2016–17 CAASPP Security Incidents and Appeals Procedure Guide · 2017-04-27 · • Chapter 1,...

C A L I F O R N I A Assessment of Student Performance and Progress

CAASPP Security Incidents and Appeals Procedure Guide

2016–17 AdministrationSmarter Balanced for English Language Arts/

Literacy and Mathematics Summative AssessmentsCalifornia Alternate Assessments for English

Language Arts/Literacy, Mathematics, and Science

California Science Test

Posted April 2017.Prepared by Educational Testing Service ®

CAASPP System

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Table of Contents Introduction ....................................................................................................................................... 1

Security Incidents and Appeals Procedure Guide Content ................................................................ 2 What’s New for Reporting Incidents and Filing Appeals in 2016–17 ............................................... 2 Intended Audience of this Manual .................................................................................................. 2 Document Conventions .................................................................................................................. 2 Overview of Manual Content .......................................................................................................... 3

Chapter 1. Test Security Incident Management ............................................................................. 5 Background ........................................................................................................................................ 6

Types of Incidents to Report .......................................................................................................... 7 Reporting Timelines and Activities ................................................................................................. 7 Required Action Steps ................................................................................................................... 8

Commonly Reported Security Issues and How to Avoid Them ....................................................... 10 Chapter 2. The Security and Test Administration Incident Reporting System (STAIRS) Process ..................................................................................................................................... 11

About the Security and Test Administration Incident Reporting System (STAIRS) Process ............ 12 Purpose ....................................................................................................................................... 12 Use .............................................................................................................................................. 12 Coordinator Procedures ............................................................................................................... 13 When Not to Report in STAIRS .................................................................................................... 13

How to Submit the CAASPP STAIRS Form .................................................................................... 15 Required Information ................................................................................................................... 15 Cautions When Using the CAASPP STAIRS Form ...................................................................... 16 Steps for Submitting the CAASPP STAIRS Form ........................................................................ 16 Communicating with the CDE about a Case ................................................................................ 24

Chapter 3. Appeals ........................................................................................................................ 25 About the Appeals Process............................................................................................................. 26

Cautions About When to File an Appeal ....................................................................................... 26 Reasons for Rejection .................................................................................................................. 27 Steps to Follow to File an Appeal ................................................................................................. 27 Post-Decision Actions .................................................................................................................. 27

Using the Appeals Module to File an Appeal .................................................................................. 31 Required Information ................................................................................................................... 31 Access the Appeals System ......................................................................................................... 31

How to Submit an Appeal Individually ............................................................................................. 35 How to Submit Appeals via Batch Upload and Selection ................................................................ 38 How to Check an Appeal Status ..................................................................................................... 42

View a Status in the Appeals System ........................................................................................... 42 View a Status in TOMS ................................................................................................................ 45

How to Retract an Appeal ............................................................................................................... 49 How to Look Up Student Information in the Completion Status System .......................................... 51

Appendixes ...................................................................................................................................... 55 Appendix A. Test Security and Incident Chart ................................................................................. 56 Appendix B. Incident Types, Descriptions, and Actions in the California Assessment of Student

Performance and Progress (CAASPP) Security and Test Administration Reporting System (STAIRS) Form ........................................................................................................................... 58

Appendix C. Security and Test Administration Incident Report System Process Flowchart ............. 63 Appendix D. Incident Types and Questions on the California Assessment of Student

Performance and Progress (CAASPP) Security and Test Administration Incident Reporting System (STAIRS) Form ............................................................................................................... 64

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Appendix E. Security and Test Administration Incident Reporting System (STAIRS) Applicable Testing Incidents Chart ............................................................................................................... 70

Appendix F. Reasons for Appeal Types in the Appeals System ..................................................... 71

List of Tables Table 1. Key symbols and document conventions ........................................................................... 2 Table 2. Definitions for Test Security Incidents ................................................................................ 7 Table 3. Online System Appeals Types ......................................................................................... 28 Table 4. Fields in the batch upload template .................................................................................. 38 Table 5. Appeal statuses ............................................................................................................... 42 Table 6. Columns in the Most Recent Appeals section of the Student Profile screen ..................... 48

List of Figures Figure 1. STAIRS/Appeals screen ................................................................................................. 17 Figure 2. County Selection drop-down list ...................................................................................... 17 Figure 3. Role Selection and LEA Selection drop-down lists .......................................................... 17 Figure 4. School Selection and Name Selection drop-down lists ................................................... 18 Figure 5. Please enter information regarding this incident screen .................................................. 19 Figure 6. Testing issue selections .................................................................................................. 20 Figure 7. Confirm your submission screen ..................................................................................... 20 Figure 8. CDE Review Decision screen ......................................................................................... 21 Figure 9. Thank you screen ........................................................................................................... 21 Figure 10. Insert SSID(s) individually ............................................................................................. 22 Figure 11. Upload SSIDs screen.................................................................................................... 22 Figure 12. Uploaded SSID spreadsheet screen ............................................................................. 23 Figure 13. STAIRS/Appeals screen in TOMS ................................................................................ 32 Figure 14. Administration Details dialog box .................................................................................. 32 Figure 15. Home Page Dashboard ................................................................................................ 33 Figure 16. Navigation features for the Appeals module .................................................................. 33 Figure 17. Select an appeal type ................................................................................................... 35 Figure 18. Enter the search criterion .............................................................................................. 36 Figure 19. Results of student search ............................................................................................. 36 Figure 20. Reason selection pop-up box ........................................................................................ 36 Figure 21. Upload appeals batch file .............................................................................................. 38 Figure 22. Upload appeals preview ................................................................................................ 39 Figure 23. Validate appeals upload file .......................................................................................... 40 Figure 24. Review and select records ............................................................................................ 40 Figure 25. Validation of submitted records ..................................................................................... 41 Figure 26. Select an appeals type to view ...................................................................................... 43 Figure 27. View Appeals Requests: Results .................................................................................. 44 Figure 28. Reason pop-up box for retracting an appeal ................................................................. 45 Figure 29. Buttons on caaspp.org .................................................................................................. 45 Figure 30. Search for Students Web form ...................................................................................... 46 Figure 31. Student search results .................................................................................................. 47 Figure 32. [Score Status] tab on the Student Profile screen ........................................................... 47 Figure 33. Most Recent Appeals section of the Student Profile screen .......................................... 48 Figure 34. Select an appeals type to view ...................................................................................... 49 Figure 35. View Appeals Requests: Results .................................................................................. 50 Figure 36. Reason pop-up box for retracting an appeal ................................................................. 50 Figure 37. Buttons on caaspp.org .................................................................................................. 51 Figure 38. Home Page Dashboard ................................................................................................ 52 Figure 39. Select criteria in Plan and Manage Testing ................................................................... 52 Figure 40. Plan and Manage Testing results .................................................................................. 53

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Acronyms and Initialisms Used in the Security Incidents and Appeals Procedure Guide

CAA California Alternate Assessment CAASPP California Assessment of Student Performance and Progress CalTAC California Technical Assistance Center CAST California Science Test CAT computer adaptive test CCR California Code of Regulations CDE California Department of Education CDS county/district/school ELA English language arts/literacy IEP Individualized education program LEA local educational agency ORS Online Reporting System PT performance task SSID Statewide Student Identifier STAIRS Security and Test Administration Reporting System TIDE Test Information Distribution Engine TOMS Test Operations Management System

Introduction

Introduction | Security Incidents and Appeals Procedure Guide Content

2 CAASPP Security Incidents and Appeals Procedure Guide April 2017 Copyright © 2017 by the California Department of Education

Security Incidents and Appeals Procedure Guide Content What’s New for Reporting Incidents and Filing Appeals in 2016–17

Feature Change

Security and Test Administration Incident Reporting System (STAIRS)

STAIRS selection “Other” is no longer a selectable option in STAIRS. Local educational agency (LEA) California Assessment of Student Performance and Progress (CAASPP) coordinators reporting an incident type not covered by the standard testing issues on the CAASPP STAIRS form must contact the California Technical Assistance Center (CalTAC) (via e-mail at [email protected] or by phone at 800-955-2954) for guidance. CAASPP test site coordinators should contact their LEA CAASPP coordinator for assistance.

Communication STAIRS uses a new, integrated messaging system. A link to the messaging Web page is included in STAIRS response e-mails.

Reporting for paper-pencil tests

Incidents associated with the Smarter Balanced paper-pencil tests and the Standards-based Tests in Spanish must be reported directly to the California Department of Education (CDE) at 916-445-8765.

Appeals

Breach Misplacing or losing student logon information is a breach of a student’s personally identifiable information that should be addressed at the local level. It is no longer considered a test administration breach so does not have to be reported in STAIRS.

Restore LEA CAASPP coordinators must contact CalTAC to make a request to restore a test that has been reset in error. This type of appeal request can be made only by a CalTAC representative.

Intended Audience of this Manual The CAASPP Security and Test Administration Procedure Guide provides instructions to LEA CAASPP coordinators and CAASPP test site coordinators who will file reports of testing improprieties, irregularities, and breaches that were encountered during CAASPP test administration. It also addresses what to do after reporting the incident through STAIRS, as, for example, when directed to file an appeal.

Document Conventions Table 1 lists key symbols and typographical conventions used in this manual.

Table 1. Key symbols and document conventions Element Description

Warning: This symbol accompanies important information regarding actions that may cause fatal errors.

Alert: This symbol accompanies important information regarding a task that may cause minor errors.

mailto:[email protected]


April 2017 CAASPP Security Incidents and Appeals Procedure Guide 3 Copyright © 2017 by the California Department of Education

Element Description

Note: This symbol accompanies additional information that may be of interest.

Additional Resources: This symbol accompanies a list of a linked Web pages and Web documents that are associated with the section of the manual.

[text] Bold text in brackets is used to indicate a link or button that is selectable.

Overview of Manual Content This manual is organized as follows:

• Security Incidents and Appeals Procedure Guide Content (this section), describes this guide.

• Chapter 1, Test Security Incident Management, describes how and when to report testing improprieties, irregularities, and breaches.

• Chapter 2, The Security and Test Administration Incident Reporting System (STAIRS) Process, provides the steps necessary to report a CAASPP test administration incident.

• Chapter 3, Appeals, provides the steps necessary to file an appeal when directed as a result of submitting the CAASPP STAIRS form.

• Appendix A, Test Security and Incident Chart, describes and sorts incident types into “none,” “impropriety,” “irregularity,” and “breach.”

• Appendix B, Incident Types, Descriptions, and Actions in the California Assessment of Student Performance and Progress (CAASPP) Security and Test Administration Reporting System (STAIRS) Form, contains a table that lists test incidents and possible actions to take after receiving the STAIRS response e-mail.

• Appendix C, Security and Test Administration Incident Report System Process Flowchart, maps the flow of the STAIRS process.

