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Roles & Responsibilities

Proctored exams are most easily defined as tests where students are monitored while taking an exam. Traditionally, proctored exams are done under direct supervision of the instructor or in a testing center. In an online course, those options are not always feasible or practical. For online students, there are two forms of proctored exams: face-to-face proctoring and online proctoring.

Depending on your role in the proctoring process, your responsibilities and guidelines will change. Please select one of the roles below to review the related procedures and requirements.

As an online student, there are two proctoring options your instructor may utilize instead of requiring you to physically come to UofL’s campus.


Face-to-Face Proctoring

Face-to-face proctoring allows you to take exams in a quiet setting at a location convenient to you. As a quick overview, you will select a proctor based on a set of guidelines, have them approved by your instructor, and then your instructor will work with the proctor directly in order to distribute and receive the exam. The approved proctor will then be present while the exam is completed to ensure compliance and honesty.

IMPORTANT NOTES:

  • Your proctor must be approved by your instructor before any exams can be taken
  • You are responsible for paying any expenses incurred in retaining a proctor
  • The proctor services may be terminated at any time by any or all three active parties (student, proctor, UofL) with written notice to all parties involved

Student Responsibilities


  • Before the Exam
    1. Identify a proctor based on information provided by your instructor:
      • Start the process of securing a proctor at least three weeks before the scheduled exam
      • See Securing a Suitable Proctor below
    2. Submit any required supporting documentation when you submit your proctor for approval;
    3. Provide the following instructions and information to your approved proctor:
    4. Pay necessary fees, including the mail tracking fee, if required;
    5. Schedule the exam with the proctor or testing center, if necessary, during the approved exam time frame. Students who wish to come to UofL’s campus should contact the testing center to arrange an exam time
  • During the Exam
    1. Present a valid, government-issued photo ID
    2. Bring pencils or other writing utensils, unless prohibited by the instructor
    3. Bring other aids (e.g. calculator, scratch paper), if permitted by the instructor
    4. If you are unable to take your exam during the scheduled exam dates, please notify your proctor (contact your instructor to get permission to reschedule the exam, if it is to be outside the scheduled exam dates; your instructor can determine whether the exam can be taken outside the scheduled dates and provide access to the exam accordingly)
    5. If you did not take your exam on the scheduled date, your proctor is required to contact your instructor

Securing a Suitable Proctor

IMPORTANT: Be sure to alert your proctor of their responsibilities (see the “Proctor” tab on this page for more information). You can forward them a PDF version as well found here.

If you are unable to take your examination(s) at the University of Louisville’s Testing Center, you must arrange to have your examination(s) supervised by an appropriate proctor, or request online proctoring from your instructor, if the exam is online. The Proctor Eligibility and Responsibilities Agreement form [PDF] must be completed and returned to the instructor.

Students can get help finding a proctor from the free service offered by the National College Testing Association’s (NCTA): https://ncta.memberclicks.net/proctoring-network.


  • Types of Suitable Proctors

    NOTE:  RELATIVES, COWORKERS AND DIRECT SUPERVISORS ARE NOT PERMITTED TO PROCTOR EXAMINATIONS


    UofL Faculty or Educational Administrator

    • A full-time member of the teaching faculty or an educational administrator of UofL
    • Faculty members or administrators may also designate other individuals in education as a proctor—such designation must be submitted in writing to the instructor

    High School Superintendent, Supervising Principal, Principal, or Intermediate Unit Administrator

    • For Kentucky residents, a high school superintendent, supervising principal, principal, or an intermediate unit administrator whose name appears in the Kentucky Department of Education
    • Please note that only superintendents, principals, and intermediate unit administrators are listed in the directory (found here: https://education.ky.gov/comm/contacts/Pages/default.aspx)

    Institutionally-Accredited Faculty or Educational Administrator

    • A member of the teaching faculty or an educational administrator of any institutionally-accredited institution of higher education
    • The student must submit a page from the institution’s directory or catalog listing, not only the proctor’s name and title, but also the institution’s name
    • A photocopy of the catalog or directory page is adequate. The photocopy must show the institution as well as the name and title of the proctor;
    • It is acceptable to submit a letter on official letterhead verifying the position of the designated faculty member or educational administrator. Such documentation must accompany the Proctor Eligibility and Responsibilities Agreement form;
    • To find a qualified institution near you, visit the National College Testing Association’s (NCTA) website: https://ncta.memberclicks.net/cctc-listings-narrow-search#/

    Elementary or High School Teacher, or School Librarian

    • You must submit a letter on official letterhead from the individual’s principal or superintendent verifying their position
    • NOTE: A photocopy of a teacher’s certification is not sufficient. Currently employed teachers may not request a fellow teacher to proctor their examinations. Superintendents or principals from the same school district are acceptable.

