Policies and Guidelines

By participating in a CalTPA pilot/field test, you are agreeing to abide by the CalTPA Pilot/Field Test Rules of Participation and all rules, procedures, and policies communicated to you during this assessment.

For the purpose of these Rules of Participation, the following definitions apply:

• "Evaluation Systems." Evaluation Systems, a business of NCS Pearson, Inc. (referred to throughout as Evaluation Systems).
• "Program." The educator preparation program in which candidate is enrolled.
• "Commission." The California Commission on Teacher Credentialing, the state agency that owns the CalTPA.
• "TPA." Teaching Performance Assessment.

1. PURPOSE OF ASSESSMENT: I understand that this assessment is administered for the purpose of fulfilling a program requirement and/or a California preliminary teaching credentialing requirement and is only to be taken by individuals to fulfill such requirement(s). I certify that I am taking this assessment, as part of the Pilot/Field Test activity, to fulfill a program requirement or for the purpose of teacher credentialing.
2. ORIGINALITY OF SUBMISSION: I understand that by submitting my CalTPA materials, I am confirming that I am the person who has completed the assessment, that I have primary responsibility for teaching the students/class during the learning segment profiled in this assessment, that the video clip(s) submitted show me teaching the students/class profiled, that the student work included in the documentation is that of my students and completed during the learning segment documented in this assessment, that I am the sole author of the narratives and other written responses to prompts and other requests for information in this assessment, and that I have cited all materials in the assessment whose sources are from published text, the Internet, or any other source, including other educators.
3. PERMISSIONS AND CONFIDENTIALITY: I understand that I am responsible for obtaining appropriate permissions from the parents/guardians/families of my students and from adults that appear in the video clip(s) I submit. I understand that I am not allowed to submit video, photographs or student work that I do not have permission to use to fulfill the requirements of the CalTPA pilot/field test. I agree to produce such permissions if requested after I submit my assessment. I have ensured confidentiality of individuals appearing in the video clip(s) I submit by uploading the video only to the designated CalTPA pilot/field test site. I understand that I may use my assessment materials according to the parameters of the release forms obtained for minors and/or adults who appear in the video clip(s). I will not display the videos publicly (e.g., personal websites, YouTube, Facebook). Violation of any of these privacy requirements with respect to the video can have serious consequences that could affect your career as a teacher.
4. ASSESSMENT MATERIALS: I acknowledge that I am not permitted to reproduce or share any of the information or materials from the CalTPA Pilot/Field Test (e.g., instructional cycles) for commercial purposes. If I do reproduce information or materials from the CalTPA Pilot/Field Test for personal use, I will properly attribute the copyright of such materials to the Commission.
5. USE OF ASSESSMENT: I agree that my CalTPA submission, including text, graphics, digital files, and video or audio recordings, without the use of my name or other identifying information, may be used by the Commission, Evaluation Systems, and/or other entities authorized by the Commission for CalTPA development and implementation, including assessor training associated with CalTPA.
6. PILOT/FIELD TEST RESULTS AND CANCELLATION: I understand that my Pilot/Field Test results will not be reported to me. My pilot/field test results will be reported in aggregate to my program, and individually to the Commission. CalTPA results are anonymously used by the Commission and Evaluation Systems with candidate responses to background questions for the purpose of CalTPA analyses and assessment development. I understand that once I submit my assessment, I cannot cancel my participation in the CalTPA Pilot/Field Test, including scoring.
7. CONFORMITY WITH PROCEDURES: I understand that if my submitted evidence, videos, and/or related documentation do not comply with the current rules, requirements, and policies as specified on the CalTPA pilot/field test website, my submission or portions thereof may not be scored.
8. RIGHTS AND OBLIGATIONS: I understand and agree that liability for assessment activities, including but not limited to the adequacy or accuracy of assessment materials, scoring, results reports, information provided to me in connection with the CalTPA and the adequacy of protection of candidate information, will be limited to score confirmation. I understand and agree that liability for data loss or file corruption associated with my submission will be limited to an additional submission. I waive any and all rights to all other claims, specifically including but not limited to claims for negligence arising out of any acts or omissions of the Commission, Evaluation Systems, and/or the program which is requiring completion of the CalTPA (including the agents, employees, contractors, or professional advisors of the Commission, Evaluation Systems, or such entity).
9. PROGRAM CHANGES: I understand that the CalTPA and associated policies and procedures are subject to change at the sole discretion of the Commission and Evaluation Systems.
10. COMPLIANCE: I understand that if I fail to comply with the rules, requirements, and policies specified or referenced on the CalTPA pilot/field test website, including these Rules of Participation, or if I take any prohibited actions, my results may be voided. Legal proceedings and actions may be pursued as well as other remedies deemed appropriate by the Commission, my program, or Evaluation Systems, as appropriate. In addition, I understand that assessment fraud may be grounds for denial, revocation, and/or suspension of a credential or other serious consequences that could affect your career as a teacher.
11. RULES: I understand that should any of these rules or any other requirement or provision contained on the CalTPA pilot/field test website be declared or determined by any court to be illegal or invalid, the remaining rules, requirements, and provisions will not be affected and the illegal or invalid rule, requirement, or provision shall not be deemed a part of CalTPA. The headings of each of the Rules of Participation for CalTPA are for convenient reference only. They are not a part of the rules themselves; they do not necessarily reflect the entire subject matter of each rule; and they are not intended to be used for the purpose of modifying, interpreting, or construing any of these Rules of Participation. I agree that any legal action arising in connection with my participation in the CalTPA pilot/field test shall be brought in the state and federal courts governing Sacramento, California, and I consent to the personal jurisdiction of such courts.