• Appendix D, Incident Types and Questions on the California Assessment of Student Performance and Progress (CAASPP) Security and Test Administration Incident Reporting System (STAIRS) Form, contains a table that shows the testing incidents that can be selected in the CAASPP STAIRS form as well as the questions that must be answered as a result of a selection.

• Appendix E, Security and Test Administration Incident Reporting System (STAIRS) Applicable Testing Incidents Chart, shows a list of the incident descriptions associated with incident types; these issues should be considered before selecting “Other.”

• Appendix F, Reasons for Appeal Types in the Appeals System, lists the reasons for each appeals type that are selectable in the Appeals System or in the batch upload request template.



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Chapter 1. Test Security Incident Management

Test Security Incident Management | Background


Background

Additional Resources: • California Assessment of Student Performance and Progress (CAASPP)

Online Test Administration Manual Web document—http://www.caaspp.org/rsc/pdfs/CAASPP.online_tam.2016-17.pdf

• CAASPP Security and Test Administration Incident Reporting System (STAIRS) Process for Summative Assessments Web page—http://www.caaspp.org/stairs/

• Smarter Balanced Paper-Pencil Testing Test Administration Manuals Web documents—linked at http://www.caaspp.org/administration/about/smarter-balanced/

• CAASPP Paper-Pencil Test Administration Manual for the Standards-based Tests in Spanish Web document—http://www.caaspp.org/rsc/pdfs/CAASPP.ppt-tam-sts.2016-17.pdf

The online CAASPP STAIRS form, accessed through the Test Operations Management System (TOMS), is the starting point for local educational agency (LEA) CAASPP and CAASPP test site coordinators to report a test security incident or other testing issue that interferes with the administration and completion of the assessment. It is also a mandatory first step before an appeal can be filed. In some cases, such as when reporting an impropriety, this is the only step that needs to be completed. The LEA CAASPP coordinator is responsible for notifying the CDE, via the online CAASPP STAIRS form, of any incidents that occur before, during, or after testing. The CAASPP test site coordinator is responsible for immediately notifying the LEA CAASPP coordinator of any security breaches or testing irregularities that occur in the administration of the test but may also submit the form. LEA CAASPP coordinators and CAASPP test site coordinators must ensure that all test security incidents are documented by means of the CAASPP STAIRS form. After the form is submitted, an e-mail containing a case number and next steps will be sent to the submitter (and to the LEA CAASPP coordinator, if the form is submitted by the CAASPP test site coordinator) via e-mail. Ensure that communications generated by the e-mail address [email protected] are not automatically sent to a junk mail or spam folder. Some incidents may require that an appeal be submitted to reset, reopen, invalidate, or request a grace period extension for a test. LEA CAASPP coordinators or CAASPP test site coordinators can make the determination by submitting the online CAASPP STAIRS form. After you have entered the details of the incident, you will see the next steps you must take on the CDE Review Decision Web page that tells you what action you should take—either by having the LEA CAASPP coordinator or CAASPP test site coordinator fill out an appeal request in TOMS, saving the confirmation e-mail for your records, contacting the CDE by phone at CDE at 916-445-8765, or contacting the California Technical Assistance Center (CalTAC) by phone at 800-955-2954 (LEA CAASPP coordinators only; CAASPP test site coordinators should contact their LEA CAASPP coordinator). The next steps you must take will be repeated in the confirmation e-mail.

http://www.caaspp.org/rsc/pdfs/CAASPP.online_tam.2016-17.pdf

http://www.caaspp.org/stairs/

http://www.caaspp.org/administration/about/smarter-balanced/

http://www.caaspp.org/administration/about/smarter-balanced/

http://www.caaspp.org/rsc/pdfs/CAASPP.ppt-tam-sts.2016-17.pdf

http://www.caaspp.org/rsc/pdfs/CAASPP.ppt-tam-sts.2016-17.pdf




Note: LEA CAASPP coordinators must contact CalTAC to make a request to restore a test that has been reset in error. This type of appeal request can only be made by a CalTAC representative.

Types of Incidents to Report Definitions Test security incidents, such as improprieties, irregularities, and breaches, are behaviors prohibited because they either give a student an unfair advantage or compromise the secure administration of the assessments. Whether intentional or unintentional, failure by staff or students to comply with security and administration rules constitutes a test security incident. Table 2 describes the three levels of test security incidents for which a form will be filed. Appendix A on page 56 contains the Test Security and Incident Chart that lists the incident levels and includes examples of issues that are associated with the types. It includes a fourth type, “none,” that describe incidents that are administrative in nature and do not require reporting such as test expirations.

Table 2. Definitions for Test Security Incidents Type Definition Impropriety 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 impropriety should be reported to the LEA CAASPP coordinator and CAASPP test site coordinator immediately. The coordinator will report the incident within 24 hours, using the online CAASPP STAIRS form; instructions for access are on the STAIRS Process Web page on the CAASPP portal.

Irregularity 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 corrected and contained at the local level and submitted in the online Appeals System for resolution. An irregularity must be reported to the LEA CAASPP coordinator and CAASPP test site coordinator immediately. The coordinator will report the irregularity within 24 hours, using the online CAASPP STAIRS form (instructions on the STAIRS Process Web page).

Breach An event that poses a threat to the validity of the test. Examples may include such situations as a release of secure materials or a security/system risk. These circumstances have external implications for the Consortium and may result in a Consortium decision to remove the test item(s) from the available secure bank. A breach incident must be reported to the LEA CAASPP coordinator immediately. The LEA CAASPP coordinator must immediately call the California Department of Education (CDE) at 916-445-8765 to report the breach; in addition, he or she must complete the online CAASPP STAIRS form within 24 hours (instructions on the STAIRS Process Web page).

Reporting Timelines and Activities Improprieties must be escalated in accordance with state policies and procedures, protocols, and/or guidelines within 24 hours of the incident via the online CAASPP STAIRS form on the STAIRS Process Web page (access the link to the Test Operations Management System [TOMS]).





https://caaspp.ets.org/




Irregularities must be escalated in accordance with state policies and procedures, protocols, and/or guidelines within 24 hours of the incident via the online CAASPP STAIRS form on the STAIRS Process Web page (access the link to TOMS). A Breach requires immediate notification/escalation to the CDE. The LEA CAASPP coordinator must immediately telephone the CDE at 916-445-8765 and then submit a report within 24 hours, using the online CAASPP STAIRS form on the STAIRS Process Web page (access the link to TOMS).

Applicable Tests Please note that STAIRS and the online Appeals System are for the 2016–17 Summative Assessments only. Test incident levels can apply to any test administered in the CAASPP System whether they are computer-based or paper-pencil tests. However, not all types of issues can be applied to all tests. For example, the incident type “Student(s) leave the test room without authorization” is an impropriety that can occur during any test. However, the incident type “The live student interface or Test Administrator Interface is being used for practice instead of the training or practice tests” is a breach associated with only the online tests. The procedure for reporting incidents is different for the Smarter Balanced and Standards-based Tests in Spanish paper-pencil tests. To report an incident involving either of these paper-pencil tests, contact the CDE directly at 916-445-8765.

Required Action Steps The Test Security Required Action Steps depict the required actions for each test security incident in a process flow diagram format.

Impropriety 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. (Example: Student[s] leaving the testing room without authorization, or related instructional materials were left on the walls in the testing room.)

Local administrators/staff take corrective action and notifies the site

coordinator.

Incident is mitigated as necessary by school staff,

and LEA CAASPP coordinator is notified for assistance with mitigation

as necessary.

The CAASPP test site coordinator or LEA CAASPP

coordinator records the impropriety using the online

CAASPP STAIRS formwithin 24 hours.

Irregularity 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. (Example: Disruption during the test session such as a fire drill, or student(s) cheated or provided answers to each other.)







Local administrators/staff take corrective action and

notifies the site coordinator.

Incident is mitigated as necessary by school staff,

and the LEA CAASPP coordinator is notified for

assistance with mitigation.

The CAASPP test site coordinator or LEA

CAASPP coordinator reports the irregularity using the online CAASPP STAIRS

form within 24 hours.

The CDE approves the appeal, if applicable, and the coordinator retains the

STAIRS response e-mail for his or her records.

The coordinator takes the next steps described in the STAIRS response e-mail,

which may include filing an appeal request that includes the STAIRS case number.

The submitter (and the LEA CAASPP coordinator, if the submitter was a CAASPP

test site coordinator) receives an e-mail

summarizing the submittal and a description of the next steps.

Breach A test administration event that poses a threat to the validity of the test. Breaches require immediate attention and escalation to CalTAC for social media breaches and the CDE, via telephone, for all other breaches. Following the call, the CAASPP test site coordinator or LEA CAASPP coordinator must report the breach using the online CAASPP STAIRS form within 24 hours. Examples may include such situations as exposure of secure materials or a repeatable security/system risk. These circumstances have external implications. (Example: Test administrators modifying student answers, or test items shared in social media.)

Local administrators/staff

mitigate the incident as necessary and report

the breach to the CAASPP test site

coordinator and/or LEA CAASPP coordinator

immediately.

LEA staff investigate the security risk and alerts

CalTAC for social media breaches and the CDE for all other breaches,

and stand ready to receive further guidance on the dispensation of

the event.

The LEA CAASPP coordinator immediately

calls the CDE to report the breach. Following the call,

the CAASPP test site coordinator or LEA

CAASPP coordinator reports the breach using

the online CAASPP STAIRS form within

24 hours.

The CDE approves the appeal, if applicable, and the coordinator retains the STAIRS response

e-mail for his or her records.

The coordinator takes the next steps described in the STAIRS response e-mail, which may include filing an appeal request

that includes the STAIRS case number.

The submitter (and the LEA CAASPP coordinator,

if the submitter was a CAASPP test site

coordinator) receives an e-mail summarizing the

submittal and a description

of next steps.

Test Security Incident Management | Commonly Reported Security Issues and How to Avoid Them


Commonly Reported Security Issues and How to Avoid Them Local educational agency (LEA) California Assessment of Student Performance and Progress (CAASPP) coordinators should work with CAASPP test site coordinators and other LEA staff to reduce the chances that student testing will be interrupted or delayed were a testing incident to occur.

• Verify that student test settings are correct in the Test Operations Management System (TOMS) and/or the Test Administrator Interface. Incorrect settings mean that the student’s testing will be interrupted or delayed while the CAASPP Security and Test Administration Incident Reporting System (STAIRS) form is submitted and the Reset appeal is requested.

• Set up an appropriate schedule with testing times that ensure all students can test in a timely manner. This will avoid the need to submit the CAASPP STAIRS form and request the Re-open appeal.

• Limit requesting a Restore appeal only to those cases where a test has been inadvertently or improperly reset. To request this type of appeal, the LEA CAASPP coordinator must contact the California Technical Assistance Center.

• Limit requesting a Grace Period Extension appeal if a technical issue has occurred that resulted in the expiration of the 20-minute pause rule.

