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Online Assessments at Universidad Carlos III de Madrid: Types, Data Protection, and Ethics, Study notes of Law

The principles and guidelines for conducting online assessments at Universidad Carlos III de Madrid during the 2019/20 academic year. It covers various types of assessments, such as oral exams via videoconference, submission of assignments, and quizzes. The document also emphasizes the importance of ethical behavior and data protection, including the use of applications like Respondus LockDown Browser and Google Meet.

Typology: Study notes

2021/2022

Uploaded on 09/12/2022

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Evaluation Guide for Online
Learning in Times of Emergency
Universidad Carlos III de Madrid, May 15 2020 (Version 1.0)
1. Presentation 2
2. Legal basis 3
3. Instructions for the exam 5
4. Main types of assessments 7
4.1 Oral exam via videoconference 7
4.2 Presentation of an assignment to the class and/or teachers via
videoconference 7
4.3 Submission of an assignment via Aula Global 7
4.4 Asynchronous assessment quiz with open-ended and closed-ended
questions via Aula Global 7
4.5 Synchronous assessment quiz with open-ended and closed-ended
questions via Aula Global 8
4.6 Synchronous assessment quiz with paper and pen 8
5. Other aspects to be considered 10
5.1 Importance of ethical behaviour 10
5.2 Plan B 10
5.3 Students with disabilities and specific educational support needs 10
Annex I: Respondus LockDown Browser 11
Annex II: Information on the processing of personal data by the University 12
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Evaluation Guide for Online

Learning in Times of Emergency

Universidad Carlos III de Madrid, May 15 2020 (Version 1.0)

  1. Presentation 2
  2. Legal basis 3
  3. Instructions for the exam 5
  4. Main types of assessments 7 4.1 Oral exam via videoconference 7 4.2 Presentation of an assignment to the class and/or teachers via videoconference 7 4.3 Submission of an assignment via Aula Global 7 4.4 Asynchronous assessment quiz with open-ended and closed-ended questions via Aula Global 7 4.5 Synchronous assessment quiz with open-ended and closed-ended questions via Aula Global 8 4.6 Synchronous assessment quiz with paper and pen 8
  5. Other aspects to be considered 10 5.1 Importance of ethical behaviour 10 5.2 Plan B 10 5.3 Students with disabilities and specific educational support needs 10 Annex I: Respondus LockDown Browser 11 Annex II: Information on the processing of personal data by the University 12

1. Presentation

This document presents the general principles that guide the performance of online exams (final exams or continuous assessment exams), in accordance with section 4 of the Instruction of the Vice-Rector of Studies of the Universidad Carlos III de Madrid, from 15 April 2020, which establishes the framework for the adaptation of teaching activities for the completion of the 2019/20 academic year. In accordance with the provisions of letters f) and g) of Article 2.2 of the Organic Law on Universities and Royal Decree 1002/2010, which develops the Organic Law, the Universities, in the exercise of their autonomy, are responsible for verifying the knowledge of students and issuing official academic titles at the Bachelor, Master and Doctorate levels, valid throughout the national territory. The issuing of academic titles requires the student to obtain a number of credits, as indicated in the corresponding study program. For this reason, in each activity that assesses students’ knowledge and involves obtaining credits, it is necessary to ensure the identity of the student and guarantee the integrity of the assessment activity, which must be carried out with the greatest academic rigor and under the best possible guarantees within the current legal system. However, due to the current context, it is impossible to replicate the conditions for ensuring the identity of the student and the integrity of face-to-face assessment activities, as students must take them at a distance from their homes. It is necessary to seek a balance between assuring the identity of the student and the integrity of the assessment activities and respecting the privacy of the student who is at home, all within the framework of current legislation. In any case, it is very important to emphasize the need for ethical behaviour by students in all assessment activities. If fraudulent behavior is detected, the corresponding disciplinary procedures will be initiated, which may lead to the applications of the sanctions foreseen in the regulations in force. The summary of the general conditions for carrying out the online exams is as follows: ● Oral exams must be recorded, as an evidence of the exam undertaken must be kept. ● The written synchronous quizzes will be accompanied by video surveillance, although they will not be recorded. The teacher will inform the students about the method of video surveillance. ● In no case shall there be biometric control of students. ● The teacher may ask students to use an application blocking browser in the exams that must be done using a computer. This guide was prepared taken into account the documentation that has been published by various entities: Ministry of Universities, REACU, Fundación para el Conocimiento Madri+d, AEPD, CRUE, various Autonomous Communities and universities.