This document describes the policies and procedures related to the confidentiality and security of CalTPA submissions and candidate performance data for each phase of the assessment process:

• Pre-Submission of Assessment Materials for Scoring
• Transfer, Upload, and Storage of Assessment Materials
• Post-Submission and Scoring of Assessment Materials

This information applies to the handling of CalTPA submissions and candidate data by the Evaluation Systems group of Pearson (referred to throughout as Evaluation Systems) and the California Commission on Teacher Credentialing (CTC).

The CTC owns all materials, including candidate submissions and data collected in relation to the Early Childhood CalTPA.

Candidate use of video for the CalTPA is restricted by the parameters of the release forms obtained for all individuals featured in a video. Because parents/guardians/families and/or adults have not typically granted permission for public use of the videos in which they or their minors appear, videos should NOT be displayed publicly (e.g., through personal websites, YouTube™, or Facebook™).

Information about submission status may be provided to the educator preparation program in which the candidate is enrolled. Educator preparation programs and candidates bear responsibility for reviewing teaching performance assessment requirements and ensuring candidates meet appropriate timelines established by their educator preparation programs, the CalTPA pilot/field test, and the CTC.

Pre-Submission of Assessment Materials for Scoring

Prior to preparing an CalTPA Pilot/Field Test submission, candidates and faculty reviewers should review the following guidelines related to the creation, review, and handling of video recordings.

• CalTPA Candidate Guidelines for Confidentiality of Video Recordings (below)
• CalTPA Faculty Guidelines for Confidentiality of Video Recordings

These guidelines address the need to maintain confidentiality of video participants, and direct candidates to obtain appropriate permission from parents/guardians/families for students and also from adults who appear in video recordings. Candidates should use the consent forms used by their schools, districts, or programs. If a school, district, or program does not have a standard form in place, sample consent forms are provided for reference on the CalTPA pilot/field test website. Candidates should consult with their programs for other specific information that may be required to include in the consent forms.

Authorized Access

Prior to submitting materials for scoring, candidates may request that support providers associated with their educator preparation program—including faculty, supervisors, cooperating teachers, mentor teachers, peers, and others who may offer assistance (e.g., tutor)—provide feedback on their CalTPA materials (including video recordings). These support providers are required to abide by the CalTPA Faculty Guidelines for Confidentiality of Candidate Video Recordings and the CalTPA Acceptable Support document which prohibit the sharing, copying, or posting of candidate assessment materials, including video recordings, in any public way.

If a candidate wants to retain a copy of submitted materials and share with support providers based on appropriate permissions, the files should be saved outside the CalTPA pilot/field test site prior to submission. Once CalTPA materials are uploaded and submitted for scoring, they cannot be returned to candidates or educator preparation programs.

Attestations

When candidates are ready to submit their Pilot/Field Test assessment materials to Evaluation Systems for scoring, they are presented with candidate attestations, which include requiring confirmation that they have obtained the necessary permission from all individuals featured in video recordings and that they have not posted and will not post video recordings in any location other than the designated CalTPA pilot/field test site. Candidates must keep their CalTPA video recordings under secure conditions and share with support providers only when appropriate permissions are granted.

