Efficacy of Formative Classroom Assessments in Theory and Practice Ian Clark A dissertation submitted in partial fulfillment of the requirement for the degree of Doctor of Philosophy University of Washington 2013 Reading Committee: Geneva Gay, Chair John Frederiksen Min Li Program Authorized to Offer Degree: College of Education ©Copyright 2013 Ian Clark University of Washington Abstract Efficacy of Formative Classroom Assessments in Theory and Practice Ian Clark Chair of Supervisory Committee: Dr Geneva Gay Department of Curriculum and Instruction The articles which constitute the core of this dissertation orbit, either explicitly or implicitly, around the "theory of formative assessment". This conception is, at the theoretical level, a blend of socio-cultural and socio-cognitive perspectives. Accordingly, the theory of formative assessment holds that (1) thinking and learning processes are supported when students are given information and feedback regarding the learning criteria and standards by which they are assessed; and (2) when there is subsequent use of that feedback by students and teachers as they plan the next steps of the learning process together. Each article is intended for practitioners, policymakers, and researchers, and together they represent a methodological progression which begins with a discussion on theories that underpin formative assessment, and their implications for teaching methods and learning strategies. The second article presents a detailed case-study of the implementation of formative assessment in the Scottish region of the UK. The third and final article in the set employs a grounded theory (GT) method to build a theoretical framework to explain how the theory of formative assessment promotes self-regulated learning (SRL) in public school (K-12) classrooms. LEARNING AND ASSESSMENT 1 Introductory Section The thematic and conceptual discussions appearing in this set of articles reflect a deepening interest in the relationship between the individual mind, and the collective classroom context in which the mind learns. As Lajoie (2008) remarks, “it is the interaction between the mind and [social] environment that presents the most interesting questions in terms of the active nature of learning” (p. 471). The "active nature of learning" emphasizes student processes and peer-assessment, and refers not only to cognitive or intrapersonal participation, but also, to the active participation in social, or interpersonal processes which promote independent and lifelong learning. The set of articles, which this introductory paper prefaces, consists of three analyses of formative assessment. These are: Clark, I. (2010). Formative assessment: There is nothing so practical as a good theory. Australian Journal of Education, 54(3), 341-352. Clark, I. (2010). The development of 'Project 1': Formative assessment strategies in UK schools. Current Issues in Education, 13(3), 1-35. Clark, I. (2012). Formative assessment: Assessment is for self-regulated learning. Educational Psychology Review, 24(2), 205-249. The articles will be referred to as Article I, Article II, and Article III respectively and orbit, either explicitly or implicitly, around the "theory of formative assessment" as conceived by the influential Paul Black and Dylan Wiliam (1998a; 1998b; 2009). This conception first appeared in the "Journal of Educational Assessment, Evaluation and Accountability" (Black & Wiliam, 2009), as a blend of socio-cultural and socio-cognitive theories. Accordingly, the theory LEARNING AND ASSESSMENT 2 of formative assessment holds that (1) thinking and learning processes are supported when students are given information and feedback regarding the learning criteria and standards by which they are assessed; and (2) when there is subsequent use of that feedback by students and teachers as they plan the next steps of the learning process together. Each article is intended for practitioners, policymakers, and researchers, and together they symbolize a methodological progression that includes: (1) a discussion on theories that underpin formative assessment, and their implications for school systems and classroom strategies (Article I); (2) a detailed case- study of the implementation of formative assessment in the Scottish region of the UK (Article II); and (3) Article III employs a grounded theory (GT) method (Strauss & Corbin, 1990) to build a theoretical framework to explain how the theory of formative assessment promotes self- regulated learning (SRL) in public school (K-12) classrooms. A Profile of the Publication Journals Australian Journal of Education (AJE). The AJE, established in 1957, is a peer- reviewed journal sponsored by the Australian Council for Educational Research (ACER). Available in both print and online, AJE draws upon original research which aims to inform educational researchers as well as educators, administrators and policymakers about issues of contemporary concern in education. Original research is interpreted broadly to include policy analyses, development of research methodologies and reviews of research that contribute new insights and understandings. More specifically, AJE accepts original research, research reviews, policy analyses, comments, rejoinders and book reviews. The journal produces one volume per year, and three issues in April, August, and November. It is indexed in various databases, including Scopus, ERIC and the Social Sciences Citation Index. LEARNING AND ASSESSMENT 3 Current Issues in Education (CIE). CIE, founded in 1998, is a peer-reviewed journal published by the Mary Lou Fulton Teachers College at Arizona State University (ASU). The mission of the journal is to advance scholarly thought by publishing articles which promote dialogue, research, practice, and policy as well as developing a community of scholarship. The journal accepts a range of research designs. These are, experimental, quasi-experimental, narrative, ethnography, case studies, and mixed-methods designs, literature reviews, meta- analyses, theoretical platforms. In addition, action research is encouraged which clearly demonstrates a disciplined inquiry that includes procedures, measures, and outcomes. CIE is an online journal which provides immediate open access to its content. Articles published in CIE are indexed in the Directory of Open Access Journals (DOAJ), ERIC, and EBSCO. This journal produces one volume per year and three issues per volume. Issue No. 1 spans the ASU Spring semester, issue No. 2 spans the ASU summer months, and issue No. 3 spans the ASU Fall semester. Educational Psychology Review (EDPR). EDPR (2012 impact factor: 2.154) is an international forum for the publication of peer-reviewed review articles, special thematic issues, reflections on previous research, new research directions, interviews, and research-based advice in the field of educational psychology. The contents are appropriate to a wide readership in educational psychology and of "sufficient depth to inform the most learned specialists in the discipline" (Springer, n.d). Since its inception in 1989, EDPR has produced 25 volumes, 99 issues, and 584 articles. Articles are indexed in a wide variety of databases including SCOPUS, PsycINFO, EBSCO, Educational Research Abstracts Online (ERA), Sociology of Education Abstracts, and Vocational Education and Training Abstracts. EDPR produces one volume each year containing four issues (March, June, September, and December). LEARNING AND ASSESSMENT 4 The Guiding Question The general research question guiding the construction of the three articles, and which binds them together, is, "How and why do formative interactions support learning among K-12 students?" This is a broad question, and one which lends itself to a plurality of methodologies, and invites many conceptual 'tangents'. Any attempt to explore this question necessitates a great deal of theoretical discussion, and draws heavily from the foundational work of L. S. Vygotsky, and the socio-cognitive perspectives of Albert Bandura and his contemporaries. Black and Wiliam (1998a; 1998b; 2009) drew from these theoretical perspectives to present the formative interaction as an active dialogic process in which social interaction influences cognition. It is therefore an "interaction between external stimulus and feedback, and internal production by the individual learner which involves looking at the three aspects: the external, the internal and their interactions" (p. 11). More concretely, the provision of external feedback entails sharing learning intentions, and identifying clear assessment criteria in ways that students understand, and may internalize as useful self-management information. The daily process of sharing assessment information with and among students engages them in their own learning, developing learning autonomy, and increasing their sense of social belonging. The formative interaction depends on the active participation of children in this process. Sharing assessment information in ways that young learners understand is therefore emphasized throughout the set of articles as the sine qua non of formative assessment (Black, Harrison, Lee, Marshall & Wiliam, 2003; Mansell, James, & the Assessment Reform Group [ARG], 2009). An important goal of formative feedback is the deep involvement of students in meta- cognitive strategies; such as personal goal-planning, monitoring, and reflection. The mastery of these thinking strategies supports learning by giving children “the power to oversee and steer LEARNING AND