Standing Operating Procedure Officer Candidate School () 112th Regional Training Institute Battalion Test Control SOP TEST CONTROL & ACCOUNTABILITY (TEST CONTROL SOP) 1-1. Purpose. The purpose of this Annexed Standard Operating Procedure (SOP) is to prescribe policies and procedures for the procurement, administration, safeguarding, testing, scoring and destruction of Army test and test materials as they related to the conduct of testing within the program. 1-2. Applicability. a. The policies and procedures prescribed in this SOP are applicable to the 1st Battalion 112 RTI () and Region A OSC/CATprograms. b. Test control and records will be maintained and utilized in accordance with the procedures specified in the references listed in paragraph 1-3 below. c. Test materials include, but are not limited to, test booklets, examination scoring templates, Scantron cards, test answer keys, practical examinations, AAR sheets, student answer sheets, filled in answer sheets, and any scrap paper used for the test with writing on the paper. d. State companies in Region A that establish, implement and maintain local Test Control and Accountability procedures shall ensure that such procedures meet the requirements of the CMP and other regulations listed in 1-3 (References). 1-3. References. a. AR 611-5, Personnel and Classification Testing, dated 09 December 2015 b. TRADOC Reg 350-18, The Army School System, dated 01 May 2018 c. TRADOC Reg 350-70, Army Learning Policy and Systems, dated 10 July 2017 d. TRADOC Pam 350-70-5, Systems Approach to Training: Testing, dated 20 August 2004 e. Proponent Course Management Plans (CMP), Programs of Instruction (POI), Training Support Packages (TSP), and Individual Student Assessment Plan (ISAP, formerly SEP) 1-4. Duties and Responsibilities. a. TASS BN Commanders will – (1) Ensure students are tested and retested IAW the student assessment plan for the course being presented. (2) Provide proper command supervision of Army personnel testing operations. (3) Provide adequate personnel and facilities for administration of tests. (4) Appoint, in writing, Test Control Officers (TCO), Alternate Test Control Officers (ATCO) and Test Examiners (TE) in accordance with the eligibility criteria and procedure set forth in CMP. (5) Ensure tests and test materials are effectively safeguarded from loss and compromise and will take corrective action when loss or compromise is suspected. (6) Ensure test results are correctly calculated, entered in personnel records, and used as prescribed in the applicable regulations. (7) Manage investigation when testing material is compromised and occurs within their command. b. TCO/ATCO will – (1) Advise the Commander on matters pertaining to test control procedures and administration. (2) Maintain and enforce test control SOP’s. (3) Train Test Examiners and Proctors in the proper handling of test materials to include protocols for actual or potential Test Compromise (see1-7) (4) Issue test materials to test examiners prior to testing and will issue only the number of test booklets and answer sheets needed by the examiner to test the students. (5) Ensure the test is administered exactly IAW the test administration instructions. (6) Inventory the test material when returned by the test examiner. (7) Make a 100% quality control check of all test materials upon receipt. (8) Ensure that the test examiners Duties and Security Awareness breifing is signed. (9) Ensure test results are reported as soon as possible to personnel tested. (10) Create and destroy test materials IAW CMP and this SOP (11) Grade examinations and report the results to the appropriate individuals. (12) Order test materials as required. (13) Ensure only current tests are used. (14) Ensure test material is properly disposed of when no longer usable or superseded. (15) Conduct test control inventories IAW proponent guidance. (16) Ensure all testing materials are IAW with this SOP (17) Complete and pass the Test Control Officers Course and Certification Exam on ALMS, receive minimum score of 90 percent on the TCO certification exam. Blackboard – TCO/ATCO will be required to complete appropriate training from WC prior to access to WC blackboard Exam. TCO/ATCO will ensure that all candidates assigned to their RTI have access to blackboard. TCO/ATCO will ensur that the test dates and times have been set for CST time. (ie, 0800 EST = 0700 CST) TCO/ATCO will provide CM/TACs with student grades upon completion. Ensure that any retest time and dates have been set. Generate Reclama for any test questions that are ambiguous or inaccurate, only after that have been verified. c. Test Examiners will – (1) Maintain control over the use and security of all test materials, test administration, and test results while in their possession, control, or charge. (2) Supervise the administration of a test. Read and follow the test instructions verbatim to the students taking the test, and allow for questions during or upon completion of the reading. (3) Immediately before the test instructions are read, positively verify student’s identity using photo identification