Transfer, Upload, and Storage of Assessment Materials

Candidate assessment materials, including video recordings, are uploaded by the candidate directly into the designated CalTPA pilot/field test site. Transmission of assessment materials via these methods is protected using industry standard encryption practices.

Once materials have been uploaded directly into the CalTPA pilot/field test site, they must be reviewed and verified by the candidate before they are submitted.

Storage

Assessment materials are stored by Evaluation Systems in secure repositories and areas accessible only to authorized users via unique, secure login credentials for specific actions and for limited periods of time.

Access

By using industry-standard security software (encrypted protocols and encrypted and expiring tokens), the system ensures that access to view the stored assessment materials, including video files, is granted only to authorized users.

• Authorized Evaluation Systems users may include assessors, assessor supervisors, assessor trainers, assessor support personnel, and personnel required to conduct quality control.
• Authorized CTC personnel associated with assessment development may view candidates' Early Childhood CalTPA materials for the purposes of selecting assessor training materials and monitoring assessor training, calibration, and scoring activities.

Post-Submission and Scoring

Access

Following scoring, access to view assessment materials, including video files, is granted only to the following authorized users:

• Authorized Evaluation Systems users may include assessors, assessor supervisors, assessor trainers, assessor support personnel, and personnel required to conduct quality control, or individuals required to conduct an investigation associated with compliance with the CalTPA Rules of Participation, as needed.
• Authorized CTC personnel associated with assessment development may view candidates' CalTPA materials for the purposes of selecting assessor training materials and monitoring assessor training, calibration, and scoring activities.
• Authorized individuals at the educator preparation program in which a candidate is enrolled and/or the CTC, may be provided access to submission materials (or a portion thereof) as part of an investigation associated with compliance with the CalTPA Rules of Participation, as needed.

Authorized assessors access candidate assessment materials, including video recordings, through Evaluation Systems' password-protected secure scoring system. Candidate assessment materials are available only for the period in which scoring occurs. Assessors' access to the Evaluation Systems scoring system is disabled after the assessor's reviews are completed.

Access to Early Childhood CalTPA Data

Pilot/Field Test assessment results will not be reported to the candidate. Pilot/Field Test results in aggregate will be reported to the educator preparation program in which the candidate is enrolled. All pilot/field test results will be reported to the CTC.

• The CTC will have access to all performance data, by candidate, by educator preparation program, and across all CalTPA pilot/field test submissions.

Other Uses of Candidate Materials

• CalTPA submission materials without candidate or other identifying information may be used for CalTPA development and implementation, including assessor training and calibration.

Retention and Destruction

The standard retention for CalTPA pilot/field test submissions, including videos, is 15 years, after which submission materials will be destroyed. There may be exceptions to the standard retention period for extenuating circumstances, such as use for training purposes.

After the retention period, CalTPA pilot/field test submissions, including videos, are disposed of through a set of automated processes that identify and physically delete the artifacts from their repository locations. These processes are executed on a regular, periodic basis and render the artifacts inaccessible and irretrievable.

CalTPA pilot/field test performance results and associated identifying information will be retained indefinitely.

Coming soon

Before you record and submit your video recordings, you must:

1. Review the Permissions and Confidentiality section of the CalTPA Pilot/Field Test Rules of Participation.
2. Verify permissions for all individuals who appear in a video recording.
   1. Check with your school or district to verify that appropriate permissions are on file from the parents/guardians/families of students and from adults who appear in any video recording, including video captured in an online setting.

   OR

   2. If the appropriate permissions are not on file with your school or district, you may use the sample consent forms provided for your reference on the California Educator Credentialing Assessments website. Check with your preparation program for other specific information (e.g., district requirements) that may be required to include in the consent forms you use for completion of the CalTPA pilot/field test. Retain the permissions in your own files according to the protocol of the school or district where you recorded the video and for as long as you plan to use the video for educative purposes.

To protect confidentiality, please remove your name and use pseudonyms or general references (e.g., "the district") for your program, school, district, and cooperating teacher. Mask or remove all names on any typed or written material (e.g., narratives, lesson plans, student work samples) that could identify individuals or groups. During video recording, use students' first names only.

