formative assessment rubrics and observation tools document

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• Examining the rubrics provided in this document is one way to address question (1) Where amI headed? The rubrics reflect the ten dimensions of formative assessment that together form anintegrated set of formative assessment practices.

• Using self-reflection against the rubrics and getting feedback from a peer observer are ways to addressquestion (2) Where am I now?

• Developing a plan of action, observing peers who are experts in a particular area and/or gettingsupport from a learning community are ways for advancing through the stages of implementationonce areas of formative assessment are identified for improvement, and these help address question(3) How do I close the gap?

Included in this document is a set of rubrics and tools to support self-reflection and peer observation. Theobservational tool described in the document focuses on the general formative assessment strategies thatteachers should employ. Effective instruction addresses content understanding, elicits student thinking indepth and makes adjustments in teaching as needed, while also using the formative assessment practicesdescribed in this document.

The rubrics and tools can be used within the context of school-based professional development, withformal or informal groups of teachers, or by individuals who are interested in improving formativeassessment practice.

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In an effort to support the development of a common, research-based understanding of formative

assessment the Formative Assessment for Students and Teachers (FAST) State Collaborative on

Assessment and Student Standards (SCASS) published a definition of formative assessment in 2007:

"Formative assessment is a process used by teachers and students during instruction

that provides feedback to adjust ongoing teaching and learning to improve students'

achievement of intended instructional outcomes.”

Central to this definition are several important ideas.

1 *+,-.'#/) ."")""-)$' #" $+' a test, assessment, or quiz given at the end of a learning

period, but an ongoing process of collecting evidence of student learning during

instruction to inform next steps in teaching and learning while there is still an

opportunity to influence learning. Identifying areas of need at the end of a unit may

influence subsequent instruction, but it is not the heart of formative assessment.

2 :() #8). +6 T82,#$% #$"',24'#+$U 4.$ -).$ both literally during a class period

as students and teachers are engaged in a learning experience, and also more

broadly, during an instructional sequence that may span several weeks. A teacher

can make adjustments to the instructional plans to account for students’ current

understanding and to support them moving closer to the intended learning goals.

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For additional information the FAST SCASS has produced several publications². There are also a

variety of texts on formative assessment that represent the key ideas in a way that is congruent with

the FAST SCASS definition³.

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The primary motivation for using an observation tool focused on formative assessment is to improve

teaching practice: specifically formative assessment practice. Just as student learning can be supported

through the appropriate use of self-assessment and peer assessment, teaching practice can also be

improved through self- or peer assessment4. In this document these activities are referred to as self-

reflection and peer observation.

The rubrics for the dimension of formative assessment make explicit the characteristics of stronger

and weaker formative assessment implementation along a number of relevant dimensions. Observing

and discussing a peer’s practice in the light of those rubrics helps make the rubrics more explicit

and concrete, which may also help teacher’s examine their own practice, both against the rubrics

themselves and also in contrast to the practice of others. There are benefits to both the peer being

observed, and also to the person doing the observation.


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Using the FAST SCASS definition of formative assessment, and the attributes of effective formative

assessment, ten dimensions of formative assessment practice have been identified that could be observed

during a lesson. The dimensions represent a set of integrated formative assessment practices. Focusing

on just a single dimension likely would not result in a robust implementation of formative assessment.

Rather an integrated approach is required. However, for the purpose of discussing practice it can be

useful to separate them out and sometimes to focus on just a subset. They are listed below:

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Feedback can be used to close the gap between current learning and intended learning. There are three

dimensions that address distinct aspects of feedback: Feedback Loops, Individualized Descriptive Feedback,

and Peer Assessment. The Feedback Loops dimension is specific to more informal feedback that often

occurs in real-time during a lesson. The Individualized Descriptive Feedback dimension is specific to

more formal feedback that tends to be given to individual students on a specific piece of work, either

in written form or orally (e.g., during student/teacher conferences) by the teacher. The Peer Assessment

dimension includes the role of student-to-student feedback. All of these dimensions center on theuse of evidence to inform instruction. This work takes place in a supportive learning context, where

Collaboration is valued (teacher to teacher, teacher to student, and student to student).

For each of the ten dimensions a rubric is provided and observation notes addressing particular aspects

of the rubric. The rubric is organized as a table with a set of columns which, reading from left to right,

describe a novice or incomplete implementation to a more expert level of implementation. Each rubric

describes both the teacher role in a particular formative assessment dimension and also the student role.