such as systems for blocking the student’s work environment during assessment activities ( LockDown Browser ), do not involve any processing of personal data, but are a manifestation of the power of organization and good order in the classroom that is recognized to the teacher to ensure the conditions for conducting an assessment activity. Finally, the activation of the student’s camera during the realization of an assessment activity has also been endorsed by the CRUE in the "Report on the regulatory impact of online assessment procedures: data protection and guarantee of students’ rights," according to which it is stated that the measure consisting of having a view of the student, without using biometric facial recognition techniques, is balanced, as it derives more benefits or advantages for the general interest than harm to other goods or values in conflict, and that there is no other more moderate measure for achieving such a purpose with equal effectiveness.

3. Instructions for the exam

Here are some of the important general aspects to consider:

  • The exam should be done from a desktop or laptop computer.
  • If the teacher requests it, you must activate the webcam (keep the microphone off unless the teacher indicates otherwise). In that case, the student must be in front of the camera at all times during the exam period. If no webcam is available, a mobile device must be used as a camera. To do this, the student must install the Google Meet application on his/her mobile device, for which the University guarantees the protection of personal data. The use of headphones is not allowed unless otherwise indicated by the teacher.
  • If a mobile device is to be used, it is advisable to check that it has sufficient battery power or that it is connected to the power supply. The purpose of using the camera is to ensure the identity of the student, so that it will be sufficient for the camera to be framed to the face; since the aim is to minimize the intrusion into privacy, the student is free to remove any private element that may appear in the image. Although there are applications that allow the background of the image to be blurred, i.e. the room where the exam is being held, in case the computer and operating system used allow it, the use of these applications can have an impact on the performance of the computer used by the student and may pose a risk to the correct realization of the exam.
  • The student must be alone during the exam period.
  • The room where the student takes the exam should be well lit.
  • Additional materials on paper or other devices are not allowed during the exam period, unless the teacher indicates otherwise.
  • Communication with persons other than the teacher is not allowed during the exam period.
  • The student can not leave the seat during the exam period.
  • Any attempt to cheat, either by the use of any type of information in any medium or communication in any form, may be sanctioned under the current legal regulations.
  • The teacher may call the student after the exam to answer any question if s/he has observed inappropriate behavior or has suspicions of cheating.
  • The teacher may ask the student to show an official identification document (national ID - DNI, NIE - or passport) at any time, so this document must be at hand. When showing the official identification document, it is sufficient to show the photograph and full name; the rest of the data on the document can be hidden.
  • Before the exam the student should familiarize with the programs and applications that will be used according to the type of exam.
  • It is advisable to find a quiet place and tell the other people in the house that you are "doing a exam" so as not to be disturbed during the exam.
  • It is important to test your internet connection well and ask other people with whom you share WiFi not to use it intensively so as not to reduce its quality.
  • In the event of an incident (internet failure, power failure), teachers should be notified preferably by email and as soon as possible, including the evidence that has given rise to the incident (e.g. screenshots).

4. Main types of assessments

4.1 Oral exam via videoconference

The teacher may arrange oral exams via video conference with Google Meet and will communicate the access link to the students. The oral exam will be recorded to keep evidence of the student’s assessment. The recording will be left only in the hands of the teacher, as indicated in the joint instruction of the General Secretary and the Vice-rector of Studies for the custody and management of the recordings of the recordings of the oral exams published on 24 March 2020.

4.2 Presentation of an assignment to the class and/or

teachers via videoconference

The teacher may arrange videoconference sessions using Blackboard Collaborate or Google Meet for students to present the work done in an assignment, either individually or in groups, and will communicate the access link to the students. The presentation of the work done could be recorded to keep evidence of the student’s assessment. In the case of presentations open to other students in the same class, it would be possible to share the recording with the entire class, if the teacher decides to do so. In the case of class presentations it would be possible to leave the recording available for the students if the teacher so decides.

4.3 Submission of an assignment via Aula Global

The teacher may ask students to submit the result of an assignment through Aula Global and may use Turnitin to check the originality of students’ work.

