3301-13-05 Establishing security and security investigation provisions for assessments.

(A) All assessment questions and all other assessment materials, which are considered part of an assessment, including, but not limited to, oral or written directions, reading passages, writing prompts or styles, charts, graphs, maps, and tables shall be considered secure and subject to the provisions of sections 3319.151 and 3319.99 of the Revised Code and to the provisions of this rule prohibiting any person from revealing any specific question and/or materials that a person knows are part of an assessment.

(B) Except for diagnostic assessments, no assessment, achievement tests for grades three through eight or the Ohio graduation tests, shall be released as a public record.

(C) The assessment materials that are specifically designated as "practice tests" and any assessment released by the department of education as a public record in accordance with division (N) of section 3301.0711 of the Revised Code and this rule are not considered secure.

(D) Persons designated as test coordinators for districts or participating schools, in accordance with paragraph (M) of rule 3301-13-02 of the Administrative Code, shall ensure that all assessment security provisions are met while assessment materials remain in a school district or participating school.

(E) Persons designated as examiners, in accordance with paragraph (N)(7) of rule 3301-13-02 of the Administrative Code, shall ensure that all assessment provisions are met while each assessment administration session, including makeup sessions, is in progress and account for all assessment booklets by serial number, all CDs containing English audio and foreign language translations of the assessments, all answer documents, and all tape recorded student responses from the translation sessions received from a building test coordinator, until such time that an examiner returns said assessment materials to the building test coordinator.

(F) No person shall reveal, cause to be revealed, release, cause to be released, reproduce, or cause to be reproduced any secure assessment materials through any means or medium including, but not limited to, electronic, photographic, photocopy, written, paraphrase, or oral.

(G) No unauthorized person shall be permitted to be in an assessment room during any assessment session or be permitted to have access to any secure assessment materials at any time such materials are in a school district or participating school.

(H) Each school district and participating school shall establish written procedures to protect the security of the assessment materials from the time such materials are received in the school district or participating school until they are returned to the district's central collection location and from there shipped to the scoring contractor. Such procedures shall include, but not be limited to, the following:

(1) Identification of each person by name with a designated title as being either a test coordinator, examiner, monitor, translator, or scribe in a school district or participating school who is authorized to be present in an assessment room during an assessment session, including a makeup session, and/or who is authorized to have access to the assessment materials;

(2) Specification of procedures for handling, tracking, and maintaining security of assessment materials from the time and point of receipt in a school district or participating school until the time and point of shipping to the district's central collection location and from there shipped to the scoring contractor;

(3) Specification of procedures for handling, tracking, and maintaining security of assessment materials at a site before, during, and after an assessment administration, including, but not limited to, procedures for accounting for and storing assessment booklets, answer documents, and all other assessment materials in a secure location before, during, after, and between assessment administration sessions;

(4) Specification of procedures for handling, tracking, and maintaining security of the assessment materials collected after the last regular assessment administration session until the return from the school building or participating school to the district's central collection location and from then until the pickup by the shipping to the scoring service provider. These specifications should also include procedures for handling, tracking, and maintaining security of assessment materials collected after the last makeup assessment administration session until the return from the school building or participating school to the district's central collection location and from then until the pickup by the shipping to the scoring service provider;

(5) Specification of a procedure for investigating any alleged violation of an assessment security provision or any alleged unethical testing practice, a procedure ensuring due process for any individual accused, and a procedure for determining an action or actions to be taken in response to any confirmed violation of section 3319.151 of the Revised Code, rule 3301-7-01 of the Administrative Code, this rule, or the school's security procedures, including, but not limited to, cheating by a student and/or by any other person assisting a student to cheat;

(6) Specification of a procedure for determining whether or not to invalidate a student's assessment score, which is an action a school district or participating school may take in response to an assessment security violation of section 3319.151 of the Revised Code, rule 3301-7-01 of the Administrative Code, an ethical testing practice, this rule, or the school's security procedures, which was caused either by a student and/or by any other person;

(7) Specification of how the written procedures established in accordance with this rule shall be communicated in writing and discussed each school year with all employees of the school district or participating school who have access to the secure assessment materials, with all students enrolled in the school district or participating school who are being tested, and with any other person authorized to be present in an assessment room and/or to have access to any assessment materials.

(I) Any alleged assessment security violation of section 3319.151 of the Revised Code, rule 3301-7-01 of the Administrative Code, an ethical testing practice, this rule, or the school's security procedures must be reported to the department of education as soon as it becomes known to the school district or participating school.

(1) Upon receipt of information about an alleged assessment security violation of section 3319.151 of the Revised Code, rule 3301-7-01 of the Administrative Code, an ethical testing practice, this rule, or the school's security procedures, the department of education shall call the school district to request the opening of an investigation and shall follow up with a letter to the school district.

(2) All records furnished and information gathered or prepared by the department of education in connection with an investigation into an alleged assessment security violation of section 3319.151 of the Revised Code, rule 3301-7-01 of the Administrative Code, an ethical testing practice, this rule, or the school's security procedures shall be considered confidential information. However, this confidentiality does not prohibit the disclosure of records or information to the school district or participating school for the purpose of the district or school conducting the required investigation.

(3) Within ten days after the completion of the district's or participating school's investigation, a written report shall be filed with the department of education delineating the cause and results of the investigation including any corrective action taken.

(4) After a determination that an assessment security violation of section 3319.151 of the Revised Code, rule 3301-7-01 of the Administrative Code, an ethical testing practice, this rule, or the school's security procedures has occurred, a school district board or governing authority of a school and/or the state board of education may take any action or actions specified in section 3319.151 of the Revised Code or in this rule.

(5) Each school district and participating school shall ensure the cooperation of all of its employees in any investigation of any assessment security violation of section 3319.151 of the Revised Code, rule 3301-7-01 of the Administrative Code, an ethical testing practice, this rule, or the school's security procedures that are conducted by the department of education pursuant to any allegation or other indication that such an assessment security violation may have occurred.

(6) Prior to commencing an Ohio department of education investigation and taking action as a result of an allegation of an assessment security violation of section 3319.151 of the Revised Code, rule 3301-7-01 of the Administrative Code, an ethical testing practice, this rule, or the school's security procedures by a licensed school employee, the state board of education shall provide the individual with notice of the allegation and an opportunity to respond and present a defense.

(J) By the first of October of each school year, each school district and participating school shall communicate in writing and discuss with all employees who have access to the secure assessment materials and students who are being tested the applicable written security procedures and actions to be taken in response to any violations established pursuant to paragraph (H) of this rule. Students and staff shall be reminded orally of these provisions prior to the beginning of each assessment administration period by an assessment coordinator and examiner.

(K) Each joint vocational school district that has executed an agreement with a school district or participating school to administer any assessment pursuant to paragraph (I) of rule 3301-13-01 of the Administrative Code shall comply with all requirements of this rule.

Effective: 01/26/2013
R.C. 119.032 review dates: 11/01/2012 and 11/01/2017
Promulgated Under: 119.03
Statutory Authority: 3301.07 , 3301.0710 , 3301.0711
Rule Amplifies: 3301.0710 , 3301.0711 , 3301.0712
Prior Effective Dates: 1-29-90; 12-1-92; 8-10-00; 8-22-02; 12/21/2007