SECTION 3: PRINCIPLES AND PRACTICES OF ASSESSMENT
Table of Contents – click to visit a specific section
3.1 Principles and requirements of assessment ................................................................. 2
3.2 Types of Assessment ................................................................................................... 6
3.3 Planning Assessment .................................................................................................. 8
3.4 Involving others in the assessment process. ................................................................. 3
3.5 Making assessment decisions ...................................................................................... 5
3.6 Quality Assurance in Assessment ................................................................................ 6
3.7 Managing assessment information. ............................................................................ 7
Feedback and Questioning ................................................................................................ 7
Further reading .............................................................................................................. 11
3.1 Principles and requirements of assessment
Assessment is an integrated part of the teaching process. It allows us to
determine if the teaching we are delivering is being effective as it gives us a
measure of the level, depth and extent to which learning has been effective.
A good quality assessment will seek to identify the most important areas of
learning, recapping key content and allowing a teacher to provide learners with
constructive feedback either in groups or on an individual basis.
It is important to ensure that assessment is always set to the right level for the
qualification, learners and purposes of the learning taking place.
The Assessment Cycle
The assessment cycle is a process which a teacher follows in order to ensure that
assessment is fit for purpose. It ensures that learners get a positive experience
from the process. The assessment cycle contains the following elements:
Initial
assessment
Review of Assessment
progress planning
Decision and Assessment
feedback activity
Source: Principles and Practices of assessment. Gravells, A. Sage Publishing (2016)
• Initial assessment - Find out what they already know.
• Assessment planning - Decide types and methods of assessment
• Assessment activity - Deliver the assessment.
• Decision and feedback - Make judgements & communicate them.
• Review progress - Review achievement and discuss issues.
Responsibilities of an assessor
The main role of the assessor is to carry out a range of assessment activities
which are in line with the qualification specification or program outcomes of the
subject you are assessing. As an assessor your roles and responsibilities may
include:
• Coaching learners where required
• Maintaining secure and accurate records
• Following relevant policies and procedures
• Removing barriers to fair assessment
• Implementing quality assurance action points.
• Working with others involved in the assessment process
• Reviewing learner progress
• Supporting learners with special requirements
• Maintaining your own professional competence
Regulation and codes of practice
Regulatory requirement usually refers to specific industries and will often be
accompanied by codes of practice which are normally determined by
organisations or industry bodies. Laws are passed by parliament. It is important
that you ensure your knowledge in regulatory requirements and codes of
practice are regularly updated to ensure best practice is maintained. There are
a number of general pieces of legislation that you should be aware of:
• Health and Safety at Work Act (1974)
• Copyright Designs and Patents Act (1988)
• Freedom of Information Act (2000)
• The Equality Act (2010)
• Data Protection Act (2018)
• Children Act (2004)
• COSHH Regulations (2002)
• Food Hygiene Regulations (2006)
• RIDDOR (1995)
Your organisation or industry body may have policies on the following:
• Use of ICT equipment
• Code of conduct
• Lone working
• Disciplinary
3.2 Types of Assessment
There are many types of assessment that you may use. The assessment type
will be determined by the subject being assessed, the learners and their prior
knowledge, time available, resources available etc. In many cases a range of
different types of assessment may be used throughout a program including:
Formative assessment is a continuous process which happens throughout a
learning program. This could include quizzes skills tests, questions, practical
activities. Whichever method you use to deliver your formative assessment
there should always be continuous feedback throughout.
Summative assessment is where a final assessment is completed at the end of
a program or session. Methods used to assess learners often include exams,
tests or interviews.
Initial Assessment often takes place before learning commences and may even
be part of the application process. This will help teachers to understand and
specific learner needs, what is the prior knowledge, what are their preferred
learning styles and will any adaptations need to be made during the assessment
process for this learner.
It is important to remember that assessments can be formal such as exams or
tests where the program leads to a qualification, but equally teachers use
informal assessments which are not part of the qualification but help teachers
identify learning has taken place.
Methods of Assessment
Methods of assessment are the activities which take place in order to assess
competency. The table below identifies some of the main methods of
assessment which can be used within any of the types of assessment.
Method Strengths Limitations Adaptations
Observations Assessing real life Learners may not Extra time given
skill. Can be used perform well or equipment
to assess many under pressure. used to complete
criteria at once. the task.
Witness Gives evidence to Possible bias or Verification
testimony support other prejudice from checks for the
assessment the witness. Is witness.
methods. May be the witness
used to confirm properly qualified
prior learning. to make
judgements?
