formative assessment and the improvement of learning

lack, Professor Emeritus on and chair of the Task G

sting (TGAT) from

The importance of formative assessment The overall message of this article was clearly expressed in the TGAT (DES, 1998) report:

‘Promoting children’s learning is a principal aim of schools. Assessment lies at the heart of this process. It can provide a framework in which educational objectives may be set, and pupils’ progress charted and expressed. It can yield a basis for planning the next educational steps in response to children’s needs’. (para. 3)

Most of what is discussed here applies to the learning of all pupils. As Wedell (1993) emphasises, however:

‘many writers ... have pointed out that the continuum of SENs merges into the range of diversity of abilities identifiable in all pupils, and consequently special needs education must be offered more as an extension of education in general’. (P. 210)

Part of my general argument about formative assessment is that it is an underdeveloped area with great potential for raising standards of learning, and this links to another of Wedell’s points that: ‘Progress in the education of pupils with SENs in the next 25 years will be inextricably linked with developments in educating all children and young people’ (p.2 1). The distinguishing characteristic of formative assessment (that the assessment information is used, by both teachers and pupils, to modify their work in order to make it more effective) is recognised as an essential feature for success in special education.

Formative and summative assessment One main obstacle to the development of formative assessment is that it is only one of three functions of assessment. It is often confused ,with the uses of assessment: for the certification of individual students, and for serving the public accountability of institutions and teachers. Most of the investment in assessment and testing, whether in practical operations or in research and development, has been devoted to the certification and accountability functions, to the neglect of the formative.

External testing for summative purposes can dominate classroom work, de-motivate many pupils and so distort

teaching, that the conditions for good formative assessment cease to exist. The detrimental effects of narrow external testing on teaching are well known: learning follows testing in focusing on aspects that are easy to test; pupils have to work at too great a pace for effective learning; and creative, innovative methods and topical content are dropped (Black, 1993a). Such effects were referred to in a recent USA meeting on the renewal of national policy in relation to the assessment of disadvantaged children (Kober & Feuer, 1996). As one speaker put it: ‘The problem ... is that many current testing tools influence schools to adopt behaviours contrary to the goals of teaching challenging content and skills to Title I (disadvantaged) children’ (p. 4). A later point spelt out one of the main difficulties for standardised external tests: that of ‘defining the partially proficient category in a way that reflects how children build knowledge and progress towards higher achievement levels’ (p. 8).

Fletcher-Campbell (1 996), having emphasised that assessment for low attainers requires a ‘small-steps’ approach and a variety of approaches with the emphasis for reward en route, discusses alternatives to the GCSE summative process. Even though, at younger ages, the SATs have had some positive effects, the review by Lewis (1 996) concludes that:

‘In the longer term, moderated teacher assessments are likely to be fairer to children; more popular with teachers, and possibly parents; and more consistent with the ethos of inclusive schools than are the statutory tests used to date (especially at Key Stage 2)’. (P. 13)

Examples of the use of formative assessment, as a powerful component in a programme of effective learning, are hard to find. The general picture which emerges from surveys of practice is of the neglect of assessment, which has been documented for science classrooms in Australia, in Scotland, in England and in the USA (Black, 1993a). A review of primary school practice in France (Grisay, 1991) examined the criteria for moving children up, or not, to the next class. The conclusion was that the criteria used were ‘virtually invalid by external standards’ and that end-of-year examinations were ‘cluttered with selective questions which measure the command as it were, of “atomised” items of knowledge’. It was also found that different teachers, even in the same school, addressed different objectives and consequently that pupils entering a subsequent grade varied greatly in their background.

Thus, the evidence about the present state of teachers’ assessment practices shows that a very large investment in re-training is needed to establish formative assessment.

British Journal of Special Education Volume 23, No. 2 (June 1996)

Changes cannot be made easily. Attempts to strengthen assessment in the UK National Curriculum have had limited success, partly because teachers interpreted their assessment role in terms of summative assessment only, and therefore new requirements for teachers’ assessment were seen as a demand for them to carry out their own summative tests (Harlen & Qualter, 1991; McCallum, McAlister, Brown & Gipps, 1993).

Whilst formative assessment must be pursued for its main purpose of feedback into the learning process, it can also produce information which can be used to meet summative purposes. This can help to protect formative assessment from the overwhelming influences of external ‘high-stakes’ testing (Raizen, Baron, Champagne, Haertel, Mullis & Oakes, 1989). There can, however, be tension between the advisory and the adjudicatory role of a teacher. Whilst some argue that the same’ assessment instruments and procedures cannot serve two different functions (Black, 1993b), it is important to note that what distinguishes formative from summative is not necessarily the assessment methods themselves but the purposes for which their results are interpreted.

