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

Smarter Balanced Online

Test Administration Manual

2015–16 Administration

Smarter Balanced Online Summative Assessmentsfor English Language Arts/Literacy and Mathematics

Updated January 2016.

California customization prepared by Educational Testing Service ®

© Smarter Balanced Assessment Consortium, 2016

Descriptions of the operation of the Test Delivery System, Test Information Distribution Engine, and related systems are

property of the American Institutes for Research ® (AIR) and are used with permission of AIR.


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Table of ContentsCalifornia Support for the Smarter Balanced Online Assessments ...................................................... 1

1.0 Overview of the Smarter Balanced Assessments ............................................................................. 2 What’s New in the California Smarter Balanced Online Summative Assessments in 2015 –16 .................................... 2 1.1 About the Smarter Balanced Assessment Consortium ........................................................................................... 6

1.2 About the Test ........................................................................................................................................................ 6 1.3 Test Administration Roles and Responsibilities ...................................................................................................... 7 1.4 Training ................................................................................................................................................................. 11

2.0 Test Administration Resources ......................................................................................................... 12 2.1 Summative Assessment Administration Resources .............................................................................................. 12

3.0 Ensuring Test Security ....................................................................................................................... 16 3.1 Security of the Test Environment .......................................................................................................................... 16 3.2 Secure Handling of Printed Materials ................................................................................................................... 18

4.0 Responding to Testing Improprieties, Irregularities, and Breaches ............................................. 21 4.1 Impact and Definitions .......................................................................................................................................... 21 4.2 Reporting Timelines and Activities ........................................................................................................................ 22 4.3 Test Security Process—the Security and Test Administration Incident Reporting System ................................... 22 4.4 Test Security Incidents: Use of the CAASPP Security and Test Administration Incident Reporting System(STAIRS) Form ........................................................................................................................................................... 24

5.0 Appeals ................................................................................................................................................ 30 5.1 Process ................................................................................................................................................................. 30 5.2 Online System Appeals Types .............................................................................................................................. 31

6.0 Technology Infrastructure.................................................................................................................. 34 6.1 Technology Resources ......................................................................................................................................... 34 6.2 The Secure Browser ............................................................................................................................................. 34

7.0 General Test Administration Information ......................................................................................... 36 7.1 Assessment Participation ..................................................................................................................................... 36 7.2 General Rules of Smarter Balanced Online Testing for Test Administrators ........................................................ 37 7.3 Testing Time and Recommended Order of Administration ................................................................................... 39 7.4 Sensitive Responses ............................................................................................................................................ 46 7.5 Early Assessment Program (EAP) ........................................................................................................................ 47

8.0 Universal Tools, Designated Supports, and Accommodations ..................................................... 48 8.1 Smarter Balanced Guidelines ............................................................................................................................... 49 8.2 Definitions ............................................................................................................................................................. 50 8.3 Setting Embedded and Non-embedded Designated Supports and Accommodations .......................................... 51 8.4 Unlisted Resource ................................................................................................................................................ 52

9.0 Prior to Test Administration .............................................................................................................. 53 9.1 Establishing Appropriate Testing Conditions ........................................................................................................ 53 9.2 Tasks to Complete Prior to Test Administration .................................................................................................... 54

10.0 Day of Test Administration .............................................................................................................. 57 10.1 Starting a Test Session ....................................................................................................................................... 57 10.2 Testing Over Multiple Sessions or Days ............................................................................................................. 69

11.0 Following Test Administration ........................................................................................................ 70 11.1 Destroying Test Materials ................................................................................................................................... 70 11.2 Reporting Testing Improprieties, Irregularities, and Breaches ............................................................................ 70

Appendix A: Frequently Used Terms ...................................................................................................... 71

Appendix B: Item Types ........................................................................................................................... 77 Item and Response Types .......................................................................................................................................... 77

Appendix C: Secure Browser for Testing ............................................................................................... 79 Guidelines ................................................................................................................................................................... 79 Secure Browser Error Messages ................................................................................................................................ 80 Force-Quit Commands for Secure Browsers ............................................................................................................. 80

Appendix D: Practice and Training Tests ............................................................................................... 82 Overview of the Practice Tests ................................................................................................................................... 82 Overview of the Training Tests ................................................................................................................................... 82 Test Administrator Logon for the Practice and Training Tests .................................................................................... 82


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Appendix E: Computer Adaptive Test Pause Rule Scenarios .............................................................. 84 Scenarios: ................................................................................................................................................................... 84

Appendix F: Test Security and Incident Chart ....................................................................................... 85

Appendix G: Accessibility Guidelines for Classroom Activities ......................................................... 87

Appendix H: Resources and Practices Comparison Crosswalk .......................................................... 89

Appendix I: Multiplication Table .............................................................................................................. 97

Appendix J: LEA CAASPP Coordinator Checklist ................................................................................ 98

Appendix K: CAASPP Test Site Coordinator Checklist ...................................................................... 102

Appendix L: Test Administrator Checklist ........................................................................................... 107

INDEX ....................................................................................................................................................... 113

List of Tables

Table 1: What’s New in the 2015–16 CAASPP Administration ................................................................... 2 Table 2: User Roles in the Online Testing System ...................................................................................... 7 Table 3: Manuals ........................................................................................................................................ 12 Table 4: Training Modules.......................................................................................................................... 14 Table 5: Other Resources ........................................................................................................................... 15

Table 6: Requirements of the Test Environment ....................................................................................... 16 Table 7: Definitions for Test Security Incidents.......................................................................................... 21 Table 8: Incident types, descriptions, and actions in the CAASPP STAIRS form ..................................... 25 Table 9: Online System Appeals Types ..................................................................................................... 31 Table 10: Estimated Testing Times for Smarter Balanced Assessments .................................................. 41 Table 11: Assessment Sequence—ELA .................................................................................................... 43 Table 12: Assessment Sequence—Mathematics ...................................................................................... 45 Table 13: What’s New for Universal Tools, Designated Supports, and Accommodations ........................ 48 Table 14: Definitions for Universal Tools, Designated Supports, and Accommodations .......................... 50 Table 15: Additional Required Resources ................................................................................................. 54 Table 16: Frequently Used Terms ............................................................................................................. 71 Table 17: Item and Scoring Types ............................................................................................................. 77 Table 18: Context Menu for Selecting with the Right Mouse Button ......................................................... 78

Table 19: Secure Browser Error Messages ............................................................................................... 80 Table 20: Classroom Activity Guidance for Needs-Specific Accessibility Options .................................... 87


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Table of Acronyms and Initialisms in the Onl ine Test Adm in is tra tion Manual

Term Meaning

ASL American Sign Language

CAAs California Alternate Assessments

CAASPP California Assessment of Student Performance and Progress

CALPADS California Longitudinal Pupil Achievement Data SystemCalTAC California Technical Assistance Center