or through visual recognition, to ensure they are authorized to take the examination. (4) Have each student sign the DA FORM 5160 whether or not they are physically and mentally prepared to take the examination per current guidance in the course management plan. (5) Advise all examinees/learners of that they will not acquire or provide inappropriate assistance before, during, or after any test, except as instructed (that is, for group activities) and that they will report any unauthorized assistance (before, during, or after the test administration) of which they are knowledgeable. (6) Ensure that the test is administered following standardized procedures and do not leave the room while testing is in progress. (7) Collect all test materials after test is administered in IAW procedues within this SOP. (8) Inventory and return all test material to the test control officer following the test IAW procedues within this SOP. (9) Complete and pass the Test Control Officers Course and Certification Exam on ALMS, receive minimum score of 90 percent on the TCO certification exam. d. Test Proctors – (1) Check the materials to be used to ensure that there are enough materials for the test being administered. (2) Know the order in which the materials are to be handed out and collected. (3) Patrol their assisgned area and do the following: i. Carry out in sequence, all instructions given by the administrator. ii. At the proper time, ensure each student being tested follows the directions and understands what must be done and how to do it. iii. Ensure that the students being tested are doing their own work and inform the Test Examiner of any areas of concern. iv. Ensure that that if a student needs to use the latrine that he/she turns I all test material until the student returns and that only one student may use the latrine at any time. v. CATProctors will have completed training IAW WC Test Proctor Training program. Blackboard – Proctor will read exam instructions per WC Exam Room Entry procedures - Verify students in the exam room are verified. - Hand out any required material and collect when test completed. - Notify TCO/ATCO when all have completed exam. - Conduct review of test, if required e. Individual examinees will – (1) Provide required documentation to the testing staff and bring with them their id card and knowledge of their pin for online testing requirements. (2) Ask questions if they are unclear about test guidance or do not understand the test administration statement. (3) Inform the test examiner immediately of any problems arising during the exam. Soldiers should not wait until completing the exam if there is an error with their materials or a technical problem. (4) Reschedule if not physically or mentally ready to take the test. In this case, the examinee should place a checkmark on the DA Form 5160 (Test Administration Statement) in the block labeled “I am not physically and/or mentally able to be tested this date. I will be administered this test at another time,” and sign the test administration statement. f. General – (1) Personnel handling, or coming in contact with, sensitive test materials are responsible for their security. (2) The examinee/learner is primarily responsible, logically and legally, for ensuring inappropriate disclosure/acquisition does not occur and are directed to report/identify all possible test material handling situations that might lead to inadvertent test compromise. (3) All personnel, who may intentionally or unintentionally come in contact with sensitive test materials, are responsible for reducing the possibility of unintentional disclosure of test items or materials (test compromise). In particular, the staff and faculty of the test administering activity have a primary role in implementing these procedures. (4) All commanders, staffs, course managers, instructors/facilitators, and other personnel who might come in contact with sensitive test materials are responsible for limiting test material access to those individuals with an absolute “need to know” status. As with classified material, rank or position is not the primary deciding factor in determining “need to know.” (5) Commanders/commandants are responsible for implementing the appropriate level of test and test item control. This requirement applies to all activities with sensitive test material under their control that requires securing. (6) Regardless of how final test/test items are ultimately administered, restrict access to paper-based copies of proposed or final test items, scoring/answer keys, or test results, to those personnel demonstrating a valid need for the information. 1-5. Appointment Process a. All TCOs, ATCOs, and TEs will be appointed in writing by Commander. Course managemer communicates test software access requests through SME cell. b. Appointments will be accompanied by a signed Duties and Security Awareness Briefing and completion of the TCO certification exam found in Army Learning Management System. All TCOs, ATCOs and TEs are required to complete the TCO certification exam with a score of 90 or above. Duty appointments and designations ( TCO, ATCO, TE’s) are to be posted within the test control facility clearly defining those personnel authorized to handle test materials. 