Where summative practice dominates, it can mislead because external tests are a poor model for formative assessment in the following ways:

in summative testing the need for a single overall result means that quite disparate data (e.g. for practice and for theory) have to be added in an arbitrary way. Formative assessment must not do this: it is concerned with the patterns of learning needs of individual pupils;

summative work has to insist on standards of uniformity and reliability which are not needed in formative work: in particular, summative practice does not have to befair as its priority is to identify the needs of each pupil, which involves treating dzferent pupils very differently;

countries. He contrasts the many positive effects of good assessment with evidence that classroom evaluation often encourages rote and superficial learning, with the grading function over-emphasised. Such assessment leads pupils to attribute their failure to their low ‘ability’ thus reducing confidence and motivation.

The need for assessments to support teaching directed towards the improvement of thinking has been explored by Resnick and Resnick (1992). Testing with short ‘atomised’ questions reinforces assumptions about learning which current psychology has abandoned. One example is the false assumption that a complex skill can be taught by breaking it up and teaching and testing the pieces separately; a second assumption, also false, is that an idea which is common to action in many contexts can be taught most economically by presenting it in abstract isolation in order that it can then be deployed in many other situations.

Brown, Campione, Webber and McGilly (1992) support this theory with evidence that improved methods lower the dependence of achievement on initial measures of pupils’ IQ and stress the importance of mediated learning in which the teacher can guide a child, as he or she works, through dialogue. Such approaches need frequent and constructive feedback to the pupil. If the feedback, given by frequent assessment, is to improve learning, it must reflect important aims. Authentic academic achievement demands an in-depth understanding, integration, collaboration and substantive conversation; aims rarely handled in most external or standardised testing.

If assessment information is to be meaningful in relation to the learning aims of the curriculum, it must be criterion referenced. The development of criterion referencing has been fraught with many complications. The common difficulty is that if the criteria are broad and vague, their formative value can be lost, whereas if they are made too specific, teachers will be overwhelmed by their burgeoning . summative purposes can demand the collection of

documented evidence for results and therefore add to the numbers, whilst learning will be fragmented, and the holistic and will be lost (Popham, 1987).

workload, whereas formative work calls for action on the data rather than its storage.

Assessment and learning The key principle, emphasised here, is that formative assessment has to be intimately connected with the processes of teaching and learning. A point clearly outlined by Linn (1 989):

‘... the design of tests usefil for the instructional decisions made in the classroom requires an integration of testing and instruction. It also requires a clear conception of the curriculum, the goals, and the process of instruction. And it requires a theory of instruction and learning and a much better understanding of the cognitive processes of learners.’ (P. 5 )

Crooks (1988) gives a survey of the impact of classroom evaluation practices on students, based on over three hundred sources in the literature and covering many

If assessment is to guide learning during the course of a programme, it must reflect criteria which are set out in a learning sequence. This is particularly important if the limited achievements of pupils with SEN are to be recognised and rewarded, and if their progress is to be in a framework that is both helpful to them and common to all. This cannot be done, however, without well founded knowledge of the sequences in which pupils learn (Hughes, 1996). Weak attempts lead to statements of inoperable vagueness, such as: ‘understand thoroughly’ followed by ‘understand more thoroughly’.

The formulation of the National Curriculum has been beset with problems in criterion referencing and progression, which the Dearing (1993) review attempted to tackle. However, whilst it was concluded that the ten-level scale ‘... can offer a statement of progression which can help teachers to plan the curriculum and match work to pupils of different abilities’, subsequent curriculum documents (SCAA, 1994)


indicate that the levels are only for guidance in end of key- stage assessments and therefore appear to contradict Dearing’s conclusion. More development and research is needed, but when politics require a quick repair, such steady development cannot be supported.

Validity and reliability External written tests command more public confidence than they should. The limits to their validity and reliability are not understood (Black, 1993a), and a broad concept is both necessary and cogent in any attempt to improve the quality of assessments. The opening statement of Messick’s (1989) review gave an authoritative definition:

‘Validity is an integrated evaluative judgement of the degree to which empirical evidence and theoretical rationales support the adequacy and appropriateness of inferences and actions based on test scores or other modes of assessment.’

(P. 13)

The scope of inferences and actions has been expanded in recent studies. Thus, if an assessment could be judged to reinforce styles of teaching which are inappropriate for the aims of education, its validity could be prejudiced on these grounds alone. The closer an assessment activity can come to the actual activity to which its results are to be considered relevant, the more likely it is to satisfy validity criteria. In this light, classroom assessment has a better chance of success than formal, timed, written tests; con fmed by Ann Lewis’s (1996) review.

