Caveon Security Insights

By: Steve Addicott, Caveon Vice President

October is an important month for Caveon. Eight years ago in October, 2003, several assessment industry veterans formed a small consulting company focused solely on improving the security of our clients’ test programs.    That company is Caveon Test Security!

Fast forward to 2011, and it’s gratifying to consider what this entrepreneurial group of test security zealots has accomplished.  Since that fateful October day, we have

• conducted over 50 Security Audits of leading test organizations and vendors,
• flagged and removed tens of thousands of internet-based risks, and
• conducted statistical analyses of over 30,000,000 test instances for many of the largest, most important test programs in the world.

As I consider the number and breadth of these engagements, perhaps it is worth sharing a few of the core values under which we always operate:

Confidentiality

Throughout our years of operation, one fundamental operating principle has always applied:  client confidentiality.  We never reveal the details of our client engagements without the express approval of our clients. Our clients require and appreciate this sensitivity as we investigate security incidents and provide reports on our forensic analyses. This is not secrecy– this privacy stems from respect for our clients and for the right to privacy of individuals and organizations.

Innovation

We constantly strive to improve means and methods for strengthening exam security. We are always interested in sharing the nature of our work.  Not only do we share our methods and science with clients, client stakeholders, TAC members, educational measurement researchers, and other appropriately interested parties; we are committed to furthering the science around test security. We regularly present at conferences and webinars where we openly share our Caveon approach, theories and methodologies. In fact this last year, we have presented at conferences in Phoenix, Orlando, Chicago, Seattle, Washington DC, Hong Kong, and Prague.

Conservative Recommendations

When we conduct an engagement, our approach is to focus on the situations and incidents that are most egregious, as evidenced in the data and the results that we analyze. We highlight those problems that are most readily identified, documented, and ideally, resolved. Dealing with these problems effectively will have the greatest positive impact to the overall validity and security of test results. This reasonable approach helps our clients, most of which suffer from ever-constrained budgets and resources, effectively concentrate their time, resources, and dollars where the likelihood of inappropriate test taking is highest.

Lastly, our growth and success is directly attributable to a few overarching principles—We always strive to exceed our clients’ expectations, comport ourselves honorably, provide valuable services, and share, as openly and honestly as we can, recommendations for improving the fairness and validity of our clients’ test programs. These principles result in proven, practical protection for our clients, and we intend to follow them for another eight years!

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Georgia bit her lip nervously as she peered out the rear-view mirror of her car. She had already been idling 10 minutes longer than allowed and campus security would be returning shortly. Then, she saw them, exiting the library. Ignacio was detained by a man in uniform. Vincenzo broke into a run, sprinted to the car, and hopped in. “Step on it,” he said. Georgia sped away. “What about Ignacio?” she asked. “Don’t worry. I have it right here,” he replied as he slipped a digital camera from beneath his jacket, extracted a memory card and handed it to Georgia. She grinned. Now, she would be able to pass the test and become an intern at Waldo & Cramer Industries. Once inside W & C and with her computer skills, her current employers would soon be very, very happy.

The above fictionalized account is based upon an incident which Caveon was asked to investigate in 2004. Our client wrote,

“We had an incident over the weekend concerning the XYZ exam …. The examiner contacted our office during the 3rd section of the examination. Two examinees were acting suspiciously throughout the exam. They had questions about how long the breaks were and what would happen if they returned late from the break. During the break, the proctor noticed that one of the test booklets was not on the applicant’s desk.

The proctors noticed that the two examinees went to their car and came back late from the break. When addressed about the booklet, they said they did not have the booklet and then dropped it from their jacket and said, ‘there it is’. They were allowed to continue, although the proctor told them their scores would be invalidated. They were addressed by the proctor and campus police after the exam and questioned. One of the examinees was released as he stated he had nothing to do with the incident. The other fled the scene in a car that was waiting for him, as he was being escorted to check his car to see if there were images on his cell phone of the test booklet. The names of the suspects are Inigo and Vinny.” (Actual names have been changed.)

Results of Investigation

Caveon conducted an investigation into this incident and we discovered that the two individuals, Inigo and Vinny, were enrolled at a nearby university but they were not enrolled in courses of study or college majors that would be consistent with taking the admissions test connected with this incident. Furthermore, we determined that one of these students had lost his passport during the summer and the other had his driver’s license stolen. The information was corroborated and led us to infer that both of these students were victims of identity theft. Some other individuals committed test fraud in their names.

We also discovered that the test thieves were given the opportunity to steal the test because the test site administrator had not collected testing materials during breaks or the lunch period, as per test administration policy and procedures. One of these individuals, “Inigo,” had taken and failed the test approximately six weeks earlier. We presume that this individual determined that an opportunity existed to sneak the test booklet out of the testing site at that time.