CAT computer adaptive test

CCC California Community Colleges

CCR California Code of Regulations

CDE California Department of Education

CSU California State University

EAP Early Assessment Program

ELA English language arts/literacy

ELs English learners

IEP individualized education program

ISAAP Individual Student Assessment Accessibility ProfileLEA local educational agency

ORS Online Reporting System

PDA personal digital assistant

PT performance task

SSID statewide student identifier

STAIRS Security and Test Administration Incident Reporting System

TA M Online Test Administration Manual

TOMS Test Operations Management System

TSM Technical Specifications Manual for Online Testing


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California Support for the Smarter Balanced Online Assessments

January 2016 2015–16 CAASPP Smarter Balanced Online Test Administration Manual 1

Customization Copyright © 2016 by the California Department of Education

California Support for the Smarter Balanced

Online AssessmentsThe California Assessment of Student Performance and Progress (CAASPP) portal at

http://www.caaspp.org/ is the home for all CAASPP System online assessments includingSmarter Balanced assessment administration information as well as for information on paper-pencil test administration.

Note: Requests for paper-pencil versions of the online summative assessments weredue to the California Technical Assistance Center (CalTAC) by September 30, 2015,for the 2015 –16 CAASPP administration.

For questions regarding the online testing system or foradditional assistance:

Local educational agency (LEA) CAASPPcoordinators should contact the California Technical

Assistance Center (CalTAC) by phone at 800-955-2954, by e-mail at [email protected], or by using thechat function linked on the CAASPP portal athttp://www.caaspp.org/ .

CAASPP test site coordinators should contact theirLEA CAASPP coordinator.

Test administrators and other school personnel shouldcontact their CAASPP test site coordinator.

CalTAC is open from 7 a.m. to 5 p.m. Monday throughFriday. During these hours, staff will respond promptly tocalls.

When contacting CalTAC, provide the representative withas much detail as possible about the issue(s)encountered and the system on which it occurred. Thisshould include the following:

type of device being used for the test;

any error messages that appeared (code anddescription);

operating system and browser (Web browser orsecure browser) information;

network configuration information; your contact information for follow-up, including an e-

mail address and phone number; and

any relevant and authorized student and school information, including statewide studentidentifier (SSID), grade level, content area, and performance task (PT) or computer adaptivetest (CAT) (also known as a non –performance task test).

For your convenience, a California Technical Assistance Center Tracking Form been posted tothe CAASPP Forms Web page at http://www.caaspp.org/administration/forms/ .

CalTAC may be contacted by LEACAASPP coordinators for situationsand questions that include thefollowing:

1. The testing environment is downor unavailable.

2. User accounts are not available orusers are not able to administertests.

3. Student information is incorrect ormissing.

4. You experience difficulty loadingstudent test settings into the TestOperations Management System(TOMS).

5. You have questions about orneed assistance with Security andTest Administration IncidentReporting System (STAIRS) or Appeals functionality.

6. You need help preparing foronline testing—downloading thesecure browser, voice packs, etc.

7. Tests are incorrectly showing asavailable to students when theylog on to begin testing.

8. You want to request passwordresets for LEA users.

9. Student test settings are not

presenting as intended.

http://www.caaspp.org/http://www.caaspp.org/mailto:[email protected]:[email protected]:[email protected]://www.caaspp.org/http://www.caaspp.org/administration/forms/http://www.caaspp.org/administration/forms/http://www.caaspp.org/administration/forms/http://www.caaspp.org/administration/forms/http://www.caaspp.org/mailto:[email protected]://www.caaspp.org/


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1.0 Overview of the Smarter Balanced Assessments | What’s New in the California Smarter Balanced Online

Summative Assessments in 2015–16

2 2015–16 CAASPP Smarter Balanced Online Test Administration Manual January 2016


AllRoles

1.0 Overview of the Smarter Balanced Assessments

What’s New in the California Smarter Balanced Online


Table 1 describes what is new in the 2015 –16 California Assessment of Student Performanceand Progress (CAASPP) Smarter Balanced administration. See also the individual manuals forthe Test Operations Management System (TOMS) for details about how these changes havebeen implemented.

Table 1: What’s New in the 2015 –16 CAASPP Administration

Feature Change

Accessibility Supports

CAASPP Individual Student Assessment Accessibility Profile (ISAAP) Tool

The CAASPP 2015 –16 ISAAP Tool has been updated; donot use the ISAAP Tool from a previous administration.

(The current ISAAP Tool includes “CAASPP” and the testadministration year in the file name.)

Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdf .

Request an unlisted resource Unlisted resources, previously called individualized aids,must be requested in TOMS.


Student’s special education, Section 504

plan, and primary disability codestatuses tied to eligibility foraccommodations, unlisted resources,and California Alternate Assessments

Student data in the California Longitudinal Pupil

Assessment Data System (CALPADS) should be keptcurrent to ensure that students remain eligible to take theappropriate test with the appropriate settings.

The CALPADS settings must indicate the student’sindividualized education program (IEP) or Section 504 planstatus to enable selection of accommodations or unlistedresources in the student test settings interface in the TestOperations Management System (TOMS). The educationprogram (field 3.13) must be set for “special education”(value 144) and provide a primary disability category (field3.21) or “504 Plan” (value 101).

Please refer to this manual for more information:

http://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdf .

http://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdf


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Feature Change

Designated support/accommodationchanges

The Separate Setting non-embedded supportaccommodation for English language arts/literacy (ELA)and mathematics now includes Special Lighting or Acoustics and Administration of the Test to the Pupil at

the Most Beneficial Time of The Day . Translated Test Directions are an allowable non-

embedded support for English language arts/literacy.

The embedded accommodation Text-to-Speech forreading passages is now permitted for all grades.


Designated support/accommodationadditions

Calculator for allowed items has been added as a non-embedded accommodation for grades six through eightand eleven mathematics.

Read Aloud in Spanish for mathematics items and stimuli

has been added as a non-embedded designated support.Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdf .

Designated support/accommodationremovals

American Sign Language for ELA reading items, readingpassages, and ELA writing and listening items andmathematics has been removed as a non-embeddedsupport.

The non-embedded protractor and non-embedded ruler(Math Tools) have been removed as non-embeddedsupports for mathematics.

Please refer to this manual for more information:

http://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdf .

Policy

Adoption of emergency regulations CAASPP emergency regulations were adopted by theState Board of Education at its November 2015 meeting.

Please refer to this Web resource for more information:http://www.cde.ca.gov/re/lr/rr/documents/caasppemerregsamended.doc.

Addition of the operational California Alternate Assessments (CAAs)

The CAAs, the CAASPP alternate assessments in Englishlanguage arts and mathematics, are administered tostudents using the secure browser.

Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.caa-tam.2016.pdf .

http://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.cde.ca.gov/re/lr/rr/documents/caasppemerregsamended.dochttp://www.cde.ca.gov/re/lr/rr/documents/caasppemerregsamended.dochttp://www.cde.ca.gov/re/lr/rr/documents/caasppemerregsamended.dochttp://www.caaspp.org/rsc/pdfs/CAASPP.caa-tam.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.caa-tam.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.caa-tam.2016.pdfhttp://www.cde.ca.gov/re/lr/rr/documents/caasppemerregsamended.dochttp://www.cde.ca.gov/re/lr/rr/documents/caasppemerregsamended.dochttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.student-test-settings.2016.pdf


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Feature Change

Secure Browser

Updated version The current version of the secure browser for all platformsexcept for Mac OSX 10.5 has been updated to version 8.x.Secure browsers used during the 2014 –15 CAASPP

administration cannot be used for 2015 –16 administration.

Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdf .

Auto update capability The current secure browser —version 8.x—will, by defaultupdate automatically. This capability can be turned off.


No uninstallation required The current version of the secure browser —version 8.x—can, in most cases, be installed over a previous version.


Test Administrator Interface

Color coding Assessment types—summative or interim—are color codedin the Operational Test Selection window:

Summative—purple

CAAs—blue

Interim—green

Practice tests—orange

Training tests—yellowPlease refer to this manual for more informationhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdf .

Updated test selection (summative vs.interim, content area) window

Test administrators can drill down within a test hierarchy toselect a content area and test type.

Please refer to this manual for more informationhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdf .

http://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdf


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1.0 Overview of the Smarter Balanced Assessments | 1.1 About the Smarter Balanced Assessment Consortium



AllRoles

Feature Change

User Roles

New user roles The following are user roles associated with CAASPPadministration. New user roles are italicized .

LEA CAASPP Coordinator

Test Site Coordinator Test Administrator

Test Examiner

Test Administrator & Test Examiner

IA Administrator Only

Educator – District

Educator – Test Site

Educator – Roster

Please refer to this resource for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.user-role-guidance.2016.docx.

1.1 About the Smarter Balanced Assessment Consortium

The Smarter Balanced Assessment Consortium is a multi-state, state-led consortium thatdeveloped next-generation assessments aligned to the Common Core State Standards inEnglish language arts/literacy (ELA) and mathematics that accurately measure student progresstoward college- and career-readiness. For more information about the Smarter Balanced

Assessment Consortium, go to http://www.smarterbalanced.org .

1.2 About the Test

The Smarter Balanced summative assessments are available in ELA and mathematics to

students in grades three through eight and grade eleven. Each content area of the online testconsists of a computer adaptive test (CAT) as well as a performance task (PT).

http://www.caaspp.org/rsc/pdfs/CAASPP.user-role-guidance.2016.docxhttp://www.caaspp.org/rsc/pdfs/CAASPP.user-role-guidance.2016.docxhttp://www.caaspp.org/rsc/pdfs/CAASPP.user-role-guidance.2016.docxhttp://www.smarterbalanced.org/http://www.smarterbalanced.org/http://www.smarterbalanced.org/http://www.smarterbalanced.org/http://www.caaspp.org/rsc/pdfs/CAASPP.user-role-guidance.2016.docxhttp://www.caaspp.org/rsc/pdfs/CAASPP.user-role-guidance.2016.docx


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1.0 Overview of the Smarter Balanced Assessments | 1.3 Test Administration Roles and Responsibilities



AllRoles

User Role Description

accessing and reviewing preliminary and final studentreports and aggregate data for the LEA in TOMS; and

distributing printed Student Score Reports to students and

test sites.

CAASPP Test Site Coordinator

Note: A CAASPP test sitecoordinator can be a principal, vice principal, technology coordinator,counselor, or other staff member. If possible, a CAASPP test sitecoordinator should be a person withnon-instructional or limitedinstructional duties so that he or shecan coordinate and monitor testingactivity in the school.

CAASPP test site coordinators are designated by the LEACAASPP coordinator. CAASPP test site coordinators are addedto TOMS by the LEA CAASPP coordinator. (Note: There can bemore than one CAASPP test site coordinator as required byschool need.) CAASPP test site coordinators are responsible

for:

identifying test administrators and other test site staff (suchas test examiner, test administrator & test examiner, IA Administrator Only, Educator – Test Site, and Educator – Roster) as appropriate, ensuring that they are properlytrained, and ensuring that they have submitted signed

CAASPP Test Security Affidavits as appropriate (5 CCRSection 859 [c]);

adding test administrators, test examiners, testadministrators & test examiners, IA Administrator Only, Educator – Test Site, and Educator – Roster as appropriateinto TOMS;

maintaining registration accounts for test administrators andtest examiners at their sites for use of the CAASPP System,including the summative and interim assessments andformative assessment tools;

coordinating with test administrators and test administrators& test examiners so they administer all assessments;

verifying and/or assigning designated supports andaccommodations to students either in TOMS, using theISAAP Tool, or using batch upload;

requesting unlisted resources for students in TOMS;

creating or approving testing schedules and procedures forthe school (consistent with state and LEA policies);

working with technology staff to ensure that necessarysecure browsers are installed and any other technical issuesare resolved;

monitoring testing progress during the testing window usingthe ORS and ensuring that all students participate, asappropriate;

using the school’s procedure for correcting student dataerrors reported by test administrators in the CaliforniaLongitudinal Pupil Achievement Data System (CALPADS),verifying the corrections in TOMS, and ensuring that thestudent’s test session is rescheduled;

addressing testing problems, as needed;


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mitigating and reporting all test security incidents in amanner consistent with Smarter Balanced, state, and LEApolicies;

assuming general oversight responsibilities for alladministration activities in their school and for all testadministrators, test administrators & test examiners, andother school staff;

creating student rosters in the ORS;

accessing and reviewing completion status reports for thetest site in the ORS; and

accessing and reviewing preliminary student reports andaggregate statistics for the test site in the ORS.

Test Administrator

Note: The Smarter Balanced

assessments should beadministered by individuals with anexisting state certification ineducation (e.g., teachers, school psychologists, principals, etc.).Pursuant to the emergencyCalifornia Code of Regulations, Title5 (5 CCR), emergency regulationsSection 850 (ad), a testadministrator is an employee orcontractor of an LEA or a nonpublic,nonsectarian school (NPS) who hassigned a CAASPP Test Security Affidavit and has received trainingto administer the CAASPPachievement tests.