Chapter 2. The Security and Test Administration Incident Reporting System (STAIRS) Process

The Security and Test Administration Incident Reporting System (STAIRS) Process | About the Security and Test Administration Incident Reporting System (STAIRS) Process


About the Security and Test Administration Incident Reporting System (STAIRS) Process

Notes: • The California Assessment of Student Performance and Progress (CAASPP)

Security and Test Administration Incident Reporting System (STAIRS) form must to be used to report incidents that occur during the administration of the CAASPP Smarter Balanced, California Alternate Assessments, and California Science Test assessments. Incidents associated with the Smarter Balanced paper-pencil tests and the Standards-based Tests in Spanish must be reported directly to the California Department of Education (CDE) at 916-445-8765.

• Incidents that occur during the administration of the interim assessments are handled at the local level and should not be reported using the CAASPP STAIRS form.

Alert: In the event of a breach involving the Smarter Balanced Summative Assessments, the local educational agency (LEA) CAASPP coordinator must immediately call the CDE at 916-445-8765 and then complete the online CAASPP STAIRS form within 24 hours.

Purpose The online CAASPP STAIRS form is the starting point for LEA and test site coordinators to report a test security incident or other testing issue that interferes with the administration and completion of the summative assessments. The STAIRS process is the means by which LEA CAASPP coordinators and CAASPP test site coordinators report and resolve CAASPP summative testing incidents. They report by means of the CAASPP STAIRS form; they resolve by either filing an appeal to reset, reopen, invalidate, or grant a grace period extension to a student’s test, or by following other instructions in the STAIRS response e-mail. See Appendix C for a flowchart that maps the STAIRS process. The CDE will review your form to determine whether your testing issue requires additional action by the LEA.

Use The online CAASPP STAIRS form, which is available to coordinators through the Test Operations Management System (TOMS), must be used to provide the required information to the CDE when an irregularity is confirmed. The form includes the opportunity to manually enter or securely upload a spreadsheet containing Statewide Student Identifiers (SSIDs) of the students involved in the irregularity. Do not include student names, only SSID numbers. The LEA CAASPP coordinator or CAASPP test site coordinator (with a copy sent to the LEA CAASPP coordinator) submitting the form will receive an e-mail that includes the details that were entered into the CAASPP STAIRS form and instructions of the next steps to take (submit an appeal, file the e-mail, or wait to be contacted). You cannot file an appeal in



TOMS without first submitting the CAASPP STAIRS form because the STAIRS case number included in the confirmation e-mail is required to complete the submission of an appeal. A copy of the e-mail may be sent to the CDE for the following incident types:

• Student cheating

• Security breach (where either a student or an adult exposed secure materials)

• Accidental access to a summative assessment

• Incorrect SSID used (intentionally switched)

• Student unable to review previous answers (20-minute pause rule for the computer adaptive test has been exceeded)

Coordinator Procedures The CAASPP test site coordinator:

• Receives notification of an irregularity

• Reviews the information provided and verifies that an irregularity has occurred

• Contacts the LEA CAASPP coordinator and provides all pertinent information or fills out and submits the online CAASPP STAIRS form, if this is the procedure established for the LEA, if the incident has not been reported by the CAASPP test site coordinator, and if the incident is not a breach

The LEA CAASPP coordinator:

• Receives notification of an irregularity from the CAASPP test site coordinator

• Reviews the information provided and verifies that the occurrence is an irregularity

• In the case of a breach, notifies CalTAC for social media breaches and the CDE for all other breaches within 24 hours of the incident

• Fills out and submits the online CAASPP STAIRS form, if this is the procedure established for the LEA

• Responds to and assists the CDE and/or test security personnel as requested

• Keeps any documentation associated with the irregularity for one year

When Not to Report in STAIRS You do not need to report an incident using the CAASPP STAIRS form under the following circumstances:

• If student logon information is lost or misplaced, do not report; this is a breach of a student’s personally identifiable information that should be addressed at the local level.

• Because the system does not allow students to skip questions or submit a segment where any questions have not been answered, there is no reason to file a report if you think a question was not answered.



• If incorrect Statewide Student Identifiers (SSIDs) were used (SSID swap), LEA CAASPP coordinators must, instead, call the California Technical Assistance Center to report this. CAASPP test site coordinators should contact their LEA CAASPP coordinators for assistance.

• If a student used an electronic device after testing is completed during a session, do not report. However, if the student was actively engaged in a testing session or the student completed testing but the LEA can verify that the device was being used to help other students that are engaged in a test session, then report.

• If an English learner enrolled in a U.S. school less than 12 months as of April 15 and accidentally took the English language arts/literacy, do not report as this student’s score will not be used for federal accountability purposes.

The Security and Test Administration Incident Reporting System (STAIRS) Process | How to Submit the CAASPP STAIRS Form


How to Submit the CAASPP STAIRS Form

Additional Resources: • California Assessment of Student Performance and Progress (CAASPP)

Security and Test Administration and Incident Reporting System (STAIRS) for Summative Assessments Web page—http://www.caaspp.org/stairs/

• CAASPP Forms Web page—http://www.caaspp.org/administration/forms/

Required Information The CAASPP STAIRS form requires the following information from you:

• Your contact information

• Date of the incident

• Grade(s) affected

• Total number of students involved in this incident

• Statewide Student Identifier(s) (SSID[s]) for the involved student(s) – The spreadsheet template in which the SSIDs are to be loaded is linked on both the

CAASPP STAIRS form and the CAASPP STAIRS Web page – When you upload the SSID spreadsheet into STAIRS, the file name is the assigned

STAIRS case number that appears on the Web form where you upload the template. – Not all incident reports require that you upload SSIDs. Incident types reported in

STAIRS that will require that SSIDs be uploaded are as follows: Student exposes secure materials Student cheating or accessing unauthorized devices Accidental summative access (if test administrator coached students, students

interacted about test questions, or students access unauthorized materials) Issue involving incorrect SSID(s) Validity issues

– If you are filing an appeal, you will also be required to submit SSIDs. • Test name and type (for example, the Smarter Balanced mathematics performance task;

or the California Science Test)

• The type of incident; incident types are listed in Appendix D; the table in this appendix also includes the details required by the form

• A brief description of the incident (required)


http://www.caaspp.org/administration/forms/




Cautions When Using the CAASPP STAIRS Form Note the following about using the CAASPP STAIRS form to report testing incidents:

• You can only identify one test per CAASPP STAIRS form. You must file a separate CAASPP STAIRS form for each test. You cannot combine incidents.

• Mandatory fields are marked with an asterisk (*).

• Always use the [Back] button on the Web form to return to a previous page. Using your Web browser’s [Refresh] or [Reload] button or any other Web browser functionality may cause loss of the data you have entered.

• If you exit the form (close the tab or Web browser), you will lose all the data you have entered.

• You must select the [Complete Submission] button on the CDE Review Decision screen, which is the final page of the CAASPP STAIRS form as well as the final step in the STAIRS process. Failure to select this button will result in an invalid STAIRS case number that cannot be used to submit an appeal.

• Check with your e-mail administrator that the e-mail address [email protected] is whitelisted and that you are able to receive e-mails from this address. STAIRS e-mail responses should be received within two hours of submittal.

Steps for Submitting the CAASPP STAIRS Form Step 1. Access the CAASPP STAIRS Form. 1. Open an Internet browser. 2. Open TOMS by going to http://www.caaspp.org/ and selecting the [Test Operations

Management System (TOMS)] button to access the TOMS Logon Web form. 3. When you have logged on and TOMS has opened, select the [STAIRS/Appeals] button

in the left navigation bar (circled in Figure 1). 4. When the STAIRS/Appeals screen opens, select the [STAIRS] button (also circled in

Figure 1).


http://www.caaspp.org/



Figure 1. STAIRS/Appeals screen

Step 2. Submit a Report of a Testing Incident. 1. Select your county from the County Selection drop-down list and then select the [Next]

button (Figure 2). If you are uncertain of your affiliated charter school’s responsible county and/or LEA associations, select the link provided to look it up.

Figure 2. County Selection drop-down list

2. Select your role from the Role Selection drop-down list and the LEA from the LEA Selection drop-down list (Figure 3) that appears after you have selected your role. Fields may take a few seconds to populate. After you have done so, verify that your local educational agency’s (LEA’s) county/district/school (CDS) code is correct.

Figure 3. Role Selection and LEA Selection drop-down lists



3. Select the school from the School Selection drop-down list that appears after you have selected your role, and then and your name from the Name Selection drop-down list (Figure 4).

Figure 4. School Selection and Name Selection drop-down lists

4. Select the [Next] button to continue.

Note: If the primary LEA CAASPP coordinator’s name is not correct, you must contact your LEA’s superintendent to resubmit the Superintendent Designation of LEA CAASPP Coordinator form to correct your information. This form is linked on the Forms Web page on the CAASPP Portal.

5. Enter the details of the incident on the screen shown in Figure 5. Field choices are as follows: • Date of incident* • Grade(s) affected (Choose all that apply)* • Total number of students involved* • Test Name and Type*

Smarter Balanced Summative Assessments ‒ Mathematics performance task (Math PT) ‒ Mathematics computer adaptive test (Math

CAT) ‒ English language arts/literacy performance

task (ELA PT) ‒ English language arts/literacy computer

adaptive test (ELA CAT) Science ‒ California Science Test (CAST) ‒ California Alternate Assessment for Science

(CAA Science)

California Alternate Assessments ‒ English language arts (CAA ELA) ‒ Mathematics (CAA Math)

http://www.caaspp.org/administration/forms/



Figure 5. Please enter information regarding this incident screen

Note: If you are reporting an incident involving the Smarter Balanced paper-pencil mathematics or ELA assessment or the Standards-based Tests in Spanish for Reading/Language Arts, please contact the CDE at 916-445-8765.

6. Select the [Next] button to continue. 7. Select a testing issue (Figure 6). The issue types will vary based on the test name and

type selected on the previous screen. If the issue type is underlined, hover over it to see its definition. Selecting certain issues causes additional questions to appear. Answer the questions to the best of your ability. See Appendix D for a list of issue types, descriptions, and the additional questions that appear after selection and Appendix E for possible responses to appeals filed.



Figure 6. Testing issue selections

8. Select the [Next] button to continue. 9. Review the details you entered (sample shown in Figure 7). If all the details about the

incident are correct, confirm your submission by selecting [View Decision]. If not, select the [Back] button to return to a previous screen and correct details.

Figure 7. Confirm your submission screen

10. If you see a screen asking you to upload (Figure 11) or enter individually (Figure 10) the SSIDs of students involved in the incident, continue to step 3 on page 21.

11. If you see the CDE Review Decision screen (sample shown in Figure 8), review the information provided. The next steps on this screen will vary based on the testing



incident. Add any additional comments or questions to the provided textbox, and then select the [Complete Submission] button. You must select the [Complete Submission] button to complete the STAIRS process. Failure to do so will result in an invalid STAIRS case number that cannot be used to submit an appeal.

Figure 8. CDE Review Decision screen

12. The Thank you for completing the submission of STAIRS case [#] screen (Figure 9) will load, confirming your submission is complete; you may close the Web browser or Web browser tab.