1-6. Records System and Administration a. TCO maintains a clear and concise records management system to document and support the test control administrative needs of the organization. The records system is to comprise storage and administraiton procedures management of critical test control program documents. The records system is comprised of the following documents. Test Control References Binder o Test control regulations in printed and/or electronic copy Test Control Binder o Test Control SOP o TCO/ATCO appointment orders o TE designation memo o Exam results for each TCO/ATCO/TE o Security awareness briefings signed by TCO/ATCO/TE o TE duties and responsibilities brief o Blank forms necessary for Test & Exam packets o Annual/Quarterly inventories o Creation and destruction notices o For Blackboard, Exam Room Entry Procedures. Test Control Packets Stored in Test Control Secured Location o Test packets o Exam packets o Access documentation DA 7633 1-7. Requisition of Course Test Materials a. The course manager approves TCO/ATCO request for access to AKO RTI Test Material download site. b. TCO/ATCO downloads test material no earlier than 30 days prior exam date for RTI’s. 1-8. Test Material Access a. A posted commander’s memo on the Test Control access door defines those personnel who are authorized to access the secure test material room/containers. Only persons whose duties require use or oversight of sensitive test materials will have keys and/or combinations to test storage areas and/or files. b. When accessing test control locked cabinets, a record is annotated on a Security Container Check Sheet (Standard Form 702) or a locally generated sign-out/sign-in log. SF 702 / logs will be maintained for 2 years. c. Keys to the test control area are controlled by the key custodian for each battalion within the 112th Regiment. Access to the test control facility is limited to the test control officer (TCO), assistant test control officer (ATCO), and the Battalion Commanders of the 112th Regiment or as designated by the commander. Keys are issued and accounted for using DA form 5513. Key issue logs are to be maintained for 2 years. 1-9. Test Material Handling a. A posted commander’s memo on the Test Control access door defines those personnel who are authorized to handle sensitive test material. TCO, ATCO and TE’s are authorized to handle sensitive testing material and are published by name. b. ATO, ATCO and TE’s who handle controlled test materials must document receipt and returns on DA Form 7633’s (Army Personnel Testing Test Material Check-In And Check-Out Log). Access DA Form 7633’s / logs will be maintained for a minimum of 2 years. c. TCO or ATCO and TE will jointly inventory test material contents immediately upon receipt or return of sensitive test materials and utilize DA Form 7634 Army Personnel Testing Test Log. d. Discrepancies in test materials will be immediately reported to the chain of command and test control authority per AR 611-5. 1-10. Test Material Storage a. Test materials will be secured in a locked room or container secured with a combination lock not accessible to unauthorized individuals. Combinations will be changed every time there is a change in personnel with access. Key locks are not authorized unless a waiver has been granted by the APT PM. b. When test components, except blank answer sheets, are taken from and returned to the security container, exact counts of these components will be recorded on DA Form 7633. c. Test materials, except for blank answer sheets, will be kept in locked rooms or containers when not in transit or in actual use. Test scoring keys will not be stored in the same drawer as test booklets and blank answer sheets. Only persons whose duties require use of the test materials will have keys and/or combinations to storage facilities. Once answer sheets are used by candidates during the test taking process, control answer sheets similarly as an answer key. d. If the FOUO designation has not been preprinted on test components, the TCO/ATCO/TE will ensure all test components except those specified in following bracketed sentence will be so marked. [ Security requirements established in this regulation meet the requirements for handling for official use only (FOUO) material. These components bear the designation "FOR OFFICIAL USE ONLY" or "CONTROLLED ITEM (TEST MATERIAL)." Exceptions are worksheets and answer sheets that have not been completed by examinees]. e. Most test booklets, manuals, and scoring keys will be distributed with preprinted serial numbers for internal security control. If the materials are not numbered, the TCO should number the materials using the defined labeling strategy. Serial numbers will be permanent. Serial numbers of previously destroyed materials will not be assigned to newer test materials. f. DA Label 87 (For Official Use Only) need not be attached to Army personnel test material when the material is actually being used for test