4.4 Asynchronous assessment quiz with open-ended and

closed-ended questions via Aula Global

Another possible form of assessment is the realization of quizzes in Aula Global. Quizzes may be available for a long period of time, for example for a whole day, so that the quiz can be taken at any time in an asynchronous way. The student, once the quiz is started, may have a limited time to complete the quiz as determined by the teacher in the configuration of the quiz. The teacher may combine the asynchronous quizzes with the use of the "Respondus LockDown Browser", which blocks the use of additional web pages or applications (except those indicated by the teacher) by the student during the completion of the quiz. This will require each student to install this the Respondus LockDown Browser on his/her computer following the instructions available in Annex I.

4.5 Synchronous assessment quiz with open-ended and

closed-ended questions via Aula Global

The teacher can set a start time and an end time for the synchronous assessment exam, which can be done through a quiz in Aula Global (Moodle). The teacher may combine the synchronous quizzes with the use of the "Respondus LockDown Browser", which blocks the use of additional web pages or applications (except those indicated by the teacher) by the student during the completion of the quiz. This will require each student to install this the Respondus LockDown Browser on his/her computer following the instructions available in Annex I. The teacher will be present during the exam using Google Meet to answer questions and oversee the proper execution of the exam, as in any face-to-face exams. Therefore, students must activate their camera during the exam.

4.6 Synchronous assessment quiz with paper and pen

In the cases where it is difficult to type the answers only with a computer keyboard, the teacher may set a rather traditional written exam. The result of such exam should be scanned and uploaded in an “Assignment” in Aula Global (Moodle). Free a Cuando sea difícil la entrada de datos solo por el teclado del ordenador, el docente puede plantear un examen escrito convencional. El resultado de dichas prueba deberá escanearse y ser subido como resultado de una “Tarea” en Aula Global (Moodle). Free scanning applications, such as FotoScan (Android, iOS), HP Smart (Android, iOS) or OfficeLens (Android, iOS), can be used for scanning purposes. On the first page, the student should write the text displayed below. S/he must fill in the fields indicated and sign. When scanning the exam, the student must add the national ID card, or passport. With the signature the student declares that s/he has not used any dishonest practice and that s/he assumes the administrative and disciplinary responsibility that may result otherwise. The PDF file is provided in case a printer is available.

5. Other aspects to be considered

5.1 Importance of ethical behaviour

It is important to ensure ethical behavior in the assessment activities, in accordance with the Instruction of the Vice-Rectors of Studies and of Students, Social Responsibility and Equality on the Legal Regime and Disciplinary Procedure applicable to UC3M students in academic evaluation processes and the sanctions that can be imposed in the event that students commit any of the established infractions. More information about regulations and declarations of an ethical nature are available in the following link.

5.2 Plan B

Teachers must offer an alternative for those students who have not been able to take the exam in the established time and form due to technical problems beyond their control. Plan B could, for example, consist of an individual oral exam with each of the students who have had technical problems. The teacher shall inform the students who have technical problems of the envisaged plan B.

5.3 Students with disabilities and specific educational

support needs

Teachers shall ensure that all students are assessed on an equal basis, including those who are part of the Program of Assistance for Students with Disabilities and Special Educational Needs (https://www.uc3m.es/ss/Satellite/ApoyoEstudiante/es/TextoMixta/1371215920222/Dis capacidad_y_NEE). This may require certain adaptations to be made to assessment activities.

Annex I: Respondus LockDown Browser

The Respondus LockDown Browser is a specific web browser that allows increasing the integrity of quizzes done through Aula Global (Moodle) by controlling/blocking the computer applications that the student can use simultaneously. A special web browser must be downloaded to take the quizzes that are designed making use of the LockDown Browser. The Lockdown Browser will control that no information and software that is not permitted is accessed or used during the exam. The link to download the LockDown browser is: https://download.respondus.com/lockdown/download.php?id= See additional installation help, if needed, in the following guides: ● Guide for the installation of the LockDown Browser (Windows) ● Guide for the installation of the LockDown Browser (Mac OS)

The University is exempt from liability in the event of failure to follow the above indications and recommendations, without prejudice to disciplinary and academic responsibilities and any other order in which the student may incur if s/he fails to comply with them.