Essays Allows the Literacy skills Needs careful
development of need to be high. planning and
critical thinking. Time consuming needs a marking
Best for theory to mark, speakers scheme. Extra
subjects. of other time for speakers
languages at a of other
disadvantage. languages.
Multiple choice Used for testing Time consuming Question papers
questions many subjects. and difficult to in different colour
Easy to write good paper/large print.
administer and quality questions. Different
mark. Difficult to test language
attitude or translations can
thinking skills. be provided.
Projects and Provide evidence May not provide Electronic
assignments of knowledge and evidence of methods for
attitudes. competence. display and
completion.
3.3 Planning Assessment
Holistic assessment helps us to assess learners by allowing them to demonstrate
competence in several criteria from different aspects of the program or
qualification at the same time.
It is important that holistic assessment is planned properly for the maximum
benefit to learner and assessor. For example, it is often good practice to sit
down with a learner before the holistic assessment is planned to find out what
their job role is or what prior existing knowledge they already have. This can
help us to decide which criteria we are likely to capture evidence for.
Holistic assessment is often used in in the workplace to identify occupational
competence either as part of training or following training. The holistic
assessment may provide all the evidence you require and you can update the
assessment documentation. However, if the assessment doesn’t meet the
requirements you have outlined in your plan there may be an opportunity to set
targets and action plan for the future.
Assessment risks
Assessment can be a very enjoyable and rewarding process. As an assessor we
should be aware that there may be a number of risks that will affect you and
your learners. It is important to be aware of these and reduce the risk by
adequate planning.
Some risks involved in assessment include:
• Assessing at the wrong level
• A lack of assessor knowledge
• Not understanding a learner’s individual needs
• Use of inappropriate assessment activities.
• Not having sufficient time
• Attempted cheating by learners
• Lack of resources available
• Favouritism by an assessor
• Pressure on assessors to pass learners
• Disruptions
• Inappropriate assessment types and methods planned
3.4 Involving others in the assessment process.
It is important that a learner involved in the assessment process is given all the
relevant information. If a learner does not fully understand what is expected of
them they are unlikely to achieve.
Learners and others involved in assessment should know where they can access
information regarding the venue, timings, assessment methods, assessor(s),
grading process and any appeals processes that your organisation may have in
place.
Other people that may be involved in the assessment include other assessors or
examiners, administration staff, clients. There should be clear lines of
communication between all these other people involved in assessment to
ensure the process runs smoothly.
Peer and Self-Assessment
Peer assessment is used when learners assess each other’s knowledge, skills or
performance. This type of assessment is particularly powerful and also
encourage learners to share best practices and knowledge. Peer assessment
also develops the skills of giving constructive feedback, as a learner may have to
suggest areas for a peer to improve upon. Peer assessment will require careful
planning by the teacher to ensure that the learners are aware of what is
expected and how they should conduct themselves when giving feedback.
Self-assessment is undertaken by a learner on their own performance. Self-
assessment will help a learner to develop analytical skills, as a learner has to be
able to analyse what they did well at and what they could improve upon. Self-
assessment can also improve learning and continued development.
There are a number of benefits to using peer and self-assessment. They both
promote learner involvement in the assessment process. In order to self or peer
assess, a learner must have an understanding of exactly what is being assessed.
3.5 Making assessment decisions
We need to ensure that all assessments that take place provide sufficient
evidence of learner achievement. There are a number of recognised principles
for ensuring that assessment meets learner and program needs – known as
VACSR.
Valid - Appropriate to the subject or qualification.
Authentic - It is the learners own work.
Current - The work is relevant at the time of assessment.
Sufficient - It covers all of the assessment criteria/ learning outcomes.
Reliable - The work is consistent and at the required level.
Additionally, teachers can use the SMART principles when planning their
assessments.
Specific - It assess the criteria and no more.
Measured - It can be assessed against specific criteria.
Achievable - It is set at the right level for learners to achieve.
Realistic - The assessment is relevant and will give reliable results.
Timed - There is appropriate time allowed for the assessment.
Assessment methods can be adjusted to encourage inclusivity. For example,
some learners may prefer to provide written evidence during assessment and
some learners may prefer to provide a practical demonstration.
3.6 Quality Assurance in Assessment
Quality assurance is a vital activity when delivering qualifications and courses.
It is the responsibility of all teachers and ensures learners are given the best
possible standard of teaching.
Teachers must ensure they follow the internal quality assurance (IQA)
requirements defined by awarding organisations or within organisation
themselves. Internal quality assurance activities can include; observations of
teachers, learner interviews, sampling of portfolios/ assessment evidence and
assessor feedback and standardisation meetings. Teachers should attend
regular meetings with their teams to discuss any qualification updates, policy
updates and share best practice. The function of Internal Quality Assurance is:
• Monitoring the quality of teaching within a provider
• Highlight any problems, trends and development needs of teachers
• Ensure all procedures and policies within a provider are adhered to and
maintained by staff.
