4. PROPUESTA DE LA INVESTIGACIÓN
4.12 Metodología de planificación de auditoría interna
4.12.2 Universo Auditable
Minnesota Assessments require the highest level of test security. As a result of national attention on the integrity of test results, the United States Department of Education’s (USDE) emphasis on security, and recommendations by Minnesota’s National Technical Advisory Committee (TAC) and Test Policies and Procedures Committee (TPPC), MDE continues to review and update policies and procedures as needed to maintain a fair and valid assessment system. MDE’s policies around test security are applicable to all statewide assessments and, generally speaking, are best practice.
The TPPC met from October 2014 through June 2015 and reviewed MDE’s policies and procedures to ensure the integrity of test scores. The committee considered best practices in test security and data integrity and made recommendations to MDE. These recommendations are available in the Test Policies and Procedures Committee (TPPC) Recommendations and Final Report, which is available on the MDE website. View the TPPC report on the MDE website (MDE website > School Support > Test Administration). The recommendations in this report will be implemented, as appropriate, over the next few years; new policies and procedures for this year as a result of these recommendations are indicated as “New” throughout this manual.
Test security refers to policies and procedures designed to protect test content and ensure the integrity of test scores. All content in a test is considered secure, and includes, but is not limited to, reading passages and titles; science scenarios and titles; and all components of test items. Keeping test content secure and following test security procedures is how the integrity of the test scores that students receive is ensured. The Frequently Asked Questions: Why Statewide Test Results Matter
document explains the purpose for statewide testing and why it is important to ensure the integrity of test scores; it has been posted to each of the Statewide Testing sections of the MDE website. View the document on the Test Administration page (MDE website > School Support > Test Administration). Developing and maintaining a secure system of statewide test administration serves to:
• Preserve the security of the test content.
• Protect the significant financial investment necessary to develop a comprehensive system of assessments.
• Enhance the opportunity for fairness among all districts. • Maintain the integrity of the assessment results.
A breach of security is any action that jeopardizes the security of test content and/or gives an unfair advantage to a student or group of students. A breach may be committed by various individuals and/or precipitated by a number of events. The unethical behavior and practice section in Part II of this chapter provided some examples of security breaches. In addition, the MDE Internal Test Security Procedures
for All Statewide Assessments can be found in Appendix B, which describes MDE’s responsibility and
the steps followed to investigate and resolve all alleged breaches in test security on a statewide basis.
Maintaining Security of Tests
Security of online assessments, accommodated test materials, MTAS test materials, or any other materials with secure test content, like scratch paper and student testing tickets, must be maintained before, during, and after the test administration. Student testing tickets used to log in to online tests are secure because they contain private student data, and student scratch paper (including materials that may be used as scratch paper, like hard copy mathematics formula sheets) is secure because students may have written test items on it. Follow the guidelines in this Procedures Manual as well as the other assessment manuals and directions for distributing, administering, collecting, and returning or disposing of all secure test materials to preserve the confidentiality and security of the test content.
Assessment staff must have access to locked storage space to maintain the security of all test
materials in their possession. While paper test materials should be inventoried upon arrival and can be organized prior to testing, security of the test materials must be maintained at all times.
• Teachers and other school staff may not have access to secure test materials until the day tests are administered to students. Note these exceptions to this rule:
Under the supervision of the District or School Assessment Coordinator, a Test Monitor administering a braille test may access the Test Administrator Notes and the
For MTAS, Test Administrators need to have access to the materials upon delivery to prepare for individual student needs (enlarge material, find manipulatives, etc.). This includes the Task Administration Manual, Presentation Pages, and Response Option Cards. MTAS materials must be kept secure by the Test Administrators as they prepare for testing.
For kindergarten ACCESS and Alternate ACCESS, Test Administrators need to have access to test materials (including the Test Administrator’s Script) for the test(s) that they are administering to prepare for test administration. However, all test materials must be kept secure, and Test Administrators must ensure that students do not have access to the test materials prior to administration. The actual paper test materials cannot be used for student practice.
• During test administration, Test Monitors and Test Administrators are not allowed to read, review, discuss, or copy any reading passages, test questions or answer options, writing prompts, or student responses from an actual assessment for use in instructional planning, classroom instruction, assessment, or other purposes.
• Students are not allowed to disclose or discuss test questions or answer options after administration. If the test administration experience is discussed, district staff should not ask students about specific test questions. If students ask about a specific item following testing, the district staff may provide instruction on the general concept but must not address or solve the specific test item.
• No one may reproduce or copy any part of any test or script, whether written or in audio, graphic or electronic format without proper authorization. Reproduction of secure test materials is a breach of security and a violation of the Federal Copyright Act.
All secure test materials must be returned to the service provider or securely disposed of following testing (no more than 48 hours after the close of the testing window) as instructed in this manual and the applicable assessment manuals.