Test administrators administer the Smarter Balancedassessments. CAASPP test site coordinators should identify

school personnel to act as test administrators. Testadministrators are responsible for:

reading and signing the CAASPP Test Security Affidavit,which is returned to the CAASPP test site coordinator;

completing Smarter Balanced assessment administrationtraining (see section 1.4 Training ) and reviewing all SmarterBalanced policy and administration documents prior toadministering any Smarter Balanced assessments;

viewing student information in the Test AdministratorInterface prior to testing to ensure that the correct studentreceives the proper test with the appropriate supports. Testadministrators should report any potential data errors toCAASPP test site coordinators and LEA CAASPPcoordinators as appropriate;

administering the Smarter Balanced assessments;

reporting all potential test security incidents to their CAASPPtest site coordinator and LEA CAASPP coordinator in amanner consistent with Smarter Balanced, state, and LEApolicies;

viewing completion status reports in the ORS; and

reviewing preliminary results for students in an associatedroster in the ORS.

Note: A test administrator ’s questions about passwords, TOMS,the ORS, technology issues, and test administration should be

relayed to his or her CAASPP test site coordinator or LEACAASPP coordinator.


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AllRoles


Test Examiner

Assessments must be administeredby licensed and credentialedindividuals. Pursuant to theemergency regulations 5 CCRSection 850 (ae) “Test examiner” isan employee or contractor of anLEA or an NPS who has signed aCAASPP Test Security Affidavit andhas received training to administerthe CAAs. A test examiner must bea certificated or licensed LEA staffmember.

Credentialed or licensed employee who administers alternatesummative assessments and interim assessments to students.See the California Alternate Assessments (CAAs) Test Administration Manual for more information about this role.

Note: A test examiner ’s questions about passwords, TOMS, theORS, technology issues, and test administration should berelayed to his or her CAASPP test site coordinator or LEACAASPP coordinator.

Test Administrator & Test Examiner

The test administrator & testexaminer must meet therequirements of both the testadministrator and the test examinerand has signed a CAASPP TestSecurity Affidavit.

Credentialed or licensed employee who administers bothstandard and alternate summative assessments and interimassessments to students. For more information about the role ofthe test administrator , see the “Test Administrator” row in thistable. For more information about the role of the test examiner,see the California Alternate Assessments (CAAs) Test Administration Manual for more information about this role.

Note: A test administrator & test examiner ’s questions aboutpasswords, TOMS, the ORS, technology issues, and testadministration should be relayed to his or her CAASPP test sitecoordinator or LEA CAASPP coordinator.

Interim Assessments (IA) Administrator Only

Administers only the interim assessments to students. See theInterim Assessments Administration Manual for moreinformation about this role.

Note: An IA Administrator Only’s questions about passwords,technology issues, and all aspects of interim test administrationshould be relayed to his or her test site coordinator or LEACAASPP coordinator.

Note 2: It is a local decision whether to require the IA Administrator Only to sign a CAASPP Test Security Affidavit.

Educator – District Allows read-only access to assessment results in the ORS forthe entire LEA. This role is assigned by the LEA CAASPPcoordinator.

Note: An Educator – District’s questions about passwords, theORS, and technology issues should be relayed to his or herCAASPP test site coordinator or LEA CAASPP coordinator.

Note 2: It is a local decision whether to require the Educator – District to sign a CAASPP Test Security Affidavit.


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2.0 Test Administration ResourcesThis Online Test Administration Manual (TAM) for Smarter Balanced Online Summative

Assessments is intended for staff who play a role in the administration of Smarter Balancedassessments, including local educational agency (LEA) California Assessment of Student

Performance and Progress (CAASPP) coordinators, CAASPP test site coordinators, and testadministrators. Information for coordinators and test examiners administering the California Alternate Assessments (CAAs) can be found in the CAA Test Administration Manual.

This manual provides procedural and policy guidance to implement the Smarter Balancedassessments. To help quickly locate areas that pertain to each role, tabs that identify theprimary user of that section have been placed on the margin of each page. The appendixes ofthis manual, which contain important information that can be used as stand-alone materials, areeasily extracted for printing or distribution. For a list of frequently used terms associated with theSmarter Balanced assessments, see Appendix A. For specific questions not addressed in thismanual, test administrators can contact their CAASPP test site coordinator; CAASPP test sitecoordinators can contact their LEA CAASPP coordinator; and LEA CAASPP coordinators cancontact the California Technical Assistance Center (CalTAC).

2.1 Summative Assessment Administration Resources

The TAM is designed to complement a variety of other resources developed by SmarterBalanced and the California Department of Education (CDE) listed in Table 3 (manuals),Table 4 (training modules), and Table 5 (other resources).

Table 3: Manuals

Resource Description

CALPADSresources

The CDE’s California Longitudinal Pupil Achievement Data System (CALPADS)Web page at http://www.cde.ca.gov/ds/sp/cl/ contains links to CALPADS systemdocuments, updates, and other useful information for maintaining student data.

Test OperationsManagementSystem (TOMS)user guides

The CAASPP Test Operations Management System (TOMS) Web page athttp://www.caaspp.org/administration/toms/ contains links and resources for LEACAASPP coordinators, including manuals to set up test administrations, assignand manage student test registration, and add and manage users.

Security and Test AdministrationIncidentReportingSystem(STAIRS) and Appeals UserGuide

The STAIRS and Appeals User Guide includes information about how LEACAASPP coordinators can enter an appeal.

Please refer to this manual for more information: http://www.caaspp.org/rsc/pdfs/CAASPP.stairs-appeals-guide.2016.pdf .

BrailleRequirements forOnline TestingManual

The Braille Requirements for Online Testing Manual includes information aboutsupported operating systems and required hardware and software for brailletesting. It also includes a quick guide for test administrators who are testingstudents with a braille accommodation.

Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.braille-requirements.2016.pdf .

http://www.cde.ca.gov/ds/sp/cl/http://www.cde.ca.gov/ds/sp/cl/http://www.cde.ca.gov/ds/sp/cl/http://www.caaspp.org/administration/toms/http://www.caaspp.org/administration/toms/http://www.caaspp.org/rsc/pdfs/CAASPP.stairs-appeals-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.stairs-appeals-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.stairs-appeals-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.stairs-appeals-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.braille-requirements.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.braille-requirements.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.braille-requirements.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.stairs-appeals-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.stairs-appeals-guide.2016.pdfhttp://www.caaspp.org/administration/toms/http://www.cde.ca.gov/ds/sp/cl/


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Secure BrowserInstallationManual

The Secure Browser Installation Manual provides instructions for installing thesecure browser on supported operating systems and is organized by operatingsystem. This document is a supplement to the Technical Specifications Manualfor Online Testing and the System Requirements Manual .


TechnicalSpecificationsManual forOnline Testing

The Technical Specifications Manual provides technology staff with thetechnical specifications for online testing, including information on Internetand network requirements, general hardware and software requirements,secure browser installation, and the text-to-speech function.

Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.tech-specs-manual.2016.pdf .

