Yale Center for Teaching and Learning

Formative and Summative Assessments

Assessment allows both instructor and student to monitor progress towards achieving learning objectives, and can be approached in a variety of ways. Formative assessment refers to tools that identify misconceptions, struggles, and learning gaps along the way and assess how to close those gaps. It includes effective tools for helping to shape learning, and can even bolster students’ abilities to take ownership of their learning when they understand that the goal is to improve learning, not apply final marks (Trumbull and Lash, 2013). It can include students assessing themselves, peers, or even the instructor, through writing, quizzes, conversation, and more. In short, formative assessment occurs throughout a class or course, and seeks to improve student achievement of learning objectives through approaches that can support specific student needs (Theal and Franklin, 2010, p. 151). 

In contrast, summative assessments evaluate student learning, knowledge, proficiency, or success at the conclusion of an instructional period, like a unit, course, or program. Summative assessments are almost always formally graded and often heavily weighted (though they do not need to be). Summative assessment can be used to great effect in conjunction and alignment with formative assessment, and instructors can consider a variety of ways to combine these approaches. 

Examples of Formative and Summative Assessments

Examples of Formative and Summative Assessments
Formative Summative
In-class discussions Instructor-created exams
Clicker questions Standardized tests
Low-stakes group work Final projects
Weekly quizzes Final essays
1-minute reflection writing assignments Final presentations
Homework assignments Final reports
Surveys Final Grades

Both forms of assessment can vary across several dimensions (Trumbull and Lash, 2013): 

  • Informal / formal
  • Immediate / delayed feedback
  • Embedded in lesson plan / stand-alone
  • Spontaneous / planned
  • Individual / group
  • Verbal / nonverbal
  • Oral / written
  • Graded / ungraded
  • Open-ended response / closed/constrained response
  • Teacher initiated/controlled / student initiated/controlled
  • Teacher and student(s) / peers
  • Process-oriented / product-oriented
  • Brief / extended
  • Scaffolded (teacher supported) / independently performed 

Recommendations

Formative Assessment   Ideally, formative assessment strategies improve teaching and learning simultaneously. Instructors can help students grow as learners by actively encouraging them to self-assess their own skills and knowledge retention, and by giving clear instructions and feedback. Seven principles (adapted from Nicol and Macfarlane-Dick, 2007 with additions) can guide instructor strategies:

  • Keep clear criteria for what defines good performance - Instructors can explain criteria for A-F graded papers, and encourage student discussion and reflection about these criteria (this can be accomplished though office hours, rubrics, post-grade peer review, or exam / assignment wrappers). Instructors may also hold class-wide conversations on performance criteria at strategic moments throughout term.
  • Encourage students’ self-reflection - Instructors can ask students to utilize course criteria to evaluate their own or a peer’s work, and to share what kinds of feedback they find most valuable. In addition, instructors can ask students to describe the qualities of their best work, either through writing or group discussion.
  • Give students detailed, actionable feedback - Instructors can consistently provide