Thomas P. DiNapoli OFFICE OF THE COMPTROLLER NEW YORK STATE COMPTROLLER DIVISION OF STATE GOVERNMENT ACCOUNTABILITY Audit Objective...............................2 STATE EDUCATION Audit Results - Summary...............2 DEPARTMENT Background.....................................3 Audit Findings and Recommendations ..........................4 SECURITY OVER REGENTS Storage of Examination Materials ....4 EXAMINATIONS Recommendations...........................10 Shipments of Examination Materials .....................................10 Recommendations...........................11 Monitoring by SED ........................12 Recommendations...........................12 Report 2006-S-104 Audit Scope and Methodology.....12 Authority.......................................14 Reporting Requirements..............14 Contributors to the Report ..........14 Exhibit A .......................................15 Appendix A - Audit Response......19 AUDIT OBJECTIVE selected a representative sample of 235 schools administering exams during the Our objective was to determine whether January 2007 Regents examination period adequate security is maintained over Regents (January 23 through January 26, 2007). We examinations from the time the examination found that 41 of the 235 schools (17 percent) materials are received by the schools until the were not fully complying with the day the examinations are given. requirements for the storage and unsealing of the examination materials. For example, 16 AUDIT RESULTS - SUMMARY schools were storing their examination materials in unapproved locations, some of Regents examinations are statewide tests for which were clearly not secure (such as a high school students in particular subject principal’s office), and 11 schools had opened areas. The examinations are developed by the sealed packages of examination materials State Education Department (SED) and before the allowed time (in most instances, administered by participating high schools. one or more days before the examinations To preserve the integrity of the examination were scheduled). As a result of these process, each individual examination is given inappropriate actions, the risk of security on the same day, at the same time, by each breaches was increased at these 41 schools. participating high school. In addition, the schools are required by SED to follow certain At many of the non-compliant schools, school security-related procedures in their handling officials were not aware of the security of the examination materials (e.g., test requirements. We recommend SED develop booklets and answer keys). and provide security awareness training for the schools. In addition, SED sometimes These materials are printed by SED and visits selected schools during Regents shipped to the schools shortly before the examination periods to determine whether examinations are scheduled to be given. The their examination materials are adequately materials are shipped in sealed, labeled secured. Although, such visits help to packages inside of locked Regents boxes. strengthen security practices at the schools, The schools are supposed to inventory the we found the visits are not made regularly and packages upon receipt, place the packages relatively few schools are visited. For back into the boxes, and store the locked example, only 57 of the 235 schools in our boxes in an approved safe or vault until the sample had been visited since 1992. We day of the examination. Under no recommend SED increase the number of these circumstances are any of the sealed packages visits. to be opened before the day of the examination. The sealed packages are to be This report, dated June 5, 2007, is available opened only on the day of the examination on our website at: http://www.osc.state.ny.us. and only shortly before the examination is to Add or update your mailing list address by be administered. contacting us at: (518) 474-3271 or Office of the State Comptroller To determine whether the schools were Division of State Government Accountability complying with these requirements, we 110 State Street, 11th Floor Albany, NY 12236 Report 2006-S-104 Page 2 of 21 BACKGROUND Outside New York City, most schools receive a single shipment of examination materials in Regents examinations are statewide tests that each examination period. The shipment are given each year in particular subject areas, usually arrives about three days before the such as English, history, mathematics, first test is scheduled. In New York City, science, and various foreign languages. They schools receive daily shipments of are intended to assist colleges in making examination materials. Each day, the schools admission decisions and to provide a measure receive the tests for the following day and the of accountability over school effectiveness answer keys for that day’s tests. Daily and adherence to the State’s prescribed shipments are also sent to some schools curricula. In addition, certain Regents outside New York City. examinations must be taken before high school students are allowed to graduate. All examination materials are shipped in Regents examinations have been given in sealed packages inside of locked Regents New York State since 1878. The boxes. At the schools, the packages are to be examinations are developed by the State stored inside these boxes, and the boxes are to Education Department (SED) and be stored in an approved safe or vault to administered by participating high schools. preclude access by students or other unauthorized persons. School officials are The questions used in Regents examinations required to inventory the packages, which are are developed by SED’s Office for Standards, labeled for content and quantity, as soon after Assessment and Reporting. The individual receipt as practical, but the packages are not examinations, the corresponding answer keys, to be opened until the day of the test, and not and the teacher dictation copies of the before a certain time on that day. SED has examinations are printed by SED’s Print designated 75 strategically located regional Shop. The examination materials are then distribution centers to ensure that extra distributed by contractors to the participating examination materials are available to schools high schools. Generally, each individual in case of emergency. The regional centers examination is to be given on the same day, at are staffed by local school officials. the same time, by each participating high school. If a school does not have an approved safe or vault, it must make arrangements to store its Most of the examinations are given in June, examination materials in a nearby school’s when about 3 million tests are shipped to approved safe or vault. Schools agreeing to more than 2,000 schools. However, some of store examination materials for other schools the examinations are also given in August and are considered “host schools.” Host schools January (more than one million tests were must not open the locked Regents boxes of shipped to schools in January 2007). Local “guest schools.” Rather, officials from the school administrators are responsible for guest schools should open the boxes and maintaining security over the examination inventory the materials. The materials must materials once they have been delivered. The then remain in storage at the host schools local administrators are also responsible for until the day of the examination. grading the tests and posting the results to the students’ permanent records. After an examination is given the examination materials no longer need to be kept secure, unless the examination is classified by SED as Report 2006-S-104 Page 3 of 21 “restricted.” Since questions in restricted we selected schools from all regions in the examinations may be re-used in future State; schools that were administering both a examinations, the individual tests, the teacher relatively large and a relatively small number dictation copies, and the answer keys must be of examinations; a number of host and guest collected and returned to SED. Our audit did schools; a mixture of city, rural and suburban not address the additional security schools; and a mixture of public, private and requirements for restricted examinations. charter schools. Our sample contained a total of 179 public schools, 51 private schools, and The most recent known breach of Regents 5 charter schools. The schools are listed in examination security occurred in June 2005 at Exhibit A. Jericho High School, which is located on Long Island. In this breach, an assistant We found that 36 of the 235 schools (15 principal opened the answer keys to the percent) did not fully comply with SED’s Global History exam before the day of the storage requirements for Regents examination exam and shared the answers with his son, materials, as follows: who was scheduled to take the exam at another school. • 13 schools were storing examination materials in unapproved locations, AUDIT FINDINGS AND some of which were clearly not secure. RECOMMENDATIONS In addition, while all 13 schools were keeping the materials inside Regents Storage of Examination Materials boxes, as required, one of the schools was not keeping the boxes locked. According to SED requirements, once the examination materials have been delivered to • 14 schools were not keeping their a school, they must be stored in an approved examination materials inside Regents safe or vault until the day of the examination. boxes. While all 14 schools were Moreover, the materials must be kept inside storing the materials