Figure 9. Thank you screen

Step 3. Submit SSIDs. Individually (for 10 or fewer students) 1. If, instead of the Thank you screen, you see a screen asking you to enter the SSIDs of

students involved in the incident (Figure 10), enter the SSIDs of the affected students. The number of fields you see will match the total number of students involved that you entered on the Please enter information regarding this incident screen (Figure 5).



Figure 10. Insert SSID(s) individually

2. Select the [Submit SSID(s)] button when you have entered all the SSIDs of the students involved. You will be directed to the CDE Review Decision screen (Figure 8). Review the details provided and select [Complete Submission].

3. The Thank you for completing the submission of STAIRS case [#] screen (Figure 9) will load, confirming your submission is complete; you may close the Web browser or Web browser tab.

Via Batch Upload (for 11 or more students) 1. If, instead of the Thank you screen, you see a screen asking you to upload the SSIDs of

students involved in the incident (Figure 11), select the [Excel file template] link to download the template. You will be required to use the template to upload a list of students in an Excel spreadsheet if 11 or more students were affected by the incident.

2. Enter the 10-digit SSIDs in column B. 3. Save the file as the same file type (.xlsx) using the STAIRS case number as the file

name. A sample STAIRS case number/file name is circled in Figure 11.

Figure 11. Upload SSIDs screen

4. Select the [Browse] button to find the file on your device or local network (Figure 11). Once you select the file, it will upload automatically.



5. If you upload the incorrect file, select the red [X] button on the right side of the row associated with the file to delete it (circled in Figure 12). Then repeat the previous step to locate and upload the correct file.

Figure 12. Uploaded SSID spreadsheet screen

6. Confirm the correct file has been uploaded and then select the [Submit SSID(s)] button. 7. You will be direct to the CDE Review Decision screen (Figure 8). Review the details

provided and select [Complete Submission]. 8. The Thank you for completing the submission of STAIRS case [#] screen (Figure 9) will

load, confirming your submission is complete; you may close the Web browser or Web browser tab.

Step 4. Take Necessary Action. 1. Shortly after you have submitted your incident report, you will receive an e-mail

containing a case number and outlining the next step(s) to take. Possible outcomes are described in Appendix B.

Note: In order to receive communications on next steps from the STAIRS, it is essential to:

• Add the [email protected] e-mail address to the safe senders list.

• Ensure that communications generated by the e-mail address [email protected] are not automatically sent to a junk mail or spam folder.

2. Please read the e-mail as soon as it is delivered; under certain circumstances (e.g., when you are reporting a security breach), you must call the California Department of Education immediately at 916-445-8765 to report that an adult or student exposed secure materials:

3. If you are required to file an appeal, you must file it within two business days of receiving the STAIRS response e-mail unless the appeal type is “invalidate,” in which case you should permit the student to finish testing since he or she will receive their actual score on the Student Score Report. See the Cautions About When to File an Appeal section on page 26 for more guidance on timing the filing of an appeal.





Communicating with the CDE about a Case Use the [Reply] button in the STAIRS response e-mail to communicate with the CDE regarding the incident you reported; do not reply to the confirmation e-mail.

From: 2016-17 STAIRS [mailto:[email protected]] Sent: Friday, March 31, 2017 9:10 AM To: STAIRS Form Submitter Subject: STAIRS: CDE Reply Notification [Case Number 000000]

Dear STAIRS Form Submitter (LEA CAASPP coordinator at Sample LEA [00000000000000]):

The CDE has responded to your comment related to STAIRS case number 000000.

Your Initial Comment [03-30-2017 11:57 AM]: This is where I can add a comment or question.

CDE Response [03-31-2017 09:09 AM]: Thank you for your comment or question. Here is the CDE's response.

Please reply to the comment above by selecting the [Reply] button below.

Doing so opens the CDE Review Decision screen shown in Figure 8; enter your questions or comments in the textbox. When the CDE has responded, you will receive an e-mail with that response. Use the [Reply] button in that e-mail if you have additional questions about that case.


Chapter 3. Appeals

Appeals | About the Appeals Process


About the Appeals Process

Additional Resources: • California Department of Education (CDE) California Accountability Model &

School Dashboard Web page—http://www.cde.ca.gov/ta/ac/cm/index.asp • California Assessment of Student Performance and Progress (CAASPP)

Security and Test Administration and Incident Reporting System (STAIRS) for Summative Assessments Web page—http://www.caaspp.org/stairs/

• CAASPP Online Test Administration Manual Web document—http://www.caaspp.org/rsc/pdfs/CAASPP.online_tam.2016-17.pdf

Appeals are filed by the local educational agency (LEA) CAASPP coordinator or the CAASPP test site coordinator if directed in the e-mail response to the submitted CAASPP STAIRS form. For security incidents that result in a need to reset, reopen, or invalidate individual student summative assessments, the request must be approved by the CDE. The request to restore a test that was inadvertently or inappropriately reset because a reset in a test appeal request was wrongly requested must be made by the LEA CAASPP coordinator directly to the California Technical Assistance Center (CalTAC). Note that it is not possible to restore an invalidated test. In most instances, an appeal must be submitted to address a test security breach or irregularity. In some cases, an appeal must be submitted to address incidents that are not security related such as reopening an assessment for a student who becomes ill and is unable to resume testing until after his or her summative test(s) has expired or a student who accidentally submitted his or her test prior to completion.

Cautions About When to File an Appeal Note the following about when to file the appeal:

• If the incident type is student cheating, the LEA should wait until the student has completed testing before filing the appeal for invalidation. Invalidated summative tests will be scored and scores will be provided on the Student Score Report with a note that an irregularity occurred. The student(s) will be counted as participating in the calculation of the school’s participation rate for federal accountability purposes.

• When requesting that a student’s test be reopened, submit the CAASPP STAIRS form and subsequent appeal with sufficient time for the student to complete testing since the test will be available for no more than 10 days.

• Any appeal that results in a student’s continued testing must be filed with sufficient time for the student to complete testing before the end of the LEA’s selected testing window.

http://www.cde.ca.gov/ta/ac/cm/index.asp





Reasons for Rejection The following are reasons to reject an appeal:

• An appeal request does not fit the requirements of the types of appeals (reset, re-open, grace period extension, invalidate) described in this manual.

• STAIRS case number not entered in Appeals module

• An incorrect type of appeal was requested (such as a request to reset rather than reopen).

Steps to Follow to File an Appeal Warnings:

• An appeal must be filed before the end of the selected testing window. Once the selected testing window closes, students cannot resume testing.

• The appeal may delay the student’s receipt of a Student Score Report that is accurate and final.

LEA CAASPP coordinators or CAASPP test site coordinators should take the following steps to file an appeal. 1. Document and submit an irregularity or test security incident for a summative

assessment using the CAASPP STAIRS form which is available in the Test Operations Management System (TOMS). You will be prompted for information.

2. Read the STAIRS response e-mail you receive as a result of the submittal and note the STAIRS case number. If you are instructed to file an appeal in TOMS, you will receive directions on which appeal type to request.

3. File the appeal(s) through TOMS within two business days of receiving the STAIRS response e-mail unless the appeal type is “invalidate,” in which case you should permit the student to finish testing. For more guidance on timing the filing of an appeal, see the section Cautions About When to File an Appeal on page 26.

4. The CDE will make a decision on the appeal within four business days of its receipt; you will receive a notification from TOMS when a decision has been made.

Post-Decision Actions If your appeal is denied for an administrative reason—for example, because you filed the wrong type of appeal (e.g., to reset instead of reopen)—you may refile. If your appeal is approved, note the following about the actions you can take:

• You may begin or resume testing a student.

• Students may not continue testing beyond the test site’s selected testing window. (You may also want to make this a consideration when you file an appeal.)



• When an appeal to reopen the test has been granted, the expiration window will be reset to 10 days, provided that sufficient time remains in the selected testing window, Online System Appeals Types

The online appeals types are described in Table 3.

Table 3. Online System Appeals Types Type of Appeal Description Conditions for Use RESET Resetting a student’s summative test

removes that test from the system and enables the student to start a new test from the beginning.

The CDE may reset any test (computer adaptive test [CAT] or performance task [PT]) if any of the following settings need to be changed because they were incorrectly set: • American Sign Language (for mathematics

and English language arts/literacy [ELA] listening)

• Braille (braille is a language setting) • Closed captioning (for ELA listening stimuli) • Streamlined interface (the streamlined

interface is a test shell setting) • Translation—stacked (for mathematics tests

only) Note: Stacked translations are automatically provided when the selected language is Spanish.

• Translation—glossary (for mathematics tests only)

• Text-to-speech as an accommodation (e.g., for ELA reading passages in grades 3–5 only). Note: Text-to-speech when used for items only, except as part of an individualized education program or Section 504 plan, is a designated support and NOT a valid reset request.

• Any non-embedded accommodation(s) Enter into STAIRS.



Type of Appeal Description Conditions for Use INVALIDATION Invalidated summative tests will be

scored and scores will be provided on the Student Score Report with a note that an irregularity occurred. The student(s) will be counted as participating in the calculation of the school’s participation rate for federal accountability purposes. The score will be counted as “not proficient” for aggregation into the CAASPP results.

The CDE may invalidate any test (CAT or PT) if: 1. There is a test security breach.

Contact the CDE and then enter into STAIRS.

2. The test is administered in a manner inconsistent with the CAASPP Online Test Administration Manual. Enter into STAIRS.

3. There is a testing session in which a student deliberately does not attempt to respond appropriately to items. Enter into STAIRS.

Note 1: After reviewing the circumstances of an incident, the CDE may elect only to document the above conditions as testing irregularities, rather than to invalidate the test. The student should continue testing; the test will not be invalidated. Note 2: Students should be permitted to complete an assessment despite the test’s invalidation until the appeal is approved and the test has been officially invalidated.

RE-OPEN Reopening a summative test allows a student to access a test that has already been submitted or has expired. If an expired test is reopened, the test will resume at the last unanswered item on the assessment which could, in some cases, be different than where the student left off (if, for example, the student went back to review prior items).1 The student will be able to review items within the current segment of the assessment but cannot return to previous segments of the CAT without first submitting a grace-period extension. If a submitted test is reopened, the test will reopen at the last page of the test. The student cannot review items, even in the current segment, without first submitting a grace-period extension.

Note: A grace period extension appeal can only be requested for a test that is in a “paused” state

The CDE may reopen any test (CAT or PT) if: 1. A student is unable to complete a test due

to a technological difficulty that results in the expiration of the test. Enter into STAIRS.

The CDE may reopen a CAT if: 1. A student is unable to complete the test

before it expires (45 days) due to an unanticipated excused absence or unanticipated school closure. Enter into STAIRS.

The CDE may reopen a PT if: 1. A student is unable to complete the test

before it expires (10 days) due to an unanticipated excused absence or unanticipated school closure. Enter into STAIRS.