The rubrics describe the level of implementation of a particular aspect of practice, not the level of

expertise of a teacher.

There are four levels or categories of implementation for each rubric. The levels are referred to both by

names and by numbers to indicate a progression of skills and abilities:

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Below are the ten dimensions and the specific aspects of student involvement and engagement with

formative assessments across the ten dimensions. In some cases, the dimension may directly focus on the

student role in the formative assessment process (e.g., peer assessment, self-assessment). In other cases,

the degree to which students are involved may distinguish lower and higher levels on the rubric (e.g., in

the Feedback Loops During Questioning dimension it is only at the higher two levels of the rubric that both

students and teachers are engaged together in a true discussion, building off each other’s comments,

whereas at the lower levels, it is primarily the teacher who responds to the students’ comments).

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In this document, two lenses are provided through which one can consider classroom practice:

(1) self-reflection and (2) reflection on the practice of a peer.

Self-reflection allows a teacher to consider descriptions of quality formative assessment, to relate them

to practice, and to establish goals for improved practice. Peer observation has two benefits: first thepeer will benefit from an outside observer’s perspective of the lesson and use of formative assessment,

and the person providing the feedback benefits by engaging with the rubrics to provide the feedback,

but also by observing practice that is not their own. Both ways of using the tools and rubrics are

suggested below. The final part in this section addresses developing an action plan.

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Begin by reading through this section while referring to the forms on pages 50 and 51 and thinking

about the four self-reflection steps.

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Example - Writing A Lessson Description

A teacher might note something like the following as a brief description of the lesson5:

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Once evidence for each dimension is noted, turn to the dimension rubrics to think about what

rubric level most closely matches the description of the evidence. Sometimes it will not be a

perfect match. Remember, this is a description of what happened in a specific lesson, which

may or may not be reflective of typical practice.

Example - Assigning A Rubric Level

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Remember when using the rubrics, the purpose is to examine practice, recognize strengths and

identify areas of improvement. In any single lesson a profile of levels across the dimension will

vary according to experience with formative assessment, and the specifics of any particular lesson.For this reason, it is important to complete the self-reflection form for several lessons to see what

patterns emerge over time.

Reviewing dimensions across lessons: Evidence related to all ten dimensions may not be

identified in a single lesson. For example, it is unlikely that students engage in peer assessment

every day. However, by completing a series of self-reflections (e.g., across a week of teaching) and

reviewing them some patterns may be noted that otherwise may be missed. One process for doing

so is presented below:


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• Gather four or five self-reflection forms, and lay them side-by-side.

• Read across the forms, focusing on a single dimension at a time to get a sense of how practice

in this area varied over time.

• Respond to the Reflection Questions (page 51) and think about next steps for instruction.

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There are at least three reasons for a peer observation. In each case the observation process will play out

a little differently.

1 1)Z2)"')8 +3"),/.'#+$ 6+, 6+42")8 6))83.4IO A teacher might invite a peer to observe

and to provide focused feedback on a specific dimension or two of the teacher’s

formative assessment practice. The purpose of this observation is driven by the

requesting teacher’s specific need or area of focus, and the observer would only collect

evidence and provide feedback on the dimensions identified as relevant to the area of

need specified by the requesting teacher.

There are several distinct parts of the observation process.

First, the observer needs to understand the requested focus of the observation.

Set-up of the observation: To help the observer capture relevant evidence during an

observation, prior to the observation complete the Observed Teacher’s Description of Teaching

Episodes document (page 54). An episode is a “distinct instructional block within a lesson.”

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be less likely to see questioning strategies but some of the peer assessment strategies are

more likely to emerge. Knowing the planned episodes ahead of time helps orient the

observer to what is expected to unfold in the lesson.

(2) Identifying the episodes for the observer helps the observer recognize changes to

instructional plans made during the course of the lesson. Even if the teacher being

observed does not explicitly articulate to students during a lesson a reason for achange of plans, an observer who knows the planned episodes is more likely to notice

deviations from that plan. While a deviation from the plan is not a guarantee that

formative assessment evidence was used to adjust instruction, it is a possibility, and one

that can be explored in the post-observation discussion.