    Librarian

    • A librarian who holds a library science degree may act as a proctor
    • Submit a letter written by this individual’s supervisor on official letterhead from the library system in which they are employed
    • The letter must include verification of the proctor’s employment, highest degree earned, and job title

    Military Superior

    • For personnel of the Armed Forces, any Commissioned Officer, Senior Noncommissioned Officer or Noncommissioned Officer of higher rank than the student may act as a proctor
    • The exam request must be accompanied by a letter on official letterhead from the student’s commander (or an authorized representative) verifying the proctor’s position


Online Proctoring

Online proctoring uses the Respondus Monitor and SmarterProctoring services to monitor cheating and transparency in lieu of a face-to-face proctor.

If you use SmarterProctoring and have questions, please contact the Blackboard team: https://louisville.edu/delphi/blackboard/help

What is Respondus Monitor Online Proctoring?

Respondus Monitor test proctoring is a free service allowing you to take an online test anywhere, as long as you have a computer, webcam, Lockdown Browser and internet connection. This option will only be available if your instructor has chosen to activate this feature in Blackboard. If this has not been activated, you can request your instructor to activate it.


  • System Requirements

    *Windows: 10, 8, 7. Windows 10S is not a compatible operating system

    *Mac: OS X 10.10 to 10.14*

    *iOS 11.0+ (iPad only), with compatible LMS integration. The LockDown Browser iPad app is not compatible with Sakai LMS servers. All Sakai users will need to use a computer with a compatible operating system

    *Web camera (internal or external) and microphone

    *Broadband internet connection


    NOTE:  Respondus Lockdown and Monitor is not supported on iPhones, Android, any smartphone or Chromebooks.


    *Respondus LockDown Browser and Monitor may continue to run in older operating systems that have reached “end-of-life” but students may encounter unexpected results. Students running OS X 10.13 (High Sierra) should use LockDown Browser version 2.0.3.03 or newer for best performance.



You must download Lockdown Browser to use Respondus Monitor for proctoring. Access the install file here.

Once you start the proctored test recording, you and your computer desktop will be recorded. This recording will be automatically uploaded through your course site to the Lockdown Browser Dashboard for your instructor to view once you have completed your exam. No other student will have access to your exam recording.

What are my responsibilities as a student?


  • Before the Exam
    1. Review the Respondus Monitor Student Overview Video
    2. Ensure you have a working webcam
    3. Ensure you have a working microphone in order to record the sound in your testing space
  • During the Exam
    1. Present a valid, government issued photo ID
    2. Record a 360° screen capture of the room in which you are taking the exam
    3. Bring pencils or other writing utensils unless prohibited by the instructor
    4. Bring other aids (e.g. calculator, scratch paper), if permitted by the instructor
    5. If you are unable to take your exam during the scheduled exam dates, you must notify your instructor and get permission to reschedule the exam; your instructor can determine whether the exam can be taken outside of the scheduled dates and provide access to the exam accordingly

Proctoring & Verification of Student Identity

As a faculty member considering using proctoring in your course, there are federal and SACS requirements of which you should be aware. Please see below for more information on the notifications that must be given to students relating to proctoring fees, the required training for faculty on AI-Based test proctoring and unconscious bias, and instructions on how to use the software.

  • Overview
  • Required Faculty Training on AI-Based Test Proctoring, Algorithmic Bias, and Unconscious Bias
  • Policy Information and Resources
  • Online Proctoring Software Instructions
  • Face-to-Face Proctoring

Faculty have two proctoring options for students that don’t require them to physically come to UofL’s campus.


Face-to-Face Proctoring

Face-to-face proctoring requires the student to obtain a proctor on their own. The student will take their exam in the presence of the proctor and the proctor will submit the exam back to the instructor. Review the Face-to-Face Proctoring information below for more details and forms.


Online Proctoring

Online proctoring utilizes Respondus Lockdown Browser and SmarterProctoring to monitor your students taking an exam online. The student will take their exam online with the online proctoring service recording the process. Note: this option is only available for exams administered online and may not be used with paper exams. Review the Online Proctoring information below for more details, guides, and forms.