Educators should be wary of allowing the media to photograph the test books, related test materials, and computer/device screens displaying test content because it could put the district in a compromised position if the media wants to view test items. Item samplers are available on service provider websites, which the media can photograph or televise to show what test items look like.
Ensuring District and School Test Security
Test security involves protecting the confidentiality of the test content and other secure test materials, like scratch paper and student testing tickets. It is important that staff are adequately trained in test security, as test security preserves the integrity of test results and protects the state’s financial investment. Only authorized persons should have access to secure test materials.
The District Assessment Coordinator (in coordination with School Assessment Coordinators, school principals, and other trained staff involved in testing) must ensure that:
• District policies and procedures related to secure handling of test materials and access to online assessments are established.
• All testing personnel are trained before handling secure test materials and administering assessments. See information later in this chapter about training.
• Assurances of Test Security and Non-Disclosure are understood and completed by all
appropriate personnel, including all staff who may have access to test materials (e.g., principals, custodians).
• There are school personnel directly responsible for supervising any non-school personnel involved with testing.
• No person views the test content before, during, or after test administration unless specifically instructed to do so by the procedures outlined in the manuals.
• No person alters student responses during or after test administration.
• All tests are administered in strict accordance with the instructions contained in this Procedures
Manual as well as the other assessment manuals and directions.
Required District Test Security Procedure
Each school district must have a written district test security procedure that addresses how test security policies and procedures will be implemented in the district. Chapter 4 of this manual contains roles and responsibilities to include in such a procedure. Appendix B contains a sample Test Security Procedure template and identifies basic policies and procedures to be included in your district policies and
procedures. The procedure should provide for the security of the test materials and test content before, during, and after test administration and the review of state and district policies and procedures that must be address during annual test administration and security training for staff.
Beginning this year, MDE will request a copy of the district test security procedure to audit from a sampling of districts. Feedback or revisions will not be provided to the districts this year; instead, this audit will inform MDE of changes needed to the template and requirements for districts for future years. However, the audit process of district procedures may be expanded in future years.
Test Security Information for Students
As part of a culture of academic integrity, districts are responsible for reminding students of the importance of test security and expectations that students will keep test content secure and act with honesty and integrity during test administration. These expectations can be communicated through routes determined by the district (e.g., student handbooks, district and school websites, newsletters). In addition, districts should also provide information to students and families about the availability of the online Test Security Tip Line on the MDE website so that any suspected incidents of cheating or other improper or unethical behavior on statewide assessments can be reported to MDE; see further
MDE expects that all students will follow all state and district policies for test administration. As part of the recommendations from the TPPC, MDE has added code of conduct information to all Standards-Based Accountability Assessments that students must view before beginning the test:
On this test, do your own best work to show what you know and can do. • Do not accept help finding answers to test questions.
• Do not give answers to other students. • Do not tell others what is on the test.
• There may be consequences if you do not follow directions or if you behave dishonestly.
Test Security Forms Used in Minnesota Assessments
ASSURANCE OF TEST SECURITY AND NON-DISCLOSURE
Any district or school staff involved in any aspect of test administration must sign an Assurance of
Test Security and Non-Disclosure (which replaces the Non-Disclosure Agreement used in previous
administrations). This includes all Test Monitors, MTAS Test Administrators, School Assessment Coordinators, translators, scribes, ACCESS and Alternate ACCESS Test Administrators, and
technology staff, as well as individuals in leadership roles (principals, superintendents) and custodial and support staff who may have keys, and therefore access, to secure test materials.
The Assurance of Test Security and Non-Disclosure outlines the responsibility to keep test content
secure and to ensure the integrity of test results. By signing this agreement, staff assure that they understand these responsibilities and commit to fulfilling them as required by their role in test
administration. MDE has developed the Assurance of Test Security and Non-Disclosure mini module for districts to use in their district training or for individual school staff to view as needed to explain the assurance.
The assurance is available in two formats, and either version is acceptable for district documentation. • An online Assurance of Test Security and Non-Disclosure is available in Pearson’s Training
Management System, accessed through PearsonAccess and PearsonAccess Next. District Assessment Coordinators may request a list of staff members who have completed the online
Assurance of Test Security and Non-Disclosure by contacting the Pearson Help Desk. The list
will be emailed to District Assessment Coordinators within two to three business days. Beginning January 2016, District Assessment Coordinators can track completion of the assurance directly in the Training Management System.
• A paper Assurance of Test Security and Non-Disclosure is available in Appendix A of this manual.
Documentation of completion must be kept at the district for two years after the end of the academic school year in which testing took place and must be available upon request by MDE for program audits or monitoring conducted by MDE. An individual who completes an Assurance of Test
Security and Non-Disclosure Agreement early in the school year does not need to sign another one
before spring testing begins. However, prior to spring testing the District Assessment Coordinators must review with staff the specific responsibilities they agreed to in this assurance. Districts will
determine how this review is provided (e.g., review of mini module, staff meeting).