SystemRequirementsManual

The System Requirements Manual list the operating system names andversion and the secure browser versions that are supported for onlinetesting.

Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.system-requirements-manual.2016.pdf .

Test AdministratorReference Guide

The Test Administrator Reference Guide supports individuals using the testdelivery system applications to manage testing for students participating inthe summative assessments and provides the scripts to be used whenproviding instructions to students on the day of testing. This resource alsoprovides information about the test delivery system, including the Test Administrator and student appl icat ions.

Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdf .

Test Administrator

Directions for Administration

The Test Administrator Online Directions for Administration provide testadministrators at all grade levels with step-by-step instructions for the Test

Administrator Interface and student applications as well as the test administrationscript in section 10.0 Day of Test Administration. These instructions are intendedfor the day of test administrat ion.

Please refer to this manual for more information:http://www.caaspp.org/rsc/pdfs/CAASPP.ta-odfa.2016.pdf .

Usability, Accessibility, and AccommodationsGuidelines

The Usability, Accessibility, and Accommodations Guidelines focus onuniversal tools, designated supports, and accommodations for the SmarterBalanced assessments. The Guidelines are intended for school-levelpersonnel and decision-making teams, particularly individualized educationprogram (IEP) and Section 504 teams, as they prepare for and implementthe Smarter Balanced assessments. The Guidelines provide information forclassroom teachers, English language development educators, special

education teachers, and instructional assistants to use in selecting andproviding universal tools, designated supports, and accommodations forthose students who need them during the administration of the assessments.The Guidelines are also intended for assessment staff and administratorswho oversee the decisions that are made in instruction and assessment.

This manual can be found on the CDE Student Accessibility Web page athttp://www.cde.ca.gov/ta/tg/ca/accesssupport.asp.

http://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.tech-specs-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.tech-specs-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.system-requirements-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.system-requirements-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-odfa.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-odfa.2016.pdfhttp://www.cde.ca.gov/ta/tg/ca/accesssupport.asphttp://www.cde.ca.gov/ta/tg/ca/accesssupport.asphttp://www.cde.ca.gov/ta/tg/ca/accesssupport.asphttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-odfa.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.system-requirements-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.tech-specs-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.secure-browser-manual.2016.pdf


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Table 4: Training Modules

Training modules are available at http://www.caaspp.org/training/caaspp/ .

Module Name Primary Audience Objective

Accessibility and Accommodations

Test administrators/teachers and CAASPPtest site coordinators

This module describes the recommendeduses of available universal tools, designatedsupports, and accommodations for student

accessibility to Smarter Balancedassessments.

Let’s Talk Universal Tools Students, testadministrators, teachers

This module acquaints students andteachers with the online, universal tools(e.g., types of calculators, expandable text)available in the Smarter Balancedassessments. This module should be shownto students in a classroom/ group setting.For grades three through eight and gradeeleven, it is encouraged that the teachers bein the room to answer questions from thestudents as they view the module.

Performance TaskOverview

LEA/Test sitecoordinators, testadministrators, teachers

This module provides an overview of what aperformance task is and the purpose of theClassroom Activity as it pertains to theperformance task.

Smarter Balanced Test Administration Overview


This module prepares LEA/test sitecoordinators and test administrators for theassessments by providing an overview ofprocedures, including policy matters andtest security processes.

Student Interface forOnline Testing

Students, LEA/test sitecoordinators, testadministrators, teachers

This module explains how to navigate theStudent Interface.

Technology

Requirements for OnlineTesting

LEA/Test site technology

coordinators

This module provides current information

about technology requirements, sitereadiness, supported devices, and securebrowser installation.

Test AdministratorInterface for OnlineTesting


This module presents an overview on howto navigate the Test Administrator Interface.

What is a CAT (Computer Adaptive Test)?


This module provides the characteristicsand advantages of a CAT.

http://www.caaspp.org/training/caaspp/http://www.caaspp.org/training/caaspp/http://www.caaspp.org/training/caaspp/http://www.caaspp.org/training/caaspp/


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Table 5: Other Resources


Practice Test* Practice tests include items and performance tasks foreach grade level (three through eight and eleven). Thepractice tests provide a preview of the item types includedin the Smarter Balanced assessments. Item types are

listed and described in Appendix B: I tem Types in thismanual.

This is the link to the practice tests: http://www.caaspp.org/practice-and-training/. See also Appendix B: Accessing thePractice and Training Tests in the Test AdministratorReference Guide located at http://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdf for additionalinformation about the Practice Tests.

Training Test* Training tests are for test administrators and students tobecome familiar with the format and functionality of theonline test. This resource is available by grade band (threethrough five, six through eight, eleven) and has

approximately six to nine mathematics and six to sevenELA items per grade band.

The link to the training test is: http://www.caaspp.org/practice-and-training/. Also see Appendix B: Accessing thePractice and Training Tests in the Test AdministratorReference Guide located at http://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdf for additionalinformation about the Training Tests.

* Public access: The practice and training tests can be used as a “guest” without logon credentials andusing a supported Web browser. The practice and training tests do not require use of the secure browser,but some accessibility features (such as text-to-speech) are only available through the secure browser(see section 6.2 The Secure Browser and the Technical Specifications Manual athttp://www.caaspp.org/rsc/pdfs/CAASPP.tech-specs-manual.2016.pdf ). Braille may be accessed using aWeb browser.

Secure access: If users want to access the practice and/or training test Web sites as a test administrator(required if they want to administer a practice or training test that uses the text-to-speech support), alogon will be required. Test administrators can contact their CAASPP test site coordinator to get logoncredentials.

http://www.caaspp.org/practice-and-training/http://www.caaspp.org/practice-and-training/http://www.caaspp.org/practice-and-training/http://www.caaspp.org/practice-and-training/http://www.caaspp.org/rsc/%E2%80%8Cpdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/%E2%80%8Cpdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/%E2%80%8Cpdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/%E2%80%8Cpdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/practice-and-training/http://www.caaspp.org/practice-and-training/http://www.caaspp.org/practice-and-training/http://www.caaspp.org/practice-and-training/http://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.tech-specs-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.tech-specs-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.tech-specs-manual.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/pdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/practice-and-training/http://www.caaspp.org/practice-and-training/http://www.caaspp.org/rsc/%E2%80%8Cpdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/rsc/%E2%80%8Cpdfs/CAASPP.ta-reference-guide.2016.pdfhttp://www.caaspp.org/practice-and-training/http://www.caaspp.org/practice-and-training/


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3.0 Ensuring Test Security | 3.1 Security of the Test Environment



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3.0 Ensuring Test SecurityThe security of assessment instruments and the confidentiality of student information are vital tomaintaining the validity, reliability, and fairness of the results.

All summative test items and test materials are secure and must be appropriately handled.