Internal quality assurance reviews:
• The knowledge, experience and competency of teachers
• How well learners meet the assessment criteria and learning outcomes of
a qualification or course
• The standard of delivery sessions
• The records and reports kept by a provider on learner performance and
progress.
3.7 Managing assessment information.
It is important for teachers to maintain records for all aspects of the assessment
cycle to demonstrate learner achievement if required. It is also important that
records are kept for quality assurance processes that may take place in your own
organisation.
If you are delivering regulated qualifications, the awarding organisation will
have specific requirements for the safe storage of information relating to the
assessment process, learner achievement, internal verification and external
verification. It is important that all paperwork is stored safety and in line with
data protection requirements. The awarding organisation will normally
stipulate how long these records are kept for.
Feedback and Questioning
Feedback is a vital element of teaching. Feedback can motivate a learner and
give a learner recognition for their work. Feedback should both identify what a
learner has done well and also identify development points for future
improvements.
There are different types of feedback that can be given, such as verbal, written,
positive, encouraging and constructive. Whatever format feedback is given
there are some basic principles that should be observed:
Realistic - Make sure that goals are achievable.
Negotiable - Involving learners can help them take responsibility.
Specific - Don’t generalise, be specific using examples.
It is good practice to also obtain feedback from learners who have completed a
course or qualification, or whilst they are still undertaking a course or
qualification. Feedback can be used to inform the planning of future sessions.
Learners may offer ideas for a teacher to plan certain aspects of a course or
lesson a little differently in the future. There are a number of ways a teacher
can obtain feedback, for example:
• Questioning individual learners
• Encouraging learners to complete evaluation forms, surveys and
questionnaires and to give verbal and/or written feedback.
3.8 Legal and good practice requirements
Technology is an important area to consider in modern assessment practice. We
should always seek to identify our learners’ capability in the use of ICT systems.
It would be unfair to ask a learner to complete an online assessment if they were
unclear of how to use the computer equipment to access the assessment,
similarly, we may want to consider the use of adaptive technology such as
screen reader software of text enlargement software to help those with sight
problems. The use of technology might include:
• E-learning and E-portfolios for assessment evidence
• Chat rooms and blogs
• Discussion forums
• The internet
• Video / web conferencing
• On demand tests
• Browser lockdown and anti-cheating software
• Social media
Continued Professional Development (CPD)
Continued professional development (CPD) ensures a teacher’s knowledge and
skills are maintained and current. It is vital a teacher reflects on their practice
and undertakes regular CPD activities in order to improve on their performance,
and in turn improve the development of their learners.
CPD allows teachers to gain a greater understanding of their job roles and
improve their performance. Reflective practice allows a teacher to identify what
they could do differently if a situation arose again in the future. Reflective
Practice and CPD activities are both valuable tools for the development and
progression of a teacher, which will also in turn benefit their learners and the
provider they work for.
Further reading
Gravells, A. 2016. Achieving your Assessment and Quality Assurance Units
(TAQA). Sage Publishing. London.
Gravells, A. 2016. Principles and Practices of Assessment. Sage Publishing.
London.
Fleming N & Mills C (1992) Not Another Inventory, Rather a Catalyst for
Reflection To Improve the Academy.
Gould, J (2014) Learning Theory and Classroom Practice in the Lifelong
Learning Sector (2nd Edn). London: Learning Matters.
Honey, P and Mumford, A (1992) The Manual of Learning Preferences (3rd
Edn). Maidenhead: Peter Honey Associates.
Kolb, DA (1984) Experiential Learning: Experience as the source of learning and
development. New Jersey: Prentice-Hall.
Maslow, AH (1987) (edited by Frager, R) Motivation and Personality (3rd
revised Edn). New York: Pearson Education Ltd.
Petty, G. (2004) Teaching Today. 3rd Edition. Cheltenham: Nelson Thornes Ltd.
Useful Websites
Department for Education
www.gov.uk/government/organisations/department-for-education
Education and Training Foundation
www.et-foundation.co.uk
Equality and Diversity forum
www.edf.org.uk
Ofqual
www.ofqual.gov.uk
Health and Safety Executive
www.hse.gov.uk
CTC Training and Development Limited.
Suite 5, Pemberton House, Stafford Park 1,
Telford. Shropshire. TF3 3BD
[email protected]
www.ctccourses.org
01952 769025