2. A student starts a PT unintentionally—for example, selects a PT instead of a CAT, or selects a mathematics PT instead of an ELA PT—and the student is unable to complete the test before it expires (10 days). Enter into STAIRS.

1 A test that is reopened following an expiration will remain open for 10 calendar days from the date it was reopened.





Type of Appeal Description Conditions for Use and only if the test expired due to a disruption or a technical issue. If the test is not paused, you must first submit a re-open appeal request.

3. A student unintentionally submits a test before he or she has completed it—for example, a student submits the ELA PT before completing Part 2. Enter into STAIRS.

RESTORE Restoring a summative test returns a test from the Reset status to its prior status. This action can only be performed on tests that have been previously reset through a reset appeal request.

Requests to restore a test if a test was inadvertently or inappropriately reset because an LEA wrongly requested a reset in a test appeal request must be made by an LEA CAASPP coordinator who contacts CalTAC. Note that it is not possible to restore an invalidated test.

GRACE PERIOD EXTENSION

Note: A grace period extension is only for the CAT. There are no pause rules for the PT.

An appeal for summative assessments that allows the student to review previously answered questions upon logging back on to the assessment after expiration of the CAT pause rule. Note that for a PT, having the test administrator open a new testing session may be all that is needed to continue testing.

Grace period extensions are for situations where the 20-minute CAT pause rule was caused to expire by no fault of the student, for example, because of a fire drill, illness, or technical difficulty (and not for student breaks such as recess or lunch that lasted for more than 20 minutes). A grace period extension permits students to access the test and review prior items. If a summative assessment has already been submitted, the test must first be reopened.

Note: A grace period extension appeal can only be requested for a CAT that is in a “paused” state. If the test is not paused, you must first submit a re-open appeal request.

Appeals | Using the Appeals Module to File an Appeal


Using the Appeals Module to File an Appeal Required Information The Appeals module requires the following information from you:

• The Security and Test Administration Incident (STAIRS) case number you received in the STAIRS response e-mail as a result of submitting the California Assessment of Student Performance and Progress (CAASPP) STAIRS form.

• The appeal type you received in the STAIRS response e-mail (invalidate, reset, re-open, or grace period extension)

• Either the Statewide Student Identifier(s) (SSID) of the student(s) involved in the incident, the Results ID from the submitted assessment, or the Session ID from the Test Administrator Interface from the session in which the assessment being appealed was taken

Access the Appeals System Open the Appeals Module 1. Open an Internet browser. 2. Open the Test Operations Management System (TOMS) by going to

http://www.caaspp.org/ and selecting the [Test Operations Management System (TOMS)] button to access the TOMS Logon Web form.

3. When you have logged on and TOMS has opened, select the [STAIRS/Appeals] button in the left navigation bar (circled in Figure 13).

4. When the STAIRS/Appeals screen opens, select the [Appeals] button (also circled in Figure 13).




Figure 13. STAIRS/Appeals screen in TOMS

5. When the Test Information Distribution Engine Web application opens, select your user information from the Administration Details dialog box (Figure 14).

Figure 14. Administration Details dialog box

6. When the Home Page Dashboard opens, select [Appeals] in the “Administering Tests” section (Figure 15).



Figure 15. Home Page Dashboard

7. Select an option from the task drop-down list menu; to see its list of related tasks, select the [Expand] down-arrow [ ] or [Contract] up-arrow [ ] icon located at the end of the menu; options are Create Appeal Requests, View Appeal Requests, or Upload Appeal Requests.

Navigating the Appeals Module The menu bar, shown in Figure 16, allows access to different application features.

Figure 16. Navigation features for the Appeals module

The header, at the top, lists the user role for the user who is currently logged on to the system. Its features are: 1. The [? Help] button opens an online guide in a separate Web browser application

window. 2. The [Manage Account] button produces a drop-down list with the following options:

• Change Role, which reopens the Administration Details dialog box) • My Contact, which opens the My Contact Information dialog box for your review • Reset Password, which opens a separate Web browser application window that

allows you to change your CAASPP single sign-on password 3. The [Log out] button enables you to log off the system and prevents unauthorized

access to student information.



4. The [Home] icon [ ] takes you to the Home Page Dashboard from any page within the system.

5. The [Preparing for Testing] icon [ ] and link produces the Rosters drop-down option.

6. The [Administering Tests] icon [ ] and link produces the Appeals and Completion Status Reports drop-down options.

Appeals | How to Submit an Appeal Individually


How to Submit an Appeal Individually

Note: Local educational agency (LEA) California Assessment of Student Performance and Progress (CAASPP) Coordinators can access testing records and submit appeals for enrolled students at any school in the LEA. CAASPP test site coordinators can access testing records and submit appeals for students enrolled at their school only.

1. Access the Appeals System. 2. Select Create Appeal Requests from the [Appeals] drop-down button list on the Home

Page Dashboard (shown in Figure 15) or from the Appeals drop-down list on the module header (Figure 16).

3. Select a type of appeal from among the Request Type radio buttons (Figure 17) using the appeal type identified in the STAIRS response e-mail.

Figure 17. Select an appeal type

4. Select the criterion by which you will search for a student (Figure 17). Selecting an option opens a text field into which you enter the chosen identification number. Options are as follows: • Result ID—The identification number of the student’s completed assessment • Session ID—The test administrator’s identification from the session in which the

student took the test • SSID—The student’s Statewide Student Identifier (SSID)

5. Enter the criterion based on the option selected (an example criterion, SSID, is circled in in Figure 18). If you selected Result ID or Session ID, you will need to look up the identification number in the Completion Status module; see the instructions in the How to Look Up Student Information in the Completion Status System section.



Figure 18. Enter the search criterion

6. Select the [Search] button; results will appear in a table (Figure 19). (Note that the column “School IRN” is the equivalent of the county/district/school [CDS] code.)

Figure 19. Results of student search

7. Check the box to select a student. If the results returned multiple results (as they might when Session ID was the criterion), select the check box in the table’s header row to select all students in the table.

8. Select the [Create] button above the records table to create the student’s appeal. The Reason pop-up box appears (Figure 20).

10

12

Figure 20. Reason selection pop-up box

9. In the Reason pop-up box, select a reason from the Select a reason from the list drop-down list (circled in Figure 20). Note the following about this drop-down list: • This list is populated based on the type of appeal selected. • Hover your mouse over the reason if it is truncated due to width constraints. • Selecting a reason may open a text box into which you can add additional information

about the appeal you are filing. • Reasons for each type of appeal are listed in Appendix F.



10. Enter the STAIRS case number assigned in the STAIRS response e-mail you received after reporting a testing incident. You must have a STAIRS case number to file an appeal.

11. Certain appeals types will permit you to enter a comment about the appeal you are filing. This comment is not mandatory.

12. Select [Submit] to create the appeal and then [Continue] to confirm. When the data refresh, they will show the [Create] button as being not available and will add an appeal status.

13. Repeat for additional students, perform another activity, or exit the Appeals module.

Appeals | How to Submit Appeals via Batch Upload and Selection


How to Submit Appeals via Batch Upload and Selection

Note: Local educational agency (LEA) California Assessment of Student Performance and Progress (CAASPP) coordinators can access testing records for and submit appeals for students enrolled at any school in the LEA. CAASPP test site coordinators can access testing records for and submit appeals for students enrolled at their school only.

This process permits upload of a list of students for whom appeals are being requested. After upload, student tests can be selected for submission of an appeal. 1. Access the Appeals System.2. Select Upload Appeal Requests from the [Appeals] drop-down button list on the Home

Page Dashboard (shown in Figure 15) or from the Appeals drop-down list on themodule header (Figure 16).

Figure 21. Upload appeals batch file

3. Select the [Download Template] button, shown in Figure 21, to download the templateto save locally. After you select this list button, select the Excel option and then save thefile locally.

4. Enter your data into Excel. Fields are shown in Table 4.

Table 4. Fields in the batch upload template Field Description

TYPE Select from one of the four types of appeals in the drop-down list: 1. Reset test

2. Reopen test

3. Grace period extension

4. Invalidate test



Field Description SEARCHTYPE Enter the means by which this student will be identified to the Appeals

module. There are three search types in the drop-down list: 1. Result ID

2. SSID (Statewide Student Identifier)

3. Session ID

Selecting Session ID will return all students who tested in the named session. This is the only option that will return multiple student results.

SEARCHVALUE Enter the number by which you will be identifying the student: 1. If you selected Result ID, enter the number that identifies the submitted

test.

2. If you selected SSID, enter the student’s 10-digit SSID number.

3. If you selected Session ID, enter the number of the session ID that identifies the testing session from the Test Administrator Interface.

REASON Select a reason for the appeal from the drop-down list. This list is populated based on the type of appeal selected. Reasons for each type are listed in Appendix F.

COMMENTS Enter any additional comments you would like to make regarding your appeal.

EXTERNALREFERENCEID Enter the Security and Test Administration Incident Reporting System (STAIRS) case number.

5. Select the [Browse] button to select a file to upload and then the [Next] button to continue (circled in Figure 21).

6. After you have uploaded the file, you can preview the first three records in your file (Figure 22).

Figure 22. Upload appeals preview

7. Select the [Next] button to review your file for errors (Figure 23).



Figure 23. Validate appeals upload file

8. Select the [Continue with Upload] button to finish the process (or [Upload Revised File] if you need to submit a corrected file or [Cancel] to exit the process without uploading a file) (Figure 23). a. Use the legend to determine any errors you may have included in your file. Correct

the file and resubmit. The record number, field name, and validation message (such as, “SEARCHVALUE is invalid. Use 1–13 characters”) are included for each failed record. This will help you fix your data errors and start the upload process again.

9. Review the student tests that have appeared and select the one(s) for which you wish to submit an appeal. To select a student test record, first check the box(s) at the far left of the student row (circled in Figure 24; there is also an option to select all check boxes at the top of the column that is surrounded by a square).

10

Figure 24. Review and select records

10. When you have finished selecting the student test(s) for which you are submitting an appeal, select the [Commit] button (Figure 24). Select [Cancel] to exit this process.

11. The final screen that appears in this process shows the outcome of the records you submitted (Figure 25).



Figure 25. Validation of submitted records

12. Repeat for another group of students, perform another activity, or exit the Appeals module.

Appeals | How to Check an Appeal Status


How to Check an Appeal Status

Note: Local educational agency (LEA) California Assessment of Student Performance and Progress (CAASPP) coordinators can access testing records for and view appeals submitted for students enrolled at any school in the LEA. CAASPP test site coordinators can access testing records for and view appeals submitted for students enrolled at their school only.

Once an appeal has been filed, you can view the student’s appeal status in the Appeals System or in the Test Operations Management System (TOMS). Table 5 lists and describes possible statuses.

Table 5. Appeal statuses Appeal Status Description of Status

Submitted for Processing Appeal submitted but not yet processed.

Processed Appeal was successfully processed and the test opportunity has been updated.