In order to protect the privacy of all individuals who appear in a video recording, you should:

• Securely store your video recording
• Upload your video recording only to the California Educator Credentialing Assessments website for scoring
• Prior to submission, securely provide your video recording to support providers associated with your preparation program—including faculty, supervisors, cooperating teachers, mentor teachers, peers, and others who may offer assistance (e.g., tutors)—for the purpose of collecting formative feedback in accordance with the CalTPA Guidelines for Acceptable Support

You may not:

• Store/upload your video to a shared system other than the California Educator Credentialing Assessments website or another secure system designated by your educator preparation program
• Display the video publicly (e.g., through personal websites, YouTube™, or Facebook™)
• Use the video recording for any purpose that is not within the parameters of the signed consent forms for all individuals featured in the video

This document outlines policies and guidelines for supporting candidates during their completion of the CalTPA. These guidelines apply to all support providers including faculty, supervisors, cooperating teachers, mentor teachers, peers, and others who may provide assistance (e.g., a tutor). Consistent with research on student learning, programs are encouraged to help candidates examine expectations for performance evaluated by the CalTPA in meaningful ways, and discuss how they will demonstrate their performance in relation to those expectations. Since the CalTPA is to be embedded within an educator preparation program, it is expected that candidates will engage in professional conversations with support providers about teaching and learning associated with the outcomes assessed by the CalTPA. Support providers are encouraged to review the language, structure, and progression of a candidate's submission against the CalTPA rubrics, and to provide formative feedback and guidance to the candidate as part of the preparation program experience. Below are examples of acceptable forms of support that may be provided to candidates completing the CalTPA.

These activities constitute required forms of support for candidates within the CalTPA process:

• providing candidates with access to CalTPA Performance Assessment Guides and other explanatory materials about the CalTPA and expectations for candidate performance on the assessment
• explaining CalTPA cycles and rubrics, and guiding discussions about them
• engaging candidates in formative experiences aligned with the CalTPA (e.g., assignments on the plan, teach, reflect, apply sequence; assessing student work)

These activities constitute acceptable, but not required forms of support for candidates within the CalTPA process:

• providing and discussing support documents such as CalTPA Acceptable Support
• examining lessons or examples of effective teaching using CalTPA rubrics or support documents
• referring candidates to a writing workshop or center for assistance in improving writing for course assignments, as long as the assistance is not in the form of direct editing of submission materials
• recommending and/or providing specific assistance to address areas in which the candidate has demonstrated a weakness (e.g., reflective writing, using knowledge of students to plan instruction, differentiating instruction)
• explaining scoring rubrics by using them in formative exercises or assignments
• linking content and experiences from the preparation program to the Teaching Performance Expectations as measured by the CalTPA cycles and rubrics
• providing a schedule/timeline for completion of CalTPA cycles
• co-planning an instructional segment with a peer or cooperating teacher, while ensuring that the evidence submitted for the CalTPA represents the original work of the candidate(s)
• answering common questions about the CalTPA in a group setting
• providing access to translations of instructional materials in languages other than English
• paraphrasing or answering questions about the content of an instructional cycle, rubric, direction, and other pilot/field test support materials
• probing candidates to self-assess their draft responses or video recordings without providing direct edits to responses, or providing specific answers to CalTPA prompts
• providing references to relevant articles or sections of a text to address questions about effective instructional strategies
• assisting candidates in understanding how to use the electronic platform for accessing materials and uploading submissions
• arranging technical assistance for video-recorded portions of the CalTPA

Although there may be many opportunities for support providers to encourage a candidate's deeper understanding and demonstration of pedagogy, other supports are not acceptable within the CalTPA process. These will undermine the use of the assessment as a determinant of a candidate's status with respect to the California Teaching Performance Expectations and also, as an indicator of preparation program quality and effectiveness. Below are examples of unacceptable forms of support that should not be provided to candidates completing the CalTPA.

These activities constitute unacceptable forms of support for candidates within the CalTPA process:

• providing a candidate with the content or answer in response to an CalTPA prompt
• editing a candidate's response prior to submission
• offering critique of a candidate's draft responses prior to submission for official scoring that provides specific, alternative responses
• telling candidates which video clips or work samples to select for submission
• uploading candidate responses (written or video-recorded) on public access social media websites, or uploading them to the scoring platform for the candidate

Before preparing your CalTPA submission, review the Submission Requirements to ensure that

• your responses meet the technical specifications for required evidence, and
• you have provided all the evidence necessary for your submission to be scored.

A scorable submission is one that can be reviewed by an assessor and have scores assigned according to every rubric.