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directly observable in the lesson. Prompts are suggested on page 56. For example, reacting

to evidence of student learning to adjust instruction might be observable if the requesting

teacher explicitly said to students something like, “OK, based on what I am hearing I think

we need to step back and make sure we all understand the underlying phenomenon.” But if

the requesting teacher moved seamlessly to a review phase an observer might not recognize

that the teacher was making an evidence-based decision.

Try to hold the post-observation discussion as soon as possible after the completion

of the lesson in order to enhance recall of the details of the lesson. Allocate twenty to

thirty minutes to allow sufficient time for discussion.

Finally, the observer will provide focused feedback.

Providing Feedback: Finally, the observer will take the narrative notes from the lesson, with

the information collected during the interview, and select evidence relevant to the formative

assessment dimensions that the requesting teacher identified

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is asking to observe another teacher in order to learn from a colleague’s practice.

Ensuring that the person being observed is clear about the intent of the request is

important. Asking a colleague to share the intended lesson episodes will be helpful to

ensure that the observer will see a lesson that is likely to include the aspect of practice

that the observer is most interested.

The post-observation discussion may differ from the discussions described above sincethe purpose is quite different. As the observer’s purpose is not to provide feedback to

a peer but to learn from the observation, in the follow-up discussion the observer may

explore with the colleague observed how to apply what was observed to the observer’s

own teaching context. Or, the observer could journal privately about the observation

in order to capture ideas about how to apply what was learned to practice, thus

serving the dual purpose of peer observation and self-reflection.

04'#+$ =7.$"

Whether focusing on self-reflection or receiving feedback from peer observation, it

is essential to take the learning from the experience and identify needed changes in

practice and then put those changes into action.

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On the next page (page 24) is an example of a specific action plan that a teacher

developed and revised over time, informed by both self-reflection on practice and

observation of a peer. Note that the teacher only wrote in the action plan one thing

to focus on at a time, and updated the plan weekly. Less frequent updates will also

work, but not too infrequent.(Note: The sample action plan here is not content specific.

When teachers are developing their action plans, it will be important that the plan is very

specifically related to content. For example, what the focus of the think-pair-share will be and

why the teacher is using this particular strategy).


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Learning Goals should be clearly identified and communicated to students, and should help students

make connections among lessons within a larger sequence. Learning goals should be aligned to state or

district grade-level standards, although this dimension focuses on how the teacher identifies the learning

goals for a particular lesson, communicates them to the students, and uses them in a way that supports

learning. Research suggests that when students understand the intended learning of a lesson they are

better prepared to engage with the content and learning is positively impacted. At the lower ends of

the rubric, learning goals are not used, are used in a pro forma manner, or do not set appropriately

challenging goals for students, while at the higher levels learning goals are integrated into the lesson and

support student learning.

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!The judgment about whether the connections made between previous, future and current learning

are accessible to students will depend on the age and abilities of the students. Evidence for

the accessibility of the connections comes from both the observer’s professional knowledge

base and from observing student questions and discussion during the lesson. For example,

if a lower elementary mathematics teacher makes extensive reference to the role of numbers

in advanced mathematics courses in a way that is mostly confusing to younger students that

would be considered to either be not accessible or not consistently accessible.

!The judgment about whether the language used to express the goals is accessible to students will

depend on the age and abilities of the students. For example, the language used by a second

grade teacher to describe a particular learning goal will be different from the language used

by a high school teacher. Evidence for the accessibility of the language comes from both the

observer’s professional knowledge base and from observing student questions and discussion

during the lesson. Questions could also be posed directly to students to provide further

evidence of how they understand the learning goal.

! At the highest level of this rubric the teacher makes “multiple meaningful and appropriate”

references to the learning goals. The professional judgment to be made here is whether those

references to the learning goals support student learning. For example, a teacher may make

reference to the learning goals to help students make connections between multiple aspectsin a lesson and how those aspects collectively support their deepening understanding of the

learning goal. Alternatively the teacher may highlight key vocabulary terms that are central to

the learning goals.

Additional Notes: ________________________________________________________

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Criteria for Success should be clearly identified and communicated to students. This dimension focuses

on how the teacher identifies the criteria for success for a particular lesson and communicates the criteria

to the students. Research suggests that when students understand what quality work actually looks like

they are more able to demonstrate their own learning. In this rubric, the focus is primarily on the sharing

of explicit expectations (e.g., rubrics, preflight checklists, exemplars etc.) that communicate quality.