If you use SmarterProctoring and have questions, please contact the Blackboard team: https://louisville.edu/delphi/blackboard/help


  • Overview

    Verification of Student Identity

    Per federal law, institutions offering online or remote education (hereinafter referred to as distance education) must have processes to establish that the student who registers in such courses is the same student who participates in and receives academic credit.

    The University meets the federal requirement by authenticating student identities through an individual secure login and password (i.e. User ID and password). The University may also authenticate student identities through a combination of the following methods:


    • Proctored examinations (i.e. Respondus Monitoring - http://louisville.edu/delphi/blackboard/help/instructor-help/respondus-lockdown-browser);
    • Pedagogical and related practices that are effective in verifying student identity (faculty review, questioning students, etc.); or
    • Other technologies and practices approved by the Delphi Center for Teaching and Learning that have been shown to be effective in verifying student identification.

    Institutions failing to comply with verification of student identity requirements could potentially be required to return financial aid disbursed for courses found in violation and may be responsible for covering all costs for verification of student identity (ex. proctored exams) for a course that does not notify students of such charges prior to enrollment


    Associated Fees

    The University is required, through federal regulations and SACS, to notify students of any additional student charges associated with the verification of student identity at the time of registration or enrollment. Federal regulations also require the University to make readily available to enrolled and prospective students the cost of attending the institution (34 CFR § 668.43).

    The University notifies all students of projected additional costs in the Schedule of Classes as follows:

    Additional Costs for Your Course – You may incur additional charges for your course, such as fees for textbooks, other materials, proctored exams, and technology. Please check with your course instructor for a list of possible additional items or services you will need. You may also click on the title of class for the section you have selected. This will take you to the Course Catalog page where you can click on the "View Required Books" button.

    The University recommends that course instructors notify students of any projected additional student charges associated with verification of student identity (such as proctoring fees or the purchase of a webcam) in the course syllabus or the course shell in Blackboard.

    Instructors who do so may include the following statement in the course syllabus or course shell in Blackboard:

    “[Indicate the number exams/projects that will be proctored.] Students may incur a fee depending on the proctor selected or whether they already own the required equipment.”

  • Required Faculty Training on AI-Based Test Proctoring, Algorithmic Bias, and Unconscious Bias

    At the request of the Provost and the Provost’s Proctoring Committee, the Delphi Center and the Office of Diversity and Equity have partnered to develop an online asynchronous training on unconscious bias and the use of AI-based test proctoring software at UofL. The approximately forty-five-minute training explains what biases are, how the AI software works, why human review is important when examining flags, and tips for reducing bias. The AI-Based Test Proctoring, Algorithmic Bias, and Unconscious Bias training aims to make faculty aware of the inequity risks resulting from the use of automated exam proctoring software. The provost and deans have agreed that this training will be REQUIRED of all faculty who choose to utilize Respondus Monitor and/or SmarterProctoring.

    Faculty can follow the directions below to access this training:

    1. Log into Blackboard at https://blackboard.louisville.edu using your UofL username and password.
    2. Select Organizations from the menu along the left-hand side of the screen.
    3. In the Search menu at the top of the screen, enter “University Wide Faculty Development Resources”.
    4. This search should bring the Training_Resources_Orgn organization to the top of the list. Click the link to enter the organization.
    5. Click the Bias Training link in the left-hand navigational panel for the organization.
    6. Click the AI-Based Test Proctoring, Algorithmic Bias, and Unconscious Bias link to begin the presentation.

    At the end of the training, faculty will be asked to enter their user name and email address into the system so that completion of the training can be recorded. An email confirming completion will be sent to the provided email address.

  • Policy Information and Resources

    Resources for Assistance and Training

    • Need Help with Online Course Development?
      Meet with one of the Delphi Center's instructional designers or teaching consultants to learn how to enhance your current class or to design a new online course. Learn more.
    • Programs and Events
      The Delphi Center for Teaching and Learning is a faculty development center dedicated to teaching excellence. Faculty members, both full and part-time, are encouraged to participate in the Delphi Center's many programs. These programs assist in the professional development of the faculty at UofL by providing valuable and leading-edge information to faculty on a variety of issues, from technology, to best practices in teaching and learning, to research and assessment.
  • Online Proctoring Software Instructions

    If you use SmarterProctoring and have questions, please contact the Blackboard team: https://louisville.edu/delphi/blackboard/help

    What is Respondus Monitor Online Proctoring?