Secure handling protects the integrity, validity, and confidentiality of assessment items, prompts,and student information. Any deviation in test administration must be reported as a test securityincident to ensure the validity of the assessment results.

It is the responsibility of each person participating in the administration of the Smarter Balancedsummative assessments to immediately report any violation or suspected violation of testsecurity or confidentiality. The California Assessment of Student Performance and Progress(CAASPP) test site coordinator is responsible for immediately reporting any security violation tothe local educational agency (LEA) CAASPP coordinator.

In the case of a student cheating, the test administrator must stop the cheating; however, thestudent must be allowed to complete the remainder of the test. After testing, the testadministrator must notify the CAASPP test site coordinator. Do not call the California

Department of Education (CDE) or the California Technical Assistance Center (CalTAC) toreport student cheating.

3.1 Security of the Test Environment

Table 6 describes security requirements for the test environment during various stages oftesting. The test environment refers to all aspects of the testing situation while students aretesting and includes what a student can see, hear, or access (including access via technology).

Table 6: Requirements of the Test Environment

Requirement Description

BEFORE TESTING

Instructional materials removed orcovered

Instructional materials must be removed or covered,including but not limited to information that might assiststudents in answering questions that is displayed on bulletinboards, chalkboards or dry-erase boards, or on charts (e.g.,wall charts that contain literary definitions, maps, mathematicsformulas, etc.).

Student seating Students must be seated so there is enough space betweenthem to minimize opportunities to look at each other’s work—for example, students may be assigned staggered seating orbe seated in every other chair or workstation position—orthey should be provided with table-top partitions.


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Requirement Description

Signage If helpful, place a “TESTING—DO NOT DISTURB” sign onthe door or post signs in halls and entrances reroutinghallway traffic in order to promote optimum testingconditions.

CAASPP test site coordinators or test administrators should

post the “Unauthorized Electronic Devices May Not Be Usedat Any Time During the Testing Session” signs so that theyare clearly visible to all students. A master of this sign can bedownloaded from the CAASPP Instructions and ManualsWeb page at http://www.caaspp.org/administration/instructions/#general.

DURING TESTING

Quiet environment Provide a quiet environment void of talking or otherdistractions that might interfere with a student’s ability toconcentrate or might compromise the testing situation.

Student supervision Students are actively supervised and are prohibited fromaccess to unauthorized electronic devices that allowavailability to outside information, communication amongstudents, or photographing or copying test content. Thisincludes any device with cellular, messaging, or wirelesscapabilities, but is not limited to cell phones, personal digitalassistants (PDAs), iPods, cameras, and electronictranslation devices.

Access to allowable resources only Students must only have access to and use of thoseallowable resources identified by Smarter Balanced (seesection 9.1 Establishing Appropriate Testing Conditions forexamples) that are permitted for each specific test (or portionof a test).

Access to assessments Unauthorized staff or other adults must not be in the roomduring testing. Only students who are testing can view items.

Students who are not being tested must not have access tosecure testing materials including test items. Based on theitem type (i.e., performance tasks), trained testadministrators may also have limited exposure to items inthe course of properly administering the assessments;however, even test administrators and other trained staffmay not actively review or analyze any test items.

No answer key development No form or type of answer key may be developed for testitems.

Testing through secure browser Administration of the Smarter Balanced assessments ispermitted only through the student interface via a securebrowser or a method of securing the student device.

DURING AND AFTER TESTING

No access to responses LEA CAASPP coordinators, CAASPP test site coordinators,test administrators, and other staff are not permitted toreview student responses in the testing interface or students’notes on scratch paper.

No copies of test materials Unless needed as a print-on-demand or brailleaccommodation, no copies of the test items, stimuli, readingpassages, performance task materials, or writing promptsmay be made or otherwise retained.

http://www.caaspp.org/administration/instructions/#generalhttp://www.caaspp.org/administration/instructions/#generalhttp://www.caaspp.org/administration/instructions/#generalhttp://www.caaspp.org/administration/instructions/#generalhttp://www.caaspp.org/administration/instructions/#generalhttp://www.caaspp.org/administration/instructions/#general


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Printing individual test items for students with this accommodation will require that the LEACAASPP coordinator make a request to CalTAC to have the accommodation set for eachstudent.

Print requests must be approved and processed by the test administrators during testadministration. The decision to allow students to use print on demand must be made on an

individual student basis and is available only for students with an IEP or Section 504 plan.However, utilizing the print-on-demand functionality does not allow a printed version of theonline test due to its adaptive nature. A very small percentage of students should need thisaccommodation. The use of this accommodation may result in the student needing additionaltime to complete the assessment.

Once a student is approved to receive the printing of test items/passages, that student maysend a print request to the test administrator during testing by selecting the print icon on thescreen. This request needs to be made for each individual item.

Follow these guidelines when using the print-on-demand accommodation:

1. Before the test administrator approves the student’s request to print a test item/stimulus,the test administrator must ensure that the printer is on and is monitored by staff who

have been trained using the test administrator training modules for the test.

2. Immediately after printing a print-on-demand request, the file should be securely deletedfrom the test administrator ’s device in such a way that the file does not remain in atemporary storage file where it can be undeleted. See Destruction of electronic files in thenext subsection on the next page for additional instructions.

3. The test administrator must collect the previously printed item from the student after thestudent has requested the next item to be printed. Printed items must be securely storedand then securely destroyed after the test session.

Destruction of Printed Materials and Scratch Paper

Printed materials from the print-on-demand accommodation and scratch paper must be kept ina securely locked room or locked cabinet that can be opened only with a key or keycard by staffresponsible for test administration who have signed a CAASPP Test Security Affidavit. All testmaterials must remain secure at all times. Printed test items/passages, including embossedbraille printouts and scratch paper, must be collected and inventoried at the end of each testsession and then immediately shredded according to LEA and/or California policies orprocedures. DO NOT keep printed test items/passages or scratch paper for future test sessionsexcept as noted below for performance tasks (PTs).

Destruction of Electronic Files

Immediately after printing a print-on-demand request, the file produced by the process shouldbe securely deleted from the test administrator ’s device. It must be deleted in such a way that

the file does not remain in a temporary storage location such as Windows’ Recycle Bin, where itcan be undeleted. Test administrators and CAASPP test site coordinators should use theschool’s or LEA’s preferred method of secure file deletion.

While there are many ways to permanently delete a file, including using a “shredding” tool thatmight be part of a virus scanning tool, what follows are basic ways to remove a file from aWindows or Macintosh system:


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Windows—Hold the key when deleting the file or empty the Recycle Bin afterdeleting.

Macintosh and Macintosh equivalent devices using OS X—Press the + keys with any file or folder selected to send a file to the Trash and then press the + + keys or open the Finder menu and then select “Secure

Empty Trash” to immediately empty the Trash.