At the lower ends of the rubric, criteria for success are not used, are used in a pro forma manner, or do

not hold students to sufficiently high expectations, while at the higher levels criteria for success are

integrated into the lesson, are accessible to students, and support student learning.

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!The judgment about whether the criteria for success is appropriate for the students (not

too basic/ complex) will depend on the age and abilities of the students. For example, the

expectations for what students will be able to do by the end of a lesson (criteria for success)

will be different in second grade than the expectations for high school. Evidence for the

appropriateness of the criteria comes from both the observer’s professional knowledge base

and from observable evidence that students are or are not progressing towards the criteria

throughout the lesson. Questions could also be posed directly to students to provide further

evidence of how they understand the criteria for success.

!The judgment about whether the language used to express the criteria for success is accessible

to students will depend on the age and abilities of the students. For example, the language

used by a second grade teacher to describe a particular expectation will be different than the

language used by a high school teacher. Evidence for the accessibility of the language comes

from both the observer’s professional knowledge base and from observing student questions

and discussion during the lesson. Questions could also be posed directly to students to

provide further evidence of how they understand the expectations for the lesson.

! At the highest level of this rubric “the process ensures that students engage with the criteria

in meaningful ways” refers to the ways in which the teacher uses the criteria for success to

support learning. The professional judgment to be made here is whether those ways support

student understanding and progress towards the expectations. For example, a teacher may

not only discuss the levels of a rubric but also provide exemplars of different score levels,may engage students in a “scoring session” where they apply the rubric to stronger or weaker

performances, may provide opportunities to discuss the independent features of stronger or

weaker work, or may structure opportunities for students to apply criteria to their own or

another’s work. All of these examples may not be seen in a single lesson. Evidence may also

include reference to previous lessons where some of these activities took place and are being

built on in the current lesson.

Additional Notes: ________________________________________________________

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The focus of this dimension is on those things with which students engage that potentially produce

evidence of student learning (except classroom discussions as this is discussed in Questioning Strategies

and Feedback Loops.) Teachers need to use a range of tasks and activities to collect relevant evidence

of student thinking. When students are engaged in tasks and activities (on their own, with anotherstudent, or in a small group) the work products provide evidence of student understanding. In order to

be effective, students need to have access to appropriate support from either the teacher or from peers

to complete the task. In addition, the teacher needs to have a mechanism for synthesizing evidence from

students, whether through a formal or informal review process.

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!Tasks and activities include anything that students engage in that potentially produces

evidence of student learning (except classroom discussions as this is discussed in Questioning

Strategies and Feedback Loops). Examples include worksheets, lab experiments, performance

tasks, commercially produced formative assessment tasks, essays, quizzes, and/or journaling.

!There are references across the levels to whether students are clear or unclear about the task.

The focus here is not on the clarity of the learning goals, but rather on whether the students

are clear procedurally about how to begin the task itself.

!There are references in the rubric to a teacher missing or capitalizing on “critical

opportunities”. There may be instances when an observer will identify incidents where the

observer might have acted in a different way, or taken the discussion in a different direction,

but these differences will not materially impact student outcomes. The professional judgment

to be made here is whether there was a significant or critical missed opportunity that a teacher

ought to have identified and addressed. The result is that missing the opportunity negatively

impacts student learning or, conversely, capitalizing on the opportunity positively impacts

student learning. For example, students may be working independently on a performance

task but a large percentage of the class has their hand raised for help and most are at the same

point in the task, however, the teacher fails to pick up on this or that this is a systemic class-

wide issue that would benefit from discussion or an adaption to plans.

Additional Notes: _________________________________________________________

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The focus of this dimension is on one way that a teacher can collect evidence of student progress (i.e.,

through classroom questioning). Teachers need to use a range of questioning strategies to collect relevant

evidence of student thinking, from more students, more often, and more systematically. Often teachers

ask questions only to a few interested students, answer their own questions, or limit student thinking bythe type of questions asked. If a teacher has weak questioning strategies, opportunities are lost to gain

valuable insights into student learning. Teachers can elicit evidence of student thinking by the types of

questions students ask of the teacher and peers, as well.

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! When a teacher is using questions to elicit evidence of student thinking, often a teacher may

directly ask students to explain their reasoning or focus on “why”. In addition, questions

are not exclusively recall or factual questions, but require higher order thinking from the

students.