Although WIDA and DRC have developed a consortium-wide Agreement to Maintain Confidentiality form for all of the states in the consortium, Minnesota district staff will only need to sign the MDE
Assurance of Test Security and Non-Disclosure Agreement for the ACCESS and Alternate ACCESS.
TEST ADMINISTRATION REPORT
The Test Administration Report located in Appendix A is used to record the occurrence of a variety of
special circumstances, including, but not limited to, test misadministrations and reasons for
invalidations. Misadministrations are any actions that vary from the policies and procedures specified in the manuals and directions for test administration.
The following are examples of situations that should be documented:
• A student engages in inappropriate behavior or action, including cheating, that results in the invalidation of tests.
• A student is administered the incorrect assessment or accommodation. • A student uses a calculator when a calculator is not allowed.
• A student refuses to take an assessment, requiring the assessment to be invalidated. • The district uses a translator to translate test directions to an English learner.
• District or school staff enters a student’s MCA responses or a student’s MTAS scores online. Districts may also choose to document any students who experienced technical issues during online testing that affected their testing experience.
Completed Test Administration Reports must be kept at the district for one year after the end of the academic school year in which testing took place and must be available upon request by MDE for program audits or monitoring conducted by MDE. In addition, Test Administration Reports can assist with questions from district staff and parents regarding special circumstances or misadministrations when student results are available. If completed by the School Assessment Coordinator, a copy of the report should be forwarded to the District Assessment Coordinator. Districts do not submit the Test
Administration Report to MDE or service providers.
TEST SECURITY NOTIFICATION
The Test Security Notification is for reporting security breaches involving a state assessment. Security
student or group of students, including, but not limited to, leaving test materials unsecured, discussing secure test items with staff or students, distributing secure test content via email or social media, and reviewing or changing student responses.
When a security breach occurs, the School Assessment Coordinator should contact the District
Assessment Coordinator. The District Assessment Coordinator should immediately (or no later than 24 hours after the security breach occurs) contact their MDE Assessment Contact, who will advise whether the report should be submitted. The report should be submitted as soon as possible, even if
investigation into the incident is still taking place, as additional documentation can be submitted at a later time.
• MDE recommends each District Assessment Coordinator check with the appropriate district personnel to find out current investigation protocol. The District Assessment Coordinator needs to be aware of local school district rules that apply during an investigation.
• If an investigation requires that students be interviewed, staff should follow district guidelines regarding parent/guardian notification.
• If district administrators are implicated or if other circumstances so warrant, external investigators may be hired to conduct an independent investigation.
The Test Security Notification must be submitted online in Test WES by the District Assessment
Coordinator. District Assessment Coordinators in nonpublic schools must also submit notifications online in Test WES (previously, nonpublic school users submitted notifications on paper).
To submit a Test Security Notification, District Assessment Coordinators select “Test Security Notifications” under File Transfer in Test WES. To complete the report in Test WES, the District Assessment Coordinator will:
• Enter the incident date, the name of the MDE Assessment Contact the incident was reported to, and date reported.
• Enter the contact information for the District Assessment Coordinator (pre-populated based on the Test WES user information) and school, including the school principal and School
Assessment Coordinator (if applicable).
• Select the applicable test(s) and grades(s) affected.
• Under “Incident Description,” provide as much specific information as possible, including date, detailed description or timeline of the incident, and which staff were involved. Interviews with and signatures from applicable staff involved (e.g., Test Monitor, Principal, School Assessment Coordinator) may also be attached at the time of the submission of the initial report, if available, or when the investigation of the incident is completed.
• Indicate whether the completed Assurance of Test Security and Non-Disclosure, documentation of district training on test administration and test security, and documentation of any test-specific trainings for staff involved in the incident are attached. If documentation is not attached at the time of submission, it should be attached as soon as possible.
• Under “Additional Information,” provide any additional information collected at the district when investigating the incident, including whether any school district action was implemented in response, if available at the time of submission. If the investigation is ongoing, this information can be attached at a later time.
The District Assessment Coordinator is responsible for coordinating the collection of required documentation, uploading it in Test WES, and retaining a copy of what has been submitted for two years after the end of the academic school year in which testing took place. Test Security Notifications
can be tracked by school year in Test WES. Once a Test Security Notification has been submitted, it cannot be edited in Test WES but additional documentation can be attached. To correct any
information in the submitted report, email [email protected].
When MDE receives a completed Test Security Notification, agency staff reviews the incident and the provided documentation. For the majority of cases, a letter will be sent to the District Assessment Coordinator from the Division of Statewide Testing detailing the reported incident and requesting any additional documentation needed.
If MDE determines the incident merits a formal investigation, then MDE staff from Compliance and