Error Occurred An error occurred while the appeal was being processed. The appeal may need to be resubmitted.

Rejected by System Test delivery system was unable to process the appeal. This may occur when an incongruent appeal request is submitted based upon the current student test status (e.g. attempting to reopen an unexpired test).

Requires Resubmission Appeal must be resubmitted to be considered.

Pending Approval Appeal is pending approval in the approver queue.

Rejected Appeal was rejected by the approving party.

Retracted Originator retracted the appeal.

View a Status in the Appeals System 1. Access the Appeals System. 2. Select View Appeal Requests from the [Appeals] drop-down button list on the Home

Page Dashboard (shown in Figure 15) or from the Appeals drop-down list on the module header (Figure 16); the View Appeals screen appears (Figure 26).



Figure 26. Select an appeals type to view

3. Select an appeal type(s) from the Request Type check boxes (Figure 26). Select “All” to request all appeal types. Appeal types are as follows:

• Invalidate Test • Reset Test • Reopen Test • Grace period extension

4. Select a status in the Request Status check boxes, shown in Figure 26. These are defined in Table 5. Select “All” to see request all appeal statuses.

5. Select an option from the drop-down list by which your results will be filtered. Select “All” to see items from all the filter types; otherwise, filter types are as follows:

• Result ID • SSID

• Request Date • Case Number

• User Name • School

6. Selecting a filtering type will open a field in Step 4 in which you enter the criterion, such as an SSID for a specific student or a requester.

7. Once you select the filter option, the [Search] button appears. Select this button to see a list of results.



a

b

Figure 27. View Appeals Requests: Results

8. From this view, you can export all or selected results into an Excel spreadsheet by taking the following steps: a. Select the check box to export individual records or at the top of the check box

column to export all returns. Both are indicated in Figure 27.

b. Select the [Export] right-arrow [ ] button (Figure 27) and then selecting an export type, either Excel .xlsx file or .csv file. You also have the option to export all or selected data; however, you must select data for this option to be available. The following data appear in the download file: • Case Number • Request Type • School IRN • ResultID • Last Name • First Name • SSID

• Request Status • Request Date • Additional Comments [entered by the

user when the appeal was submitted] • STAIRS Case Number • Test

• Test Opp # • Test Status • Requested By • Test Start Date • Date of Last Activity • Requested By Email

9. If the appeal has not yet been processed (that is, if its Request Status is “Pending Approval”), you may retract it: a. Select the check box to export individual records or at the top of the check box


b. Select the [Process] circle-arrows [ ] icon and select the Retract option.

c. When the Reason pop-up box appears, enter a reason for the retraction request. When you are finished, select the [Submit] button to submit the reason for the retraction or [Cancel] to exit without saving the reason (Figure 28).

Note: While you cannot undo a retraction, you have the option of resubmitting the appeal if the situation warrants, for example, if the wrong appeal type had been requested.



Figure 28. Reason pop-up box for retracting an appeal

10. Perform another activity or exit the Appeals module.

View a Status in TOMS 1. Open an Internet browser. 2. Open TOMS by going to http://www.caaspp.org/ and selecting the [Test Operations

Management System (TOMS)] button—circled in Figure 29—to access the TOMS Logon Web form.

Figure 29. Buttons on caaspp.org

3. Logon to TOMS. 4. Select the [Students] button in the left navigation bar (or, if the Students section is

already active, select the [Search] button).




Figure 30. Search for Students Web form

5. Enter details about the student in the search fields in the Search for Students Web form (shown in Figure 30); use the Select Filter drop-down lists to narrow your search (options are BeginsWith and Contains). or Select the LEA you are associated with by selecting the [Select Organization] link. a. To pull up all students in an associated organization, do not specify any search

criteria. b. To view students from a particular school, type at least five characters of the

school’s name (including spaces) or CDS code to get selectable values. 6. Select the [Search] button.



Figure 31. Student search results

7. Select a [View] magnifying glass icon in the Actions column shown in Figure 31 to access the Student Profile screen. The Student Profile opens with the [Demographics] tab selected.

8. Select the [Score Status] tab (Figure 32).

Figure 32. [Score Status] tab on the Student Profile screen

9. Scroll to the bottom of the form to the “Most Recent Appeals” section to see any appeals for the student (Figure 33).



Figure 33. Most Recent Appeals section of the Student Profile screen

10. Columns on this section of the Student Profile are listed and described in Table 6:

Table 6. Columns in the Most Recent Appeals section of the Student Profile screen Column Description Test Content area that is being appealed

Date Date the appeal was approved

Type Type of appeal: either reset, revert/restore, invalidate, or re-open

Reason Descriptive text for why an appeal was created

Appeals | How to Retract an Appeal


How to Retract an Appeal

Note: Local educational agency (LEA) California Assessment of Student Performance and Progress (CAASPP) coordinators can access testing records for and retract appeals submitted for students enrolled at any school in the LEA. CAASPP test site coordinators can access testing records for and retract appeals submitted for students enrolled at their school only.

Note: Only appeals that have not been processed—that is, those that have not been approved or denied—can be retracted.

You can retract an appeal by searching for it and then selecting the [Retract] button. 1. Access the Appeals System. 2. Select View Appeal Requests from the [Appeals] drop-down button list on the Home

Page Dashboard (shown in Figure 15) or from the Appeals drop-down list on the module header (Figure 16); the View Appeals screen appears (Figure 34).

Figure 34. Select an appeals type to view

3. Select an appeal type(s) from the Request Type check boxes (Figure 26). Select “All” to request all appeal types. Appeal types are as follows: • Invalidate Test • Reset Test • Reopen Test • Grace period extension

4. Select a status in the Request Status check boxes, shown in Figure 34. These are defined in Table 5. Select “All” to see request all appeal statuses.

5. Select an option from the drop-down list by which your results will be filtered. Select “All” to see items from all the filter types; otherwise, filter types are as follows:

• Result ID • SSID

• Request Date • Case Number

• User Name • School

Appeals | How to Retract an Appeal


6. Selecting a filtering type will open a field in Step 4 in which you enter the criterion, such as a Statewide Student Identifier (SSID) for a specific student or a requester.

7. Once you select the filter option, the [Search] button appears. Select this button to see a list of results.

a

b

Figure 35. View Appeals Requests: Results

8. If the appeal has not yet been processed (that is, if its Request Status is “Pending Approval”), you may retract it: a. Select the check box to export individual records or at the top of the check box


b. Select the [Process] circle-arrows [ ] icon and select the Retract option.

c. When the Reason pop-up box appears, enter a reason for the retraction request. When you are finished, select the [Submit] button to submit the reason for the retraction or [Cancel] to exit without saving the reason (Figure 36).

Note: While you cannot undo a retraction, you have the option of resubmitting the appeal if the situation warrants, for example, if the wrong appeal type had been requested.

Figure 36. Reason pop-up box for retracting an appeal

9. Perform another activity or exit the Appeals module.

Appeals | How to Look Up Student Information in the Completion Status System


How to Look Up Student Information in the Completion Status System

Note: Local educational agency (LEA) California Assessment of Student Performance and Progress (CAASPP) coordinators can access testing records for students enrolled at any school in the LEA. CAASPP test site coordinators can access testing records for students enrolled at their school only.

Additional Resources: • Guide to CAASPP Completion Status and Roster Management Web

document—http://www.caaspp.org/rsc/pdfs/CAASPP.completion-status-roster-management-guide_2016-17.pdf

You can use the Plan and Manage Testing tool in the Completion Status module to validate student testing activity prior to filing an appeal to retrieve student Session IDs and the Student Result IDs that you use instead of Statewide Student Identifiers (SSIDs) to file an appeal. Take the following steps to look up student data in the Completion Status module: 1. Open an Internet browser. 2. Open the Completion Status Module by going to http://www.caaspp.org/ and selecting

the [Completion Status/Roster Management] button—circled in Figure 37—to access the Logon Web form.

Figure 37. Buttons on caaspp.org

3. Enter your user name and password to log on to the Test Information Distribution Engine (TIDE) Web application.

4. When TIDE opens, select [Completion Status Reports] in the “Administering Tests” section of the Home Page Dashboard (Figure 38).

http://www.caaspp.org/rsc/pdfs/CAASPP.completion-status-roster-management-guide_2016-17.pdf

http://www.caaspp.org/rsc/pdfs/CAASPP.completion-status-roster-management-guide_2016-17.pdf




Figure 38. Home Page Dashboard

5. Select the Plan and Manage Testing option. 6. Select from the criteria on the Plan and Manage Testing screen. You can filter by a

number of criteria including grade, test, school, group, test statuses such as students who have started tests and who have started within a specific window (steps 1–3 in Figure 39). Select the [Generate Report] button when you have finished selecting options.

Figure 39. Select criteria in Plan and Manage Testing



7. The results page that appears (Figure 40) will show a list of the students who meet the criteria selected in the previous step (Figure 39).

8. Select the [Show/Hide Columns] icon to customize the appearance of each results page. Options are as follows: • Name • SSID • Enrolled Grade • Restricted Subjects • Current ELL • Test

• Language • Opportunity • TA Name • SessionID • Status • Results ID

• Restarts • Restarts with Grace Period • Date Started • Date Completed • Last Activity • Expiration Date

Figure 40. Plan and Manage Testing results

9. Identify and copy the required data before either selecting the [Back] button to initiate a new search or exiting the TIDE application.



This page is left blank intentionally.

Appendixes

Appendixes | Test Security and Incident Chart


Appendix A. Test Security and Incident Chart The Test Security Chart shows the test security incident levels and examples of types of issues.

Level of Severity &

Potential Effect on Test Security

Types of Issues

LOW Impropriety

Student(s) making distracting gestures/sounds or talking during the test session that creates a disruption in the test session for other students.

Student(s) leaving the test room without authorization.

Administrator or coordinator leaving related instructional materials on the walls in the testing room.

MEDIUM Irregularity

Student(s) cheating or providing answers to each other, including passing notes, giving help to other students during testing, or using hand-held electronic devices to exchange information.

Student(s) accessing the Internet or any unauthorized software or applications during a testing event.

Student(s) accessing or using unauthorized electronic equipment (e.g., cell phones, PDAs, iPods, or electronic translators) during testing.

Disruptions to a test session such as a fire drill, school-wide power outage, earthquake, or other acts.

Administrator or coordinator failing to ensure administration and supervision of the Smarter Balanced assessments by qualified, trained personnel.

Administrator giving incorrect instructions that are not corrected prior to testing.

Administrator or coordinator giving out his or her username/password (via e-mail or otherwise), including to other authorized users.

Administrator allowing students to continue testing beyond the close of the testing window. For the performance task (PT), this is 10 calendar days. For the computer adaptive test (CAT), this is 45 calendar days. For a paper-pencil assessment, this is three weeks.

Administrator providing a student access to another student’s work/responses (unintentional access granted).


