore, reopen, or rescore the Initial ELPAC, the student’s Summative ELPAC test assignment is removed from TOMS until the student completes Initial ELPAC testing, Speaking and Writing domain scores are submitted by the TE for the student, and the student’s ELAS is received from CALPADS.

Once the student has started the Summative ELPAC, TOMS shall not allow the submission of any new Appeal or approval of existing Appeals, if any, for the Initial ELPAC. If a student needs to finish Initial ELPAC testing, the LEA is required to first submit domain-level Reset Appeals for all the domains where the student either started or completed testing for the Summative ELPAC. Any Appeal for the Initial ELPAC in TOMS can be submitted only after all the domain-level tests are reset for the Summative ELPAC for the student.