administration and scoring purposes. g. Army personnel test material is exempt from automatic time-phased downgrading. Army personnel test material will remain FOUO unless specific instructions are issued by the APT PM. h. The retained answer sheets of a dropped student are stored separately and placed in a sealed envelope with TCO/ATCO signature placed over the seal. 1-11. Test Material Scheduling a. Course manager to ensure TCO/ATCO/TE’s are informed of course exam dates with adequate advance notice for planning, 30 days or more is preferred. b. Designated TCO, ATCO and TE’s are to be available prior to and during course exams to prepare for and impliment the testing process IAW AR611-5. TCO/ATCO will insure that tests materials are properly labeled, available and controlled throughout the test administration process. TCO/ATCO will also ensure that TE’s are briefed and rehearsed in order to manage the materials request, transit, delivery, administration, collection, scoring, and return of sensitive test materials. 1-12. Test Material Inventory a. Perform a quaterly physical inventory of test materials and maintain a signed copy of the test inventory for two (2) years. The inventory will include test booklets, audio components, administration and scoring manuals, and scoring keys. More frequent inventories may be performed at the discretion of the TCO. b. If there are changes, use extranet at https://www.hrc.army.mil for instructions to report discrepancies. Sign or initial all pages, report any discrepancies to the APT Program Office, and keep a copy of the inventories on file for two (2) years. c. Perform an inventory whenever there is a change in TCO personnel with access to the security container transferring the responsibility of test security. 1-13. Retention of Scored Answer Sheets a. IAW 112 RTI Battalion SOP, the TCO/ATCO maintaines answer sheets and associate paperwork for graduates until coarse completion. The TCO/ATCO maintains academic failure test answer sheets for 24 months (112 RTI Bn SOP 1.5-g). This command guidance superceedes (4-7d AR 611-5). 1-14. Test Material Creation and Destruction a. Test materials authorized for destruction will be destroyed as soon as possible by shredding. The destruction of all test materials will be documented and witnessed ensuring examination title, serial numbers, and quantities destroyed are recorded of DA Form 3964. Answer sheets and associated student papers will be destroyed by shredding. Reusable test material will be examined for marks before and after use. If the material is marked and cannot be erased, or if the booklet is worn or torn and cannot be repaired it will be destroyed. b. Destruction of test materials will be accomplished by burning or shredding. Destruction of such test components will be accomplished by the TCO or ATCO, if TCO is not available, having custody of, or supervision over, these test materials. (1) A witness must be present at the actual destruction. If burn bags are used, the witness must be present during the filling and sealing of bags. A witness can be a TE. (2) A destruction certificate must be created to document the destruction. A DA Form 3964 (Classified Document Accountability Record) must be used. The certificate must list every item by form number, description and/or title,form date, and serial number. The certificate must be signed and dated by either the TCO or ATCO, and a witness to the destruction. The witness may be a TE. (3) If shredding is the method of destruction, a quarter-inch, cross-cut shredder or smaller will be used. Shredders currently not meeting this standard are allowed; however, new purchases should conform to the more secure method of destruction. c. Segregation of test materials to be destroyed can be accomplished prior to the actual date of destruction. Destruction of test materials must be accomplished within five business days of removing items from current inventory. Segregated materials must be clearly marked for destruction so that all personnel are aware these items are not to be used. If possible, testing materials ready for destruction should be stored separately from current inventory. On the actual day of destruction, TCO or ATCO along with a witness must verify each item by nomenclature, date, and serial number before destruction. d. Destruction documents must be maintained for a minimum of five years. 