In our report, we concluded that the imposters (or identity thieves) took the exam with the intent of exposing the exam content for one or more of the following purposes: for themselves, on behalf of another individual(s), for mass distribution, or for financial gain. We also suggested that, with suitable revision to the test administration policies and procedures, the likelihood of a security breach could be reduced.

Forensics analysis

Another phase of the analysis was to statistically analyze the test responses. It is difficult to infer “intent to steal” from data analysis, but the data are revealing. One of the statistics that we use in Caveon Data Forensics^TM is known as the bimodality statistic. With this statistic, we assume that most individuals answer the test questions consistently according to the observed performance (or a single level of ability). However, we allow the possibility for some individuals to answer the test questions according to two levels of ability (or in two different modes, hence the name bimodality). Using these statistics we found that Vinny’s test was somewhat aberrant (at the probability level of one in 2,000) and that Inigo’s test was extremely aberrant (at the probability level of one in 200 million). These data, along with comparative “normal” data at the same ability levels, are shown in Figures 1 and 2.

Figure 1: Comparison of Vinny’s test with a normal test

Figure 2: Comparison of Inigo’s test with a normal test

The data confirm that both of these individuals took the exam at two levels of ability. The probability of the high level is shown using the yellow line. The probability of the selected response using the low and high levels is shown using the blue and pink lines, respectively. We infer that Inigo demonstrated more information and knowledge about the test content than Vinny, but both of them appeared to be answering the test questions for some other purpose than obtaining a score and an actual measure of their knowledge of this content area. It appears likely that these individuals were connected with the content area being tested.

This incident is extremely instructive. It illustrates that not all test takers are as they appear and that an unfair advantage may be gained in many ways. I had always wondered whether there would be a motive to steal an identity for the purpose of taking a test and now I know.

The Association of Test Publishers (ATP) Conference of 2008 ended yesterday. As always, it was a good conference. In 2004 we stated, “You can’t manage what you don’t measure.” Being a sponsor of the conference, we placed a bag of M&M’s (i.e., manage and measure) in each attendee’s conference packet. And, we printed the message on the hotel room key cards.

I have just completed analyses for three testing programs and I am so impressed with what they have done that I want to share their results with you. Good news concerning exam security is refreshing in the midst of so many cheating stories. We recognize dramatic acts of heroism, but often ignore the good that happens with steady, persistent progress. I am so proud of these three programs. They are achieving their common goals: “Reduce cheating, strengthen exam security and emphasize ethical test taking.” The data demonstrate this convincingly. Caveon’s message at ATP this year was, “The answer is in the data.” So let’s look at the data.

Figure 1: Percent of anomalous tests for three programs

Let me describe the data in Figure 1. The percent of anomalous tests for successive analyses are plotted for each program. A trend line has been fit to the data to aid your eye in visualizing the trend pattern. An anomalous test is one that deviates from normal test taking, and will exhibit at least one of the following: aberrance (answering hard questions correctly and missing easy questions), large numbers of erasures, inexplicable score changes from a previous test score, or excessive similarity in the selected answers with at least one other test. An anomalous test does not mean the test taker cheated. For example, when we observe excessively similar tests it is very likely that one person cheated (the copier) and the other person did not (the source). The percent of anomalous tests does not measure the precise number of people who have cheated, but it is highly correlated with that number.

These data are important because they demonstrate that all high-stakes testing programs, irrespective of industry or application, can effectively reduce cheating. They illustrate that reductions in cheating can occur with persistence and dedication. Let me briefly describe each program and some of the positive steps they have taken.

Program 1: This program provides a professional certification with high security. We estimate that there was a 45% reduction in cheating in three years. They have followed up on every case that appeared to be a security violation and every test site that appeared to have lax security. They have emphasized proctor training. They are now reviewing their test taker agreements, proctor training, identification procedures, and physical security with the intent of using the best known security protocols.

Program 2: This program is a public education program. We estimate that there was a 72% reduction in cheating in two years. They have rewritten their test administration manuals and have begun test administration monitoring. They assign a conditional status to extremely anomalous test results and require local review of those test results. They are receiving reports that the students being flagged are admitting to having cheated.

Program 3: This program administers tests in the service industry. We estimate that there was a 78% reduction in cheating in one year. They have stressed ethical test taking. They have revised their test taking agreements and strengthened test administration policies to allow for scores to be invalidated with an appeals process. They have refreshed test forms which appeared to be exposed. They are researching the next phase of security improvements: test site monitoring and appropriate disciplinary measures for test administration personnel who may be helping test takers inappropriately.

These very different programs were the same in one important way: They started where they were, they created a plan, and they were not discouraged. Each was taken back by the first data forensics report (we always find something disconcerting), but they pressed forward and executed their plan. Best practices used by these programs include: test site monitoring, emphasis on ethical test taking, invalidating scores as per policy, refreshing tests which appear to be over exposed, and updating their security procedures.

Let’s give credit where credit is due. The numbers are impressive and the data do not lie. These programs have earned our respect and admiration.