The reliability of classroom assessments is inherently difficult to explore owing to the lack of any independent measure of the real attainments of pupils, but the general evidence suggests that a standard comparable with that of external tests can be achieved (Black, 1993a; Wood, 1991). The limited reliability of formal tests is not appreciated and in many national systems is not measured. Internal consistency is easily researched, and a high value is often represented as the reliability of a test. However, for a variety of reasons, pupils tend to under-perform in formal tests as a whole. For example, Gauld (1980) found that in some science tests pupils often misread the demands of a question; seem incompetent owing to a single slip in a complex process; fail to use what they know as they judge it irrelevant; and may be marked down when the marker fails to understand the thinking behind non-standard responses.

Improving formative assessment: the teacher’s needs The technology of collecting data on pupils’ progress is only just beginning to develop. Most teachers have always used a variety of sources in an informal way, which can be misleading. A common example is for a teacher to use the answers of only a few pupils in a classroom dialogue as reassurance that the lesson plan can proceed. It is essential to sharpen practice with a view to eliciting more comprehensive data. Fairbrother, Black & Gill (1995) give examples of self-assessment work-sheets setting out learning objectives for classroom work against each of which a pupil has to record his or her judgement on whether the objective has been achieved. The sheets give the teacher the criterion

information essential for formative assessment and, furthermore, as they provide written evidence in a systematic way, the pressure of noting and recording entirely from the ephemeral evidence of classroom events is removed. Observation by teachers can have a unique value: some have found it surprisingly useful to suspend their active teaching interventions for a time, making clear to a class what they are doing and why, and to be able to concentrate on looking and listening with a few pupils.

Far more is involved, however, than the collection of evidence about errors, and the teacher needs to understand their causes. Furthermore, formative assessment cannot be merely added to existing schemes of work, for if assessments reveal that pupils in a group have different needs, the organisation reaching for that group has to be flexible so that these different, often unexpected, needs can be met. This is the most challenging aspect of formative work. For example, in a modular course, a test at the end of a module is too late, although an assessment review two-thirds of the way through can be a basis for differentiated teaching to meet the needs revealed in the last third of the time (Black, H., 1993).

Affecting this last issue, and many others, is the extent to which teaching programmes are flexible rather than rigid. In open-ended work (practical investigations or library projects), careful thought about selection and the definition of tasks can achieve differentiation by the tuning of the task to the pupil’s capacity and progress. Those who progress more slowly may, however, lack the confidence and the clear vision of their needs, that are essential for effective self- direction. Mastoprieri and Scruggs (1 992) reviewed sixty- six different reports of special methods of science education devised for students with disabilities. Methods which proved successful laid stress on: developing manipulative and science process skills; active learning; and adaptations of normal programmes (which included the reduction of content to concentrate on mastery, on the provision of extra feedback and on the enhancement of concrete experiences). Many teachers have been trying to achieve such changes in order to improve science education for all children. Very similar characteristics are reported in an account of science investigations in an EBD school where a carefully designed framework and the encouragement of self-assessment were important features (Holton, 1995).

Effective use of assessment feedback requires teacher judgement, and the confidence and flexibility in the management of a curriculum plan that can only come from ownership. Thus any scheme for incorporating good formative opportunities has to be constructed by teachers for themselves. This is illustrated by Torrie’s (1 989) report of in- service work with a group of Australian teachers, who put their own performance criteria into a framework of progression in learning. The list had to be modified in the light of the subsequent experience of producing matching assessment exercises, but the outcome (in addition to an enhanced confidence in their teaching) was the teachers’ opinion that previous assessment tasks, which had failed to assess the aims of the teaching, had been mediocre. Therefore, in order to secure consistency of help to pupils,


teachers have to share assessment information and practices. The exchange of students’ work is in itself valuable as a basis for collaborative staff development. Baird and Northfield (1992) and Wood (1991) describe the use of ‘collaborative reflection’ in teacher training.

Such developments, however, require far more than a change in formative assessment practices, as assessment inevitably challenges pedagogic practices and curriculum frameworks when the widely differing needs of pupils become more apparent. Thus, improved formative work is not a quick frw, but rather a challenge to reform teaching more radically.

Improving formative assessment: the pupil’s needs The development of formative assessment implies changes in role for both teachers and pupils. Pupils must understand the frame of reference of the teacher and the model of learning, which gives meaning to the criteria, reflected in the assessment. Such insights can build up the pupils’ confidence both in their understanding and their ability to address their difficulties.