1-15. Labeling of Test Material a. Test examiners will ensure "For Official Use Only (FOUO)" is stamped or printed on all test components. Exception is that FOUO need not to be attached to Army personnel test material when the material is actually bring used for test administration and scoring purposes (AR611-5 3.1.c.6). b. TCO’s will uniquely label all test components (to include CD ROMs and diskettes). The naming convention for use as shown in the following example: (1) CATNaming Convention Example: CAT-2/1-EX-A/B-2018 Refers to: Connecticut National Guard – Regional Training Institute – Warrant Officer Candidate School – Phase 2/Exam 1 – Exam – Version – Test sequence number The following keys will be utilized for serial numbers of testing material: Subject of Examination Keys: a. Phase 2/Exam 1 b. Phase 2/Exam 2 = = 2/1 2/2 Format of Testing Material Keys: a. Candidate Exam b. Answer Key c. Candidate Test Answer Sheet = = = EX AK CA Examples of CATPhase 2 Exam 1: CAT-2/1-EX-A/B-2018-1,2,3…( Exams ) CAT-2/1-AK-A/B-2018 ( Answer Key) CAT-2/1-CA-A/B-2018-1,2,3…( Candidate Answer Sheet ) Examples of CATPhase 2 Exam 2: CAT-2/2-EX-A/B-2018-1,2,3… ( Exams ) CAT-2/2-AK-A/B-2018 ( Answer Key) CAT-2/2-CA-A/B-2018-1,2,3… ( Candidate Answer Sheet ) NOTE: Do not use the same serial numbers of previously destroyed materials for new test materials. (2) DOGNaming Convention Example: CAT-MI-WE-A-01 Refers to: Connecticut National Guard – Regional Training Institute – Officer Candidate School – Military Intelligence – Written Exam – Version – Test sequence number The following keys will be utilized for serial numbers of testing material: Subject of Examination Keys: a. Call for Fire b. Leadership c. Military Intelligence d. Military History e. Military Justice f. Operations g. Supply Activities h. Tactics i. Training Management = = = = = = = = = FA LDR MI HIS JUS OPN SUP TAC TRNG Format of Testing Material Keys: a. Candidate Exam b. Answer Key c. Candidate Test Answer Sheet d. Digital Storage d. Academic Drop = = = = = WE AK CA CD AD NOTE: Do not use the same serial numbers of previously destroyed materials for new test materials. Examples of DOGDocument Naming Convention CAT-MI-WE-A-01,2,3 …( Exams ) CAT-MI-AK-A-01,2,3 …( Answer Key ) CAT-MI-CA-A-01,2,3 …( Candidate Answer Sheet ) 1-16. Mailing or Loaning of Test Materials a. Mailing or transport of test materials off site shall be IAW AR611-5 Section 3-1(e) and Section 3-4(d). 1-17. Test Administration Test administration consists of the processes of — a. Reproduction, as necessary of test material. Many tests, and their associated material, are digitized and placed in training product repositories, for control, access, and delivery. (1) Determining factors for reproduction include: i. The location and number of the administering activities. ii. The number of learners at each activity. iii. The delivery means (that is, hardcopy or electronic). (2) Delivery of test materials IAW existing SOP. (3) Securing of test materials during reproduction, distribution, and administration (4) Administration of the test to the learners IAW the test instructions. It is critical that personnel administering the test instruments are fully aware of the proper control procedures, and the contents of the test administration instructions the proponent provides. The course administration documentation should include specific test control procedures to employ for each test. In particular, the test administering activity: i. Administers all test instruments exactly IAW Test Development (TD) proponent provided guidance (or, if not possible, or if concerns arise, immediately contact the TD proponent for guidance). ii. Implements the appropriate test control procedures, based upon guidance the proponent provided, and this chapter. iii. Administers test reviews guidance the test proponent provided, and guidance contained in this pamphlet. iv. Administers test critique instruments. v. Administer tests under standardized conditions. Ensure the test material includes accompanying documentation that specifies: A. Test administration conditions. B. Instructions. C. Administration procedures (including how to handle questions, how to check and set up test supplies and equipment, etc.). D. Circumstances for excusing examinees from the test, due to illness, fatigue, etc. E. Environmental circumstances under which test administration is cancelled. F. Scoring procedures. b. Test must be given under standard conditions and procedures that give each student the opportunity to do his or her best. The testing facility should be reasonably free from distractions in the surrounding environment. Each Soldier being tested should be aware of the importance of, and the reason for, taking the test. Specific directions for test administration and scoring are contained in manuals that accompany each test. These directions must be strictly adhered to. Test examiners will use only Army test materials in preparation for or during the administration of a test. Test answer keys will be retained in the test control room. The only exception is for courses taught off site. This policy prevents test compromise and ensures that no test is corrected in the students’ presence. A clock will be visible for the students to see. The start and finish time will be written where the student can see. The Test Administration Statement will be read to the students so they understand the form if required by the CMP/POI. c. The test examiner must be present during the entire testing session. At no time will anyone other than the TCOs issue a test or test materials to another person. Test examiners will be chosen in accordance with proponent policies and guidance. A test proctor is required for every 15 examinees or fraction thereof. The same rule applies to the computer based tests. The TE counts as one