Use of Scratch Paper on Performance Tasks

The only exception to the requirement governing the immediate destruction of printed materialsand scratch paper is when students take notes and/or draft responses to English language arts/literacy (ELA) or mathematics computer adaptive test (CAT) constructed response items or PTs.

During the ELA PT, the notes on the embedded universal tool, Global Notes, are retained fromPart 1 to Part 2 so that the student may return to the notes even though the student is not ableto go back to specific items in Part 1. While the embedded Global Notes is the preferred modefor note taking during the ELA PT, students may use scratch paper to make notes or developdraft responses.

To maintain the security of scratch paper used for notes on the ELA or Mathematics CATconstructed response items or PTs, test administrators must direct students to write their names(or some appropriate identifying information) on their scratch paper, and then collect andinventory the scratch paper at the end of each test session, as well as upon completion of thetest. All scratch paper must be securely stored in between test sessions and then securelydestroyed immediately upon the student’s completion of the test.

The retention of scratch paper is only allowed for constructed response CATitems and the PTs. At the end of each test session, all scratch paper (including graphpaper) must be collected, inventoried, and securely stored. All scratch paper must beimmediately shredded upon the student’s completion of the test to maintain testsecurity.


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4.0 Responding to Testing Improprieties, Irregularities, and Breaches | 4.1 Impact and Definitions



4.0 Responding to Testing Improprieties,

Irregularities, and BreachesTest security incidents, such as improprieties, irregularities, and breaches, are behaviorsprohibited either because they give a student an unfair advantage or because they compromisethe secure administration of the assessments. Whether intentional or by accident, failure tocomply with security rules, either by staff or students, constitutes a test security incident.Improprieties, irregularities, and breaches need to be reported in accordance with theinstructions in this section for each severity level. Definitions for test security incidents areprovided in Table 7. Incidents should be logged using the Security and Test AdministrationIncident Reporting System (STAIRS) process.

Some incidents may require that an appeal be submitted to reset, reopen, restore, or invalidatea test. Local educational agency (LEA) California Assessment of Student Performance andProgress (CAASPP) coordinators or CAASPP test site coordinators can make the determinationby submitting the online CAASPP STAIRS form. After you have entered the details of theincident, you will receive an e-mail that tells you what action you should take, either to have the

LEA CAASPP coordinator or CAASPP test site coordinator fill out an appeal in the TestOperations Management System (TOMS) or by saving the e-mail reply for your records.

This section refers to documentation and reporting of incidents involving test security. Refer to Appendix F for a list of test security incident levels and examples of types of issues.

4.1 Impact and Definitions

Table 7: Definitions for Test Security Incidents

Type Definition

Impropriety An unusual circumstance that has a low impact on the individual or group of studentswho are testing, and has a low risk of potentially affecting student performance on the

test, test security, or test validity. These circumstances can be corrected and containedat the local level. An impropriety should be reported to the LEA CAASPP coordinatorand CAASPP test site coordinator immediately of any test administration incidents thatoccur. The coordinator should fill out the online CAASPP STAIRS form within 24 hoursof the incident; instructions for access are on the CAASPP STAIRS Web page athttp://www.caaspp.org/stairs/.

Irregularity An unusual circumstance that impacts an individual or group of students who are testingand may potentially affect student performance on the test, test security, or test validity.These circumstances can be corrected and contained at the local level and submitted inthe online Appeals system for resolution. An irregularity must be reported to the LEACAASPP coordinator and CAASPP test site coordinator immediately; the coordinator willreport the irregularity using the online CAASPP STAIRS form (instructions athttp://www.caaspp.org/stairs/) by the end of the day of the incident (should an appeal be

required).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. Thesecircumstances have external implications for the Consortium and may result in aConsortium decision to remove the test item(s) from the available secure bank. A breachincident must be reported to the LEA CAASPP coordinator immediately; the LEACAASPP coordinator will report the irregularity using the online CAASPP STAIRS form

(instructions at http://www.caaspp.org/stairs/).

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


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It is important for test administrators to ensure the physical conditions in the testing room meetthe criteria for a secure test environment. See section 3.1 Security of the Test Environment formore detail.

4.2 Reporting Timelines and Activities

Improprieties are escalated in accordance with state policies and procedures, protocols, and/orguidelines within 24 hours of the incident via the online CAASPP STAIRS form athttp://www.caaspp.org/stairs/ .

Irregularities must be escalated by the end of the day of the incident via the online CAASPPSTAIRS form at http://www.caaspp.org/stairs/ .

A Breach requires immediate notification/escalation by telephone to the CaliforniaDepartment of Education (CDE) by the LEA CAASPP coordinator followed by a report using theonline CAASPP STAIRS form at http://www.caaspp.org/stairs/ .

For examples of test security incidents, please see the Test Security Chart located in Appendix F .

4.3 Test Security Process—the Security and Test

Administration Incident Reporting System

The online CAASPP STAIRS form is the starting point for LEA and test site coordinators toreport a test security incident or other testing issue that interferes with the administration andcompletion of the assessment.

Test security incidents, such as improprieties, irregularities, and breaches, are behaviorsprohibited because they either give a student an unfair advantage or compromise the secureadministration of the assessments. Whether intentional or unintentional, failure by staff or

students to comply with security rules constitutes a test security incident.LEA CAASPP coordinators and CAASPP test site coordinators must ensure that all test securityincidents are documented by means of this form. After the form is submitted, an e-mailcontaining a case number and next steps will be sent to the submitter (and to the LEA CAASPPcoordinator, if the form is submitted by the CAASPP test site coordinator) via e-mail. Ensure thatcommunications generated by the e-mail address [email protected] are not automaticallysent to a junk mail or spam folder.

The CDE will review your form to determine whether your testing issue requires additionalaction by the LEA.

Required Action Steps

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

Impropriety

Unusual circumstance that has a low impact on the individual or group of students who aretesting and has a low risk of potentially affecting student performance on the test, test security,or test validity. (Example: Student[s] leaving the testing room without authorization.)

http://www.caaspp.org/stairs/http://www.caaspp.org/stairs/http://www.caaspp.org/stairs/http://www.caaspp.org/stairs/http://www.caaspp.org/stairs/http://www.caaspp.org/stairs/http://www.caaspp.org/stairs/http://www.caaspp.org/stairs/mailto:[email protected]:[email protected]:[email protected]://www.caaspp.org/stairs/http://www.caaspp.org/stairs/http://www.caaspp.org/stairs/


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Irregularity

An unusual circumstance that impacts an individual or group of students who are testing andmay potentially affect student performance on the test, test security, or test validity. Thesecircumstances can be contained at the local level. (Example: Disruption during the test sessionsuch as a fire drill.)