Level of Severity &

Potential Effect on Test Security

Types of Issues

MEDIUM Irregularity

Student not receiving accessibility support or accommodation as required by individualized education program (IEP) or Section 504 plan.

Student without IEP or Section 504 plan did not get a designated support.

Administrator or teacher coaching or providing any other type of assistance to students that may affect their responses. This includes both verbal cues (e.g., interpreting, explaining, or paraphrasing the test items or prompts) and nonverbal cues (e.g., voice inflection, pointing, or nodding head) to the correct answer. This also includes leading students through instructional strategies such as think-aloud, asking students to point to the correct answer or otherwise identify the source of their answer, or requiring students to show their work.

Administrator providing students with nonallowable materials or devices during test administration or allowing inappropriate designated supports and/or accommodations during test administration.

Administrator allowing designated supports not indicated by an educator (or team of educators with parent/guardian and student input) and that are not in the student's IEP or Section 504 plan.

Administrator allowing inappropriate accommodations (which are not in the student's IEP or Section 504 plan) during test administration.

Administrator allowing anyone other than a student to log on to the test unless prescribed as an allowable accommodation in the student’s IEP. This includes test administrators or other staff using student information to log on or allowing a student to log on using another student’s information.

Administrator providing a student access to another student’s work/responses (intentional access granted).

HIGH BREACH

Administrator or coordinator modifying student responses or records at any time.

The live student interface or Test Administrator Interface being used for practice instead of the training or practice tests.

Adult or student posting items or test materials on social media (Twitter, Facebook, etc.).

Administrator allowing students to take home printed test items, reading passages, writing prompts, or scratch paper that was used during the test or failing to otherwise securely store test materials.

Adult or student copying, discussing, or otherwise retaining test items, reading passages, writing prompts, or answers for any reason. This includes the use of photocopiers or digital, electronic, or manual devices to record or communicate a test item. This also includes using secure test items, modified secure test items, reading passages, writing prompts, or answer keys for instructional purposes.

Secure test materials being shared with the media (such as the writing prompts, test items, or reading passages), or allowing media to observe a secure test administration.

Adult or student improperly removing secure testing materials such as test items, stimuli, reading passages, writing prompts, or scratch paper from the testing environment.

Appendixes | Test Security and Incident Chart

Appendixes | Incident Types, Descriptions, and Actions in the California Assessment of Student Performance and Progress (CAASPP) Security and Test Administration Reporting System (STAIRS) Form

58 CAASPP Security Incidents and Appeals Procedure Guide Updated April 27, 2017 Copyright © 2017 by the California Department of Education

Appendix B. Incident Types, Descriptions, and Actions in the California Assessment of Student Performance and Progress (CAASPP) Security and Test Administration Reporting System (STAIRS) Form

Incident Name Issue Description Post-Form Action Breaches

Exposing Secure Materials—Retaining or Sharing (Adult)

Adult retaining or sharing secure summative testing materials

Contact the California Department of Education (CDE) at 916-445-8765 within 24 hours of the incident to report the issue and submit CAASPP STAIRS form.

Exposing Secure Materials—Retaining or Sharing (Student)

Student retaining or sharing secure summative testing materials

1. Contact the CDE at 916-445-8765 within 24 hours of the incident to report the issue and submit CAASPP STAIRS form.

2. Submit an “Invalidate a Test” appeal request in the Test Operations Management System (TOMS).

Exposing Secure Materials—Social Media (Adult)

Adult posting items or secure summative testing materials on social media such as Facebook, Twitter, or Instagram

Contact the California Technical Assistance Center (CalTAC) within 24 hours of the incident to report the issue and submit CAASPP STAIRS form.

Exposing Secure Materials—Social Media (Student)

Student posting items or secure summative testing materials on social media such as Facebook, Twitter, or Instagram

1. Contact CalTAC within 24 hours of the incident to report the issue and submit CAASPP STAIRS form.

2. Submit an “Invalidate a Test” appeal request in TOMS.

Accidental Summative Access Unintentional administration of a summative assessment for practice instead of the practice or training tests

1. Submit CAASPP STAIRS form and submit a “Reset a Test” appeal request in TOMS for the student if one of the following conditions apply: • Less than 10 CAT items or less

than 1 PT items were completed • Student did not receive a

designated support or accommodation as listed in an individualized education Program (IEP) or Section 504 plan

OR

Appendixes | Incident Types, Descriptions, and Actions in the California Assessment of Student Performance and Progress (CAASPP)

Security and Test Administration Reporting System (STAIRS) Form

Updated April 27, 2017 CAASPP Security Incidents and Appeals Procedure Guide 59 Copyright © 2017 by the California Department of Education

Incident Name Issue Description Post-Form Action 2. Submit CAASPP STAIRS form and

submit a “Re-open a Test” appeal request in TOMS for the student if one of the following conditions apply: • Ten or more CAT items or 1 or

more PT items were completed • Student received the appropriate

designated support or accommodation as listed in an IEP or Section 504 plan

OR 3. Submit CAASPP STAIRS form and

submit an “Invalidate a Test” appeal request in TOMS after the student has completed his or her assessment if one of the following conditions apply: • Test administrator coached

students • Students interacted about test

questions • Students accessed unauthorized

materials

Irregularities

Accessibility Issue—Incorrect Support or Accommodation Setting

Student not given accessibility support or accommodation in IEP or Section 504 plan

Submit CAASPP STAIRS form and submit a “Reset a Test” appeal in TOMS. If at least five CAT items and at least one PT item were completed, this will count as an irregularity.

Accessibility Issue—Incorrect Support or Accommodation Setting

Student given an accessibility support or accommodation that is not in an IEP or Section 504 plan

Submit CAASPP STAIRS form and retain the e-mail for your records.

Accessibility Issue—Designated Language Support

Student not given or given incorrect stacked translation or embedded glossary setting without the designated support in the IEP or Section 504 plan

Submit CAASPP STAIRS form and submit a “Reset a Test” appeal request in TOMS.



Incident Name Issue Description Post-Form Action Disruption or Technical Issues Technical issues or school

emergencies

Note: If the test is a PT, having the test administrator open a new testing session may be all that is needed for students to continue testing.

Submit CAASPP STAIRS form and submit a “Grace Period Extension” appeal request in TOMS if the 20-minute pause rule for the CAT expired.

Note: A grace period extension appeal can only be requested for a test that is in a “paused” state. If the test is not paused, you must first submit a reopen appeal request.

Incorrect SSID Used—No Switch

Student(s) taking test associated with a different student's SSID

1. Submit CAASPP STAIRS form and submit a “Reset a Test” appeal request in TOMS.

OR 2. Submit CAASPP STAIRS form and

re-administer tests to the student using his or her assigned SSID.

Incorrect SSID Used—Switch Student taking test(s) associated with a different student's SSID, and vice versa

1. Submit CAASPP STAIRS form and contact CalTAC regarding this situation.

2. Retain the e-mail for your records. Incorrect SSID Used—Intentional

Student(s) taking test associated with a different student's SSID

Submit CAASPP STAIRS form and submit an “Invalidate a Test” appeal request in TOMS stop the test and score the answered questions.

Student(s) Cheating or Accessing Unauthorized Devices

Student(s) cheating or access unauthorized device(s) such as a cell phone or other electronic device

Submit CAASPP STAIRS form and Submit an “Invalidate a Test” appeal request in TOMS.

Student(s) Unable to Review Previous Answers on the CAT

20 minute CAT pause rule has been exceeded Note: If the test is a PT, having the test administrator open a new testing session may be all that is needed to continue testing.

Submit CAASPP STAIRS form and submit a “Grace Period Extension” appeal request in TOMS.

Note: A grace period extension appeal can only be requested for a test that is in a “paused” state and only if the test expired due to a disruption or a technical issue. If the test is not paused, you must first submit a reopen appeal request.

Validity Issue—Adult Interference

Test administrator coaching/providing answers to students, modifying student responses, allowing unauthorized access to student tests, deliberate inappropriate response by student

Submit the CAASPP STAIRS form and submit an “Invalidate a Test” appeal request in TOMS after the student has completed his or her assessment.

Appendixes | Incident Types, Descriptions, and Actions in the California Assessment of Student Performance and Progress (CAASPP)

Security and Test Administration Reporting System (STAIRS) Form

Updated April 27, 2017 CAASPP Security Incidents and Appeals Procedure Guide 61 Copyright © 2017 by the California Department of Education

Incident Name Issue Description Post-Form Action Validity Issue—Inappropriate Designated Support and/or Accommodation

Test administrator allowing inappropriate designated supports and/or accommodations which are not designated in the student's IEP or Section 504 plan during test administration

Submit CAASPP STAIRS form and submit an appeal request in TOMS: • “Reset a Test” appeal, if less than

10 CAT items or less than 1 PT items were completed

• “Invalidate a Test” appeal, if 10 or more CAT items or more than 1 PT items were completed

Validity Issue—Student Does Not Respond

Student deliberately does not attempt to respond appropriately to items

Submit the CAASPP STAIRS form and submit an “Invalidate a Test” appeal request in TOMS after the student has completed his or her assessment.

Improprieties

Administration Error One of the following conditions: • Inappropriate or incomplete

test preparation • Leaving related instructional

materials on the walls in the testing room

• Failing to ensure administration and supervisions of online tests

• Giving incorrect instructions that are not corrected prior to testing

• Sharing username or password (via e-mail or otherwise) to other authorized users

• Allowing students to continue testing beyond the close of a paper-pencil testing window


Student Disruption Student(s) leaving the room or disrupting the testing session


Restoration of Test Access

Restore a Reset Test Student’(s’) summative test(s) was (were) inadvertently or inappropriately reset because a local educational agency wrongly requested a Reset in a test appeal request. Note that it is not possible to restore an invalidated test.

Contact CalTAC.



Incident Name Issue Description Post-Form Action Expired Test Expiration or accidental

submission of a student's CAT or PT prior to completion

Submit CAASPP STAIRS form and submit a “Re-open a Test” appeal request in TOMS.

Administration Incidents

Unanticipated Expiration Student unable to complete the test before it expires due to an unanticipated excused absence or unanticipated school closure


Student Unable to Finish Test Started Unintentionally

Student starts a performance task (PT) unintentionally—for example, selects a PT instead of a computer adaptive test, or selects a mathematics PT instead of an English language arts/literacy PT—and the student is unable to complete the test before it expires


Lost Logon Information Having lost or missing student logon information

No action required

Appendixes | Security and Test Administration Incident Report System Process Flowchart


Appendix C. Security and Test Administration Incident Report System Process Flowchart

Yes

Yes

Yes

No

Security Test Administration

and Incident Reporting

System Process

Appendixes | Incident Types and Questions on the California Assessment of Student Performance and Progress (CAASPP) Security and Test Administration Incident Reporting System (STAIRS) Form


Appendix D. Incident Types and Questions on the California Assessment of Student Performance and Progress (CAASPP) Security and Test Administration Incident Reporting System (STAIRS) Form

Issue Description Additional Questions Accessibility Issue Student accessibility support or accommodation

required by individualized education program (IEP) or Section 504 plan or translation support (stacked or glossary) was set incorrectly and needs to be changed.