of the test proctors. Examples: Number of Number of Additional Notes examinees Proctors needed 1- 15 0 TE counts as the required Test Proctor 16 - 30 1 One additional proctor + TE 31 – 45 2 Two Additional Proctors + TE 46 - 60 3 Three additional Proctors + TE d. Breaks. Testing should not continue for more than two (2) hours without a break; nor should it last more than four (4) hours in one session. A student will be able to take a break on his/her own. Only one student at a time will be allowed to take a break. The student must turn in his/her paper work to the test examiner, (i.e. test, answer sheet, and any scrap paper) before he/she leaves for a break. The student must be informed that the time is still running while he/she is on break. e. Individual Emergencies. If an examinee must be released from testing due to an emergency ( for example, Famility member involved in an accident), note time elapsed, collect all of the individual’s test materials, and remind the examinee not to discuss test materials. Reschedule the individual to complete the testing as soon as possible and allow only the time remaining from the original testing session. For all testing, do not allow exmainees to leave the testing room for a non-emergency or individual break unless the examinee has a medical statement to substantiate the need to take an individual break during the testing session. In such cases, provide an escort who meets the TE grade requirements and keep track of testing time. Time allotted for break does not count as part of examonee’s testing time. Terminate testing if an examinee without a medical statement leaves testing session after testing has begun. Before the individual leaves, explain that the test will be terminated and again ask if the examinee needs to be excused. Forward the examinee’s answer sheet to the appropriate agency for scoring (if applicable) with a note explaining why testing was terminated or hand-score if it is a test score locally, f. Answering Students Questions. Routine questions are answered by the test examiner. Such questions concern test procedures, time limits, purpose, and use of the test. Test examiners avoid revealing information that might influence the proper evaluation of the individual. Explanations or answers to test questions are not permitted. At no time after the completion of the testing are examinees permitted to have access to their answer sheets. g. Collection of Test Materials. After the signal to stop work has been given, the materials are collected as quickly as possible. All test forms and scratch paper, if provided, must be strictly accounted for. Test booklets must be collected from all examinees. They must be counted and examined to ensure that no pages are missing and any stray marks or writings are removed from the test booklets before the examinee is dismissed. h. Retesting. Soldiers who pass a retest are awarded the minimum passing score for grade averaging and class standing purposes. Actual retest scores, however, will be recorded in the student’s records to establish final proficiency level attained. Students who do not achieve a passing score on the initial examination will be counseled and informed of when and where retraining and retesting will occur. Remedial training is done in accordance with proponent policies or guidance. The student will then be given another version of the test. A third test can be given only in accordance with proponent policy and with the commandants’ approval. For WC candidates. If a candidate fails an exam during phase I or II the candidate is restested no later than the next academic training day with a different version of the examination. The candidate will be allowed tiem to review and study lesson materials for the exam with assistance of a designated peer tutor. If the candidate passes the retest, the actual grade will be entered in their records; however, the minimum passing score of 70 percent will be used in computing their academic average and the candidate will automatically be remoed from class honors consideration – Reference WOC ISAP. For DOGcandidate. If a candidate misses a scheduled exam, they must make arangements to make it up as sson as possible at a time that does not conflict with any other required POI training. The retest will be taken no later than 24 hours for accelerated and no later than on IDT for traditiona. The retest will be taken prior to the next module exam. The retest can be given within the same training day after the proper remediation. The restest may be given during administration time. Reference ARNG DOGCMP. i.Examination After Action Reviews (AARS): The AAR is an extension of the group study/learning process. Test examiners, utilizing the test examiners booklet, will conduct an AAR following each examination. Test booklets or answer sheets will not be given to the student during the test review. The TE/SGL/Administrator facilties. Adminstrators will use this method throughout the examination. After the test review the Administrator collects up all test review sheets and returns them to the TCO/ATCO for proproper disposition.