Breach

A test administration event that poses a threat to the validity of the test. Breaches requireimmediate attention and escalation to the CDE. Examples may include such situations asexposure of secure materials or a repeatable security/system risk. These circumstances haveexternal implications. (Example: Test administrators modifying student answers, or test itemsshared in social media.)

Local administrators/ stafftake corrective action and

document improprietyusing the online CAASPP

STAIRS form.

Incident is mitigated asnecessary by school staff,

and LEA CAASPPcoordinator is notified forassistance with mitigation

as necessary.

Designated LEA employee(such as the CAASPP test

site coordinator or LEACAASPP coordinator)

records impropriety usingthe online CAASPP STAIRS

form (if appropriate) within24 hours.

Local administrators/stafftake corrective action and

document the improprietyusing the online CAASPP

STAIRS form.

Incident is mitigated asnecessary by school staff,

and the LEA CAASPPcoordinator is notified for

assistance with mitigation.

Designated LEA employee(such as the CAASPP test

site coordinator or LEA

CAASPP coordinator)escalates the irregularityusing the online CAASPP

STAIRS form by the end ofthe day of the incident.

The submitter (and the LEACAASPP coordinator, if thesubmitter was a CAASPP

test site coordinator)receives an e-mail

summarizing the submittaland directing an action(either submit an appeal inTOMS or file the e-mail for

his or her records).

The CDE reviewsthe record of the irregularitywithin 24 hours of reportingor in accordance with state

protocol.

The CDE authorizesan appeal that has been

submitted.

Localadministrators/staffreport breach to theCAASPP test sitecoordinator and/or

LEA CAASPPcoordinator by

phone immediately.

Localadministrators/staffcontain the incident

as necessary.

Localadministrators/staffdocument incident

using the onlineCAASPP STAIRS

form (if appropriate).

Localadministrators/staff

stand ready toreceive further CDE

guidance on thedispensation of the

event.

TestSite

Level


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AllRoles

LEALevel

4.4 Test Security Incidents: Use of the CAASPP Security and Test

Administration Incident Reporting System (STAIRS) Form

The CAASPP STAIRS form is the means by which LEA CAASPP coordinators or CAASPPtest site coordinators report test security incidents to the CDE and determine whether or not theincident warrants that an appeal be filed.

Report Incidents

The LEA CAASPP coordinator is responsible for immediately notifying the CDE via online form

of any incidents that occur before, during, or after testing. The CAASPP test site coordinator isresponsible for immediately notifying the LEA CAASPP coordinator of any security breaches ortesting irregularities that occur in the administration of the test.

The online CAASPP STAIRS form, which is available at http://www.caaspp.org/stairs/ , must beused to provide the required information to the CDE when an irregularity is confirmed. The formincludes the opportunity to securely upload a spreadsheet containing Statewide StudentIdentifiers (SSIDs) of the students involved in the irregularity. Do not upload student names,only SSID numbers.

The LEA CAASPP coordinator or CAASPP test site coordinator (with a copy sent to the LEACAASPP coordinator) submitting the form will receive an e-mail that includes the details thatwere entered into the 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 firstsubmitting the STAIRS form because the case number included in the confirmatione-mail is necessary to complete the submission of an appeal. A copy of the e-mail is sent tothe CDE and will be kept on file.

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; instructions for access can be found athttp://www.caaspp.org/stairs/

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

Fills out and submits the online CAASPP STAIRS form; instructions for access can be foundat http://www.caaspp.org/stairs/

LEA staffinvestigate securityrisk and alert theCDE via phone.

LEA staff verifycompletion andaccuracy of theonline CAASPPSTAIRS form.

LEA staff maintaincommunicationwith the school

and provideguidance asappropriate.

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

Keeps any documentation associated with the irregularity for one year

Form Actions

The CAASPP STAIRS form provides a series of prompts that will ultimately result in arecommended action for the LEA or test site coordinators, from “file the e-mail” to “submit anappeal in TOMS” to “contact the CDE.” Table 8 lists the incidents and the action to be taken.

Note that if you are required to file an appeal in TOMS, you must include the STAIRScase number when you enter your information in TOMS.

Table 8: Incident types, descriptions, and actions in the CAASPP STAIRS form

Incident Name Issue Description Post-Form Action

Breaches

Exposing Secure Materials—

Retaining or Sharing (Adult)

Adult retaining or sharing secure

test materials

1. Contact the CDE at 916-

445-8765 within 24 hours ofthe incident to report theissue and submit CAASPPSTAIRS form.

2. Submit an “Invalidate aTest” appeal request inTOMS.

Exposing Secure Materials—Retaining or Sharing (Student)

Student retaining or sharing securetest materials

1. Contact the CDE at 916-445-8765 within 24 hours ofthe incident to report theissue and submit CAASPPSTAIRS form.

2. Submit an “Invalidate a

Test” appeal request inTOMS.

Exposing Secure Materials—Social Media (Adult)

Adult posting items or testmaterials on social media such asFacebook, Twitter, or Instagram

1. Contact the CaliforniaTechnical AssistanceCenter (CalTAC) within 24hours of the incident toreport the issue and submitCAASPP STAIRS form.


Exposing Secure Materials—Social Media (Student)

Student posting items or testmaterials on social media such as

Facebook, Twitter, or Instagram

1. Contact CalTAC within 24hours of the incident to

report the issue and submitCAASPP STAIRS form.



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AllRoles

Incident Name Issue Description Post-Form Action

Irregularities

Accessibility Issue—IncorrectSupport or AccommodationSetting

Student not given accessibilitysupport or accommodation in IEPor Section 504 plan

Submit CAASPP STAIRS formthen submit a “Reset a Test”appeal in TOMS. If at least five

computer adaptive test (CAT)items and at least oneperformance task (PT) itemwere completed, this will countas an irregularity.

Accessibility Issue—IncorrectLanguage Support

Student not given or givenincorrect stacked translation orembedded glossary setting withoutthe designated support in the IEPor Section 504 plan

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

Accidental Summative Access Unintentional administration of asummative assessment for practiceinstead of the practice or training

tests

1. Submit CAASPP STAIRS form then submit a “Reset aTest” appeal request in

TOMS to request a newtest for the student if one ofthe following conditionsapply:

Ten or fewer CAT itemsor less than 1 PT itemswere completed

Student is in gradeeleven

Student did not receivea designated support oraccommodation as listed

in an IEP or Section 504plan

OR

2. Submit CAASPP STAIRS form then submit a“Reopen a Test” appealrequest in TOMS to requesta new test for the student ifone of the followingconditions apply:

More than 10 CAT itemsor more than 1 PT itemswere completed

Student is not in gradeeleven

Student received theappropriate designatedsupport oraccommodation as listedin an IEP or Section 504plan


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4.0 Responding to Testing Improprieties, Irregu

Documents

CAASPP online Tam 2016