Sylva’s review (1 994) describes the difference between mastery children, who will tackle difficult tasks with confidence of success, and helpless children who seem to accept that they will fail and consequently avoid the challenge. Membership between the two categories does not appear to be related to a child’s intelligence as mastery children tend to believe they can succeed if they try, whilst helpless children believe that if something seems too hard there is nothing that they can do about it. These different attitudes are seen on a larger scale in differences between cultures. In Asiatic countries, failure to achieve is assumed to be related to a lack of hard work, but in many western countries, the belief in innate fixed ability linked to the use of IQ tests leads to an assumption that some are pre-destined to fail (Holloway, 1988). Teachers accept these assumptions, which can affect a child’s self-image.

The importance of the learner’s ‘self-system’ is stressed by many authors and supported by several studies. McCombs (1991) argues for the need for measures of these subtle aspects of self-regulation and self-esteem, on the grounds that unless we can assess them, there is little prospect of understanding or influencing the learning of many pupils. Emphasis on a narrowly cognitive view of learning, particularly when deployed in a context of assumptions of pre-determined and fixed intelligence, can lead to a pessimistic approach towards children who are failing, and to neglect of what might be the real cause of their problems and, therefore, of their real needs. Thus, formative assessment that attends only to the cognitive and subject performance characteristics of a child might be seriously inadequate in that it does not recognise the full information needed to deal with the learning difficulties.

Gaps in understanding, between students and teachers, must give rise to weaknesses in any informal assessment; a point illustrated in a report by Perrin (1 99 1) on a study of primary pupils in the Geneva Canton. These pupils believed that assessments were for the school’s and their parents’ benefit,

not for themselves. The weak pupils believed the purpose was to make them work harder, but since the assessment was not used to tell them how to work differently, they saw it as a source of pressure, which made them anxious. As a consequence, the Canton decided to reduce its summative tests and to enhance the formative role of assessment.

Pupils cannot play an effective part in their own assessment except within a long-term programme designed to help them to achieve and to sustain an overview of the objectives of their learning and to apply the criteria to their own progress. Pupils will not achieve such an overview unless it is explicitly taught. The reports of Baird and Northfield (1992) and Fairbrother et al. (1995) show that such teaching requires time to be successful. An element is the translation of curriculum aims into language that all pupils can understand, and down to a level of detail that helps them relate directly to their learning efforts. It also follows that targets have to be both attainable in the short term, and adequately modest in relation to the learners’ prospects of success.

The capacity of pupils to judge their own work is of fimdamental importance in learning. Students must be active and thoughtful in their own assessment: awareness and self- direction about the nature of their learning work is essential to pupils’ development in concept learning (Brown, 1987). Swanson (1993), in a detailed study of problem solving with ten-year-old children with learning disabilities, showed that they could perform as well as normal children, but that they used different strategies, as they were weak in meta- cognitive skills and in their capacity to integrate such skills with other cognitive functions. The work also shows that the children were neither passive nor strategicalry inactive in learning, compared with their peers: they rely on a different set of mental processes.

Clearly, pupils’ involvement can make it more feasible for teachers to carry through a programme of formative assessment. This involvement, however, also changes both the role of the pupil as learner and the nature of the relationship between teacher and pupil, making the latter shoulder more of the responsibility for learning. Thus, improved formative assessment can lead to changes which are of much wider significance.

Conclusions In their assessment responsibilities, teachers have to reconcile the learning needs of their pupils, which must be their first concern, with pressures to obtain good results in statutory national tests, and their expectations that they will work within a framework of school policies and parental expectations. These requirements are often inconsistent. If they are to be enabled to make the radical changes that are called for, teachers will need both to work together to support one another in the face of these pressures, and to call on the help and sympathetic understanding that can be mustered from those outside schools.

Many initiatives have shown that children have more potential to learn than their teachers usually assume. Such

initiatives, however, call for carefully prepared, skilled and sensitive teaching, maintained over extended periods. Teachers need to change the way they relate to their pupils, and the pupils must change their attitudes to their own

learning, in radical ways. The need for the development of formative assessment, which requires teachers to know the state of their pupils’ learning, and to act on this information, is a common thread running through all of this work.

Glossary SATs - Standard Attainment Targets EBD - Emotional and Behavioural Difficulties GCSE - General Certificate of Secondary Education

SENs - Special Educational Needs TGAT - Task Group on Assessment and Testing

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Address for correspondence: Professor Paul Black King’s College London University of London Cornwall House Waterloo Road London SE1 8WA

DISABILITY CONFERENCE ‘Disability and Society: Ten Years On’

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University of Bristol University of Leeds University of Sheffield British Council of Disabled People Buckinghamshire College University of East London University of Gxenwich York University, Canada

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formative assessment and the improvement of learning

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