    With Respondus Monitor test proctoring, students can take exams and quizzes right from their computers as long as an internet connection, Respondus Lockdown Browser and a webcam are available. Using Lockdown Browser and Monitor allows the student to be recorded while taking the exam. Additionally, Respondus Monitor includes a number of different secure test-taking features, such as a visual identification method and the disabling features such as Printing and using external websites on the computer while the test is in progress.

    You must use Respondus Lockdown Browser to enable the Monitor functionality for online proctoring. Please direct your students to download and install the computer file here.

    What are my responsibilities as an instructor?

    ARRANGING THE PROCTORED EXAM:

    • The University recommends that course instructors notify students of any projected additional student charges associated with verification of student identity (such as proctoring fees or the purchase of a webcam) in the course syllabus or the course shell in Blackboard.
      • Instructors who do so may include the following statement in the course syllabus or course shell in Blackboard:
        • “[Indicate the number exams/projects that will be proctored.] Students may incur a fee depending on the proctor selected or whether they already own the required equipment.”
    • SACS requires students to be informed of any fees associated with the verification of student identity, such as the purchase of a webcam.
    • Review the Respondus Monitor information Video here:

    THE EXAM:

    • Load the exam into your Blackboard course.

    POST-EXAM:

    • Determine appropriate action if there is an incident regarding academic integrity;
    • Give permission to reschedule the exam if it is to be outside the scheduled exam dates:
    • Determine whether the exam can be taken outside the scheduled dates
    • Provide access to the exam accordingly
    • Provide the student with their grade in a timely manner.

  • Face-to-Face Proctoring

    Face-to-face proctoring allows the student to take exams in a quiet setting at a convenient location instead of coming to UofL’s campus. This process requires the student to obtain a proctor on their own. You will then work directly with the proctor in order to distribute and receive the exam.

    Instructor Responsibilities

    • Before the Exam
      1. Notify students of the proctored exam requirement prior to registration.
        • Include the following statement in your syllabus: “This course will have [number of proctored exams/projects] proctored exams. Students may incur a fee depending on the proctor selected.”
        • Note: SACS requires students to be informed of any fees associated with the verification of student identity, such as proctoring fees, prior to registering for the course.
      2. Inform students about their responsibilities as listed below. See the Student Responsibilities tab for a complete list.
        • Students must identify a suitable proctor according to specific guidelines
        • Students must provide the proposed proctor with the Eligibility and Responsibilities Agreement Form [PDF]. Proctors must complete and submit this form to the Instructor to be approved as a proctor
        • Students must schedule the exam with the proctor or testing center, during the approved exam time frame
        • Students must pay any associated fees with the proctored exam, including the mail tracking fee if required
      3. Verify the student’s proctor choice upon receipt of the completed Proctor Eligibility and Responsibilities Agreement Form [PDF] to be completed by the chosen proctor.
      4. Inform both proctor and student of approval or denial of the proctor. See Securing a Suitable Proctor to learn what qualifies.
      5. Complete and email your Exam Instructions [PDF] to approved proctors. Send examinations only to the proctor's approved business email address. If the proctor's business email address is a Yahoo, Gmail, Hotmail, or other similar free email address, the student will need to provide documentation that this is the proctor's business email address, such as a business card or letterhead.
      6. Provide the student with the exam instructions and any additional information your course may require.
      7. Provide student with the necessary proctor forms (or links to forms) listed below.
    • Submit the exam to the proctor along with any specific test-taking instructions, including the Student Code of Conduct – Academic Dishonesty [PDF] documentation.
    • After the Exam
      1. Determine appropriate action if there is an incident regarding academic integrity
      2. Give permission to reschedule the exam if it is to be outside the scheduled exam dates:
        • Determine whether the exam can be taken outside the scheduled dates
        • Provide access to the exam accordingly
      3. Provide the student with their grade in a timely manner
      4. Keep documentation and paperwork for proctored exams and proctors


Face-to-Face Proctoring

During instances where students are not able to come to UofL’s Testing Center, students can complete their exam under the supervision of an approved proctor. If you’ve been chosen for the role of proctor, please read below to make sure you understand the requirements and responsibilities involved.