Please provide the indicated information and select the description that best applies to the kind of accessibility issue that occurred.* A designated support or accommodation required

by the student's individualized education program (IEP) or Section 504 plan was set incorrectly and needs to be corrected.

A designated translation support (stacked translation or glossary) for a student who does not have an IEP or Section 504 plan was set incorrectly and needs to be corrected.

The student completed at least one performance task (PT) question or at least five computer adaptive test (CAT) questions. (True/False)* True False

Provide a brief description that supports the testing issue reason selected.

Appendixes | Incident Types and Questions on the California Assessment of Student Performance and Progress (CAASPP) Security and Test Administration Incident Reporting

System (STAIRS) Form


Issue Description Additional Questions Accidental Summative Access The summative assessment was administered

unintentionally, instead of the interim or practice test. Please select the description that best applies to the condition(s) of the accidental summative access that occurred. Note: If more than one description applies, please submit a separate STAIRS report for each corresponding case. The student has neither an IEP nor a Section 504

plan and has completed less than 10 CAT or less than 1 PT question.

The student did not receive a designated support or accommodation as prescribed by the student's IEP or Section 504 plan.

Neither of these options is true. Provide a brief description that supports the testing issue reason selected.

Administered Incorrect Assessment

A student was accidentally administered an incorrect assessment type (e.g., general instead of alternate).


Administration Error There was inappropriate or incomplete test preparation.

Please select the description that best describes the kind of administration error that occurred.* Related instructional materials were left on the

walls in the testing room. There was a failure to ensure administration and

supervision of the assessment(s) by qualified, trained personnel.

Incorrect instructions were given that were not corrected prior to testing.

A test administrator, test examiner, or coordinator shared his or her username/password (via e-mail or otherwise), including to other authorized users.


Disruption or Technical Issues There were disruptions to a test session, such as a technical difficulty, fire drill, schoolwide power outage, earthquake, or other act beyond the control of the test administrator.




Issue Description Additional Questions Expired or Accidentally Submitted Test

A student accidentally submitted a test prior to completion or started a test and was unable to complete the test before it expired.

Please provide the indicated information and select the description that best applies to the kind of test expiration issue that occurred.* An unanticipated excused student absence

resulted in test expiration. A student started a test unintentionally and was

unable to complete the test before it expired. A student accidentally submitted a test prior to

completion. Provide a brief description that supports the testing issue reason selected.

Exposing Secure Materials A test administrator, test examiner, or student copied, discussed, retained, or shared secure test materials.

Please select the description that best applies to the kind of exposure of secure materials issue that occurred.*

The source of the breach was a(n):* Student Adult Please select the description that best applies to the kind of exposure of secure materials issue that occurred. Items or test materials were posted on social

media (e.g., Twitter, Facebook). An adult or student took home test materials

(printed test items, reading passages, writing prompts, or scratch paper that was used during the test); or copied, discussed, or retained test items, stimuli, reading passages, writing prompts, or answers for any reason. This also includes the use of photocopiers or digital, electronic, or manual devices to record or communicate a test item. Finally, this also includes use of secure test items, modified secure test items, reading passages, writing prompts, or answer keys for instructional purposes.

An individual shared secure test materials with the media (such as the writing prompts, test




Issue Description Additional Questions items, or reading passages), or allowed the media to observe a secure test administration.

An individual improperly removed secure materials, testing materials such as test items, stimuli, reading passages, writing prompts, or scratch paper from the testing environment.


Incorrect Statewide Student Identifier (SSID) Used

Student(s) accidentally took a test associated with a different student's SSID.

Please select one of the following test statuses for the student(s) who unintentionally used another student's(s') SSID. Test not completed. Test completed.


Student Cheating or Accessing Unauthorized Devices

Please select the description that best applies to the kind of student cheating or accessing of unauthorized devices that occurred.* A student cheated or provided answers to other

students, including passing notes, giving help to other students during testing, or using hand-held electronic devices to exchange information.

A student accessed the Internet or any unauthorized software or applications during a testing event (i.e., secure browser in permissive mode).

A student accessed or used unauthorized electronic equipment (e.g., cell phones, PDAs, iPods, electronic translators) during testing.




Issue Description Additional Questions Student Disruption Student(s) left the test room without authorization or

disrupted the testing session. Please select the description that best applies to the kind of student disruption that occurred.* Student(s) made distracting gestures/sounds or

talked during the test session creating a disruption in the test session for other students.

Student(s) left the test room without authorization.


Validity Issue A test administrator or test examiner coached/provided answers, modified student responses, or allowed unauthorized access to student tests, or a student did not attempt to respond appropriately to items.

Please select the description that best applies to the kind of validity issue that occurred.* A test administrator or test examiner provided

assistance (e.g., coaching) to students that may have affected their responses. This includes both verbal cues (e.g., interpreting, explaining, or paraphrasing the test items or prompts) and nonverbal cues (e.g., voice inflection, pointing, or nodding head) to the correct answer. This also includes leading students through instructional strategies such as using think-aloud, asking students to point to the correct answer or otherwise identify the source of their answer, or requiring students to show their work.

A test administrator or test examiner provided students with nonallowable materials or devices during test administration or allowed inappropriate accommodations that were not designated in the student's IEP or Section 504 plan during test administration.

A test administrator or test examiner allowed anyone other than a student to log on to the test unless prescribed as an allowable accommodation in the student’s IEP or if the student is taking the CAAs. This includes test administrators or other staff using student information to log on (or allowing a student to log on using another student’s information).




Issue Description Additional Questions A test administrator or test examiner modified

student responses or records at any time. A student deliberately did not attempt to respond

appropriately to items during a testing session. Provide a brief description that supports the testing issue reason selected.

Appendixes | Security and Test Administration Incident Reporting System (STAIRS) Applicable Testing Incidents Chart


Appendix E. Security and Test Administration Incident Reporting System (STAIRS) Applicable Testing Incidents Chart

Accessibility Issue – All A student accessibility support or accommodation required by an individualized education program (IEP) or Section 504 plan or translation support (stacked or glossary) was set incorrectly and needs to be changed.

Accidental Summative Access – SB Only The summative assessment was administered unintentionally, instead of the interim or practice test.

Administration Error – All Related instructional materials were left on the walls in the testing room. There was a failure to ensure administration and supervision of the assessment(s) by qualified, trained personnel or incorrect instructions were given that were not corrected prior to testing. A test administrator, test examiner, or coordinator shared his or her username/password (via e-mail or otherwise), including to other authorized users.

Disruption or Technical Issue – Not CAA* There were disruptions to a test session, such as a technical difficulty, fire drill, schoolwide power outage, earthquake, or other act beyond the control of the test administrator.

Exposing Secure Materials – All An adult or student posted items or test materials on social media (e.g., Twitter, Facebook). An adult or student copied, discussed, or retained test items or testing materials, including scratch paper. Secure test materials were shared with the media (such as the writing prompts, test items, or reading passages) or media were allowed to observe a secure test administration. An adult or student improperly removed secure testing materials from the testing environment. Incorrect Statewide Student Identifier (SSID) – All A test administrator or test examiner provided a student access to another student’s work/responses (accidental SSID swap).

Cheating/Accessing Unauthorized Devices – not CAA*

Student(s) cheated or provided answers to each other, including passing notes, giving help to other students during testing, or using hand-held electronic devices to exchange information. Student(s) accessed or used unauthorized electronic equipment (e.g., cell phones, PDAs, iPods, electronic translators) during the student's individual testing event. Includes accessing the Internet or any unauthorized software or applications.

Student Disruption – All Student(s) made distracting gestures/sounds or talked during the test session, creating a disruption in the test session for other students. Student(s) left the test room without authorization.

Test Expiration – Not CAA* A student accidentally submitted a test prior to completion or started a test and was unable to complete the test before it expired.

Validity Issue – not CAA Science A student deliberately did not attempt to respond appropriately to items. A test administrator, test examiner, or teacher coached a student or provided unfair or inappropriate assistance. A test administrator or test examiner provided students with nonallowable materials or devices or nonprescribed accommodation (i.e., not in the student's IEP or Section 504 plan) during test administration. A test administrator allowed anyone other than the student to log on to the test (unless prescribed as an allowable accommodation in the student’s IEP or the student was taking the CAAs). A test administrator, test examiner, or coordinator modified student responses or records at any time.

Special Case – All A student was administered the general assessment instead of the alternate assessment. A student was administered the alternate assessment instead of the general assessment.

* Mathematics, English Language Arts/Literacy, and Science

Appendixes | Reasons for Appeal Types in the Appeals System


Appendix F. Reasons for Appeal Types in the Appeals System

Appeal Type Reason

Invalidate Test

The student deliberately did not attempt to respond appropriately to items.

The student cheated or provided answers to another student.

The student accessed the Internet or used unauthorized electronic equipment.

A test administrator, test examiner, or teacher coached the student or provided unfair or inappropriate assistance during the test.

A test administrator or test examiner provided the student with nonallowable materials or devices or a nonprescribed accommodation.

A test administrator allowed someone other than the student to log on to the test (unless prescribed as an allowable accommodation in the student’s individualized education program).

A test administrator, test examiner, or coordinator modified the student’s responses or records at any time.

A student improperly removed, copied, discussed, or retained test items or testing materials, including scratch paper.

The summative assessment was unintentionally administered instead of an interim or practice test. (Accidental summative access)

Re-open Test

The student accidentally submitted a test prior to completion or started a test and was unable to complete the test before it expired.

The test session was disrupted due to a technical difficulty, fire drill, school-wide power outage, earthquake, or other act beyond the control of the test administrator.


Appendixes | Reasons for Appeal Types in the Appeals System


Appeal Type Reason

Reset Test

A student was accidentally administered an incorrect assessment type (e.g., general instead of alternate).

The test administrator or test examiner provided the student with access to another student’s work/responses. (Accidental Statewide Student Identifier swap)

A designated support or accommodation required by the student’s individualized education plan or Section 504 plan was set incorrectly and needs to be corrected.

A designated translation support (stacked or glossary) was set incorrectly and needs to be corrected.


Restore Test (from Reset) Test reset inappropriately or in error. This type of appeal is requested by contacting the California Technical Assistance Center. Note that it is not possible to restore an invalidated test.

Grace Period Extension

The 20-minute pause rule for the general assessments was exceeded because of disruptions to a test session beyond the control of the test administrator.

Note: A grace period extension appeal can only be requested for a test that is in a “paused” state and only if the test expired due to a disruption or a technical issue. If the test is not paused, you must first submit a reopen appeal request.

2016–17 CAASPP Security Incidents and Appeals Procedure Guide · 2017-04-27 · • Chapter 1,...

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Transcript of 2016–17 CAASPP Security Incidents and Appeals Procedure Guide · 2017-04-27 · • Chapter 1,...