! At the lower levels of this rubric, questioning strategies are described as being used

“inconsistently.” This refers to instances when a teacher is using some questioning techniques

that provide opportunities to collect evidence from multiple students at a time or encourages

deeper engagement with the content, but not on a consistent basis, even when the

opportunity to do so exists. For example, a teacher may start off a discussion period by asking

students to call on the next person to respond in order to engage different students in the

discourse, but quickly lapse back into just calling on a few students who seem most involved

in the discussion.

! Across the levels of the rubric, reference is made to a teacher missing or capitalizing on

“critical opportunities”. There may be instances when an observer will identify incidents

where the observer might have acted in a different way, or taken the discussion in a different

direction, but these differences will not materially impact student outcomes. The professional

judgment to be made here is whether there was a significant or critical missed opportunity

that a teacher ought to have identified and addressed. The result is that missing the

opportunity negatively impacts student learning or, conversely, capitalizing on the opportunity

positively impacts student learning. For example, a student might ask a question that is

clearly connected to the learning goals of the lesson and that indicates a misunderstanding,misconception or confusion, but the teacher fails to pick up on this and does not address it,

nor indicate that the issue will be addressed later.


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!The Feedback Loops dimension focuses on how the teacher uses classroom discussions to

deepen student understanding. This dimension differs from the Questioning Strategies to Elicit

Evidence of Student Learning where the focus is on one way that a teacher can collect evidence

of student progress (i.e., through classroom questioning.) In an extended discourse period,either or both dimensions could be relevant.

! A feedback loop is characterized as an exchange between teacher and one or more students,

or between multiple students where additional prompts or questions sustain the conversation

to support deeper thinking. At the higher ends of this rubric, feedback loops are defined as

“extended,” referring to classroom discourse that results in ongoing discussions that deepen

the knowledge of all students with respect to specific concepts or topics. For example, a

teacher or student might ask what other students in the classroom think, ask if other students

agree or disagree with the first student, or use a question/prompt to help students build on

their ideas.


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!The highest level of this rubric “students are provided with opportunities to use the

feedback or apply it to their work in meaningful ways” requires that students are not only

given feedback and provided with time to review it, but are also provided with structured

opportunities to understand what the feedback means for their specific learning, internalizethe feedback, and move their performance forward. For example, a teacher may provide time

for students to “strive for the next level” where students examine their work, a rubric, and

teacher feedback to revise a performance with the goal of moving up one level on the rubric.

Evidence may also include reference to homework assignments or other opportunities to

revise work prior to a final grade.


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Peer assessment is important for providing students an opportunity to think about the work of their

peers. Research suggests that opportunities to review the work of a peer and to provide feedback are

very beneficial to the person providing the feedback, as well as to the person receiving the feedback.

The rubrics include three dimensions that address distinct aspects of feedback: Individualized Descriptive

Feedback, Feedback Loops and Peer Assessment. This dimension includes the role of student-to-

student feedback, while various approaches to teacher feedback are addressed in Feedback Loops and

Individualized Descriptive Feedback.

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!The rubric makes reference to whether the peer assessment activity is meaningful to students.

This requires a professional judgment on the part of the observer. Observers may draw

on evidence from student comments about the peer assessment task, the degree to which

students seriously engage with the task, how they appear to view its importance, and if thereis follow-through to address any identified deficiencies to make a judgment. An observer may

want to ask students about what they think of the task.

!The rubric refers to the importance of structure and support for the peer assessment process.

Depending on how familiar students are with peer assessment there may be evidence of direct

support for the tasks such as the teacher reminding students about what it means to engage

in peer assessment, why they are doing it, or reminders about what is appropriate feedback

for a peer. In other cases if students are more experienced with this task, the teacher may only

make a brief reference to previous discussions, or it may be clear from how students approach

the task that they no longer need any direct support but can immediately engage with the

task. The amount of structure in a peer assessment task will also vary according to students’

ages and experiences, but it should be clear whether students are expected to provide written

or oral feedback to their peers and when that feedback is to be provided.

!The rubric requires a professional judgment about the impact of the peer assessment in terms

of whether the information is used by the students receiving the feedback.


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Self-assessment is important because it provides students with an opportunity to think meta-cognitively

about their learning. Research suggests that improved understanding of one’s own learning is a critical

strategy that can lead to improvements in learning.

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formative assessment rubrics and observation tools document

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