IMPORTANT NOTES:

  • You must be approved by the instructor before any exams can be taken
  • Proctor services may be terminated at any time by any or all three active parties (student, proctor, UofL) with written notice to all parties involved

  • Types of Suitable Proctors

    NOTE:  RELATIVES, COWORKERS AND DIRECT SUPERVISORS ARE NOT PERMITTED TO PROCTOR EXAMINATIONS


    UofL Faculty or Educational Administrator

    • A full-time member of the teaching faculty or an educational administrator of UofL
    • Faculty members or administrators may also designate other individuals in education as a proctor—such designation must be submitted in writing to the instructor

    High School Superintendent, Supervising Principal, Principal, or Intermediate Unit Administrator

    • For Kentucky residents, a high school superintendent, supervising principal, principal, or an intermediate unit administrator whose name appears in the Kentucky Department of Education
    • Please note that only superintendents, principals, and intermediate unit administrators are listed in the directory (found here: https://education.ky.gov/comm/contacts/Pages/default.aspx)

    Institutionally-Accredited Faculty or Educational Administrator

    • A member of the teaching faculty or an educational administrator of any institutionally-accredited institution of higher education
    • The student must submit a page from the institution’s directory or catalog listing, not only the proctor’s name and title, but also the institution’s name
    • A photocopy of the catalog or directory page is adequate. The photocopy must show the institution as well as the name and title of the proctor;
    • It is acceptable to submit a letter on official letterhead verifying the position of the designated faculty member or educational administrator. Such documentation must accompany the Proctor Eligibility and Responsibilities Agreement form;
    • To find a qualified institution near you, visit the National College Testing Association’s (NCTA) website: https://ncta.memberclicks.net/cctc-listings-narrow-search#/

    Elementary or High School Teacher, or School Librarian

    • You must submit a letter on official letterhead from the individual’s principal or superintendent verifying their position
    • NOTE: A photocopy of a teacher’s certification is not sufficient. Currently employed teachers may not request a fellow teacher to proctor their examinations. Superintendents or principals from the same school district are acceptable.

    Librarian

    • A librarian who holds a library science degree may act as a proctor
    • Submit a letter written by this individual’s supervisor on official letterhead from the library system in which they are employed
    • The letter must include verification of the proctor’s employment, highest degree earned, and job title

    Military Superior

    • For personnel of the Armed Forces, any Commissioned Officer, Senior Noncommissioned Officer or Noncommissioned Officer of higher rank than the student may act as a proctor
    • The exam request must be accompanied by a letter on official letterhead from the student’s commander (or an authorized representative) verifying the proctor’s position


Proctor Responsibilities


Before the Exam

  1. Provide necessary documentation to the instructor to certify your eligibility as a proctor
  2. Complete the Eligibility and Responsibilities Agreement form [PDF] provided by the student
  3. If required, request proctor payment from the student. UofL does not pay fees associated with proctor services. UofL has the right to contact a designated proctor to establish credentials. UofL may at any time request additional verification or mandate an alternate proctor
  4. If you are a proctor at a Professional Testing Center (e.g. public library, university testing center) and delegate the proctor role to another staff member, you assume the responsibility that all standards are met
  5. The examination must take place at a business address and not a residential address. The testing room should be an enclosed, professional environment that is comfortable, quiet, and free from distractions
  6. Store the examination where it is inaccessible by the student

During the Exam

  1. Complete UofL Examination Certificate [PDF]
  2. Verify identification of the student by government-issued photo ID
  3. Make sure the student did not access notes, books, or other materials to complete the examination, unless previously approved by the instructor (verify what additional test-taking instructions have been left by the instructor)
  4. Give the student no more than the allotted time to complete the examination
  5. Secure the sealed examination until it is opened in the student’s presence at the beginning of the examination session and prevent copies of the examination being made during your tenure as a proctor;
  6. Secure the examination after completion and before mailing it to the instructor
  7. Ensure academic integrity of the exam process on behalf of UofL. Tasks you will be required to complete:
    • Stop the exam if academic integrity is compromised
    • Report the incident to UofL if the exam has stopped
    • Document and share this information with the course instructor

After the Exam

  1. Return the Exam Certificate, the examination questions, the completed examination, and any scratch paper the student may have used within four (4) hours of examination completion to the instructor via email or mail using a tracking service. (Note: student photocopying or taking notes from any examination paper is not permitted; proctors may make a copy of the exam to hold until it is verified the instructor has received the completed exam.)
  2. Notify the course instructor if the exam was not taken during the scheduled time
  3. If the rescheduled exam has not been taken within two weeks after the scheduled date, you are instructed to return the exam to the instructor

Online Proctoring

Online proctoring is completed using the Respondus Monitor and SmarterProctoring services. In-person proctors are not required.