In order for your submission to be scored, it must meet these Submission Requirements.

• Video. Any required video must conform to the technical specifications (e.g., format, file type) stipulated on the CalTPA pilot/field test website, and be viewable by assessors. After uploading a video file, review each of your videos prior to submitting your assessment. You are responsible for ensuring that your submitted video files meet the technical specifications and can be viewed by assessors by confirming successful playback prior to submission. In addition, submitted video clip segment(s) must be continuous and unedited, with no interruption in events (e.g., you may not edit a video clip segment to remove "quiet time" when students are working independently, edit out physical transitions, or edit out disruptive student behavior). Candidates and students must be visible in the video recordings according to the requirements in the assessment guides.
• Audio. The audio for video files must be intelligible to assessors. Review each of your videos prior to submission for potential background noise or poor audio quality that would interfere with an assessor's ability to hear you and your students. Please note that some environments (e.g., auditorium, gymnasium, pool) are less conducive to audio recording, and make any appropriate adjustments when recording your video to ensure audio quality. In addition, the audio for any submitted video clip(s) must be continuous and unedited, with no interruptions (e.g., you may not add music).
• Sufficient Evidence. Your materials must provide sufficient evidence so that assessors can evaluate your performance according to the CalTPA rubrics. An assessor may be unable to assign a score according to one or more rubrics due to the following reasons:
  • A response is unrelated to the instructional cycle.
  • Insufficient information is submitted to be able to evaluate performance.
  • The incorrect file was uploaded to the designated location.
  • The file was blank, containing no text or graphics, or the video clip or audio file contained no content.
  • The file could not be opened for technical reasons (e.g., file extension does not match file type).
  • Documents are illegible (e.g., handwriting illegible; if student work sample is illegible a transcript should be provided, images are blurry, reduced in size, or otherwise cannot be read).
  • Referenced material is not submitted (e.g., Instruction and Assessment Sequence Template is referenced or described in the response, but not submitted).
  • Hyperlinks to external documents are provided in lieu of the actual documents.
• English Translation.
  • Translations or transcriptions are NOT required for the following:
    • candidates using American Sign Language (ASL) with students who are deaf or hard of hearing
    • candidates using Braille instructional materials with students who are visually impaired
  • For all other candidates, any evidence in a language other than English must be accompanied by a translation.

In addition to these specific Submission Requirements, you must also review and comply with all policies and guidelines and all other requirements contained on the CalTPA pilot/field test website and in the assessment materials.

If you are unable to resolve a technical issue observed when you review your uploaded materials, contact Customer Support for assistance prior to submission.

In order to submit your assessment for the California Teaching Performance Assessment (CalTPA) Pilot/Field Test, you must confirm the following.

As the candidate, I confirm that:

• I have reviewed and agree to the CalTPA Pilot/Field Test Rules of Participation.
• I am the person who has completed and will be submitting the assessment.
• I am sole author of the submission, including written evidence, videos, narratives, and other requests for information in this assessment.
• I have primary responsibility for teaching the students/class during the learning segment profiled in this assessment.
• The video clip(s) submitted show me teaching the students/class profiled in the assessment submitted.
• The student work included in the documentation is that of my students, completed during the learning segment documented in this assessment.
• I have appropriately cited all materials in the assessment whose sources are from published text, the Internet, or any other source, including other educators.
• I have obtained permission from the parents/guardians/families of my students and from adults that appear in the video.
• I have ensured confidentiality by uploading videos only to the designated CalTPA pilot/field test site. I have received the necessary permissions for any students or other individuals appearing in the videos, and can produce such permissions, if requested. I have not shared or posted and I will not share or post the videos to any other location, non-secured locations, and/or publicly accessible locations (e.g., YouTube, Facebook).
• I understand and agree that my CalTPA pilot/field test results will be reported by the Evaluation Systems group of Pearson (Evaluation Systems) to my program and to the California Commission on Teacher Credentialing (the Commission).
• I agree that my assessment, including my responses, without the identification of my name, may be used by the Commission and Evaluation Systems for program research, development, and implementation, and for assessor training associated with the CalTPA.
• I acknowledge that I am not permitted to reproduce any of the CalTPA pilot/field test assessment materials.

I acknowledge that I have read and agree to the attestations above, under penalty of perjury. I understand that by submitting my assessment cycle to Evaluation Systems, my submission is final, and I will no longer have access to my files through the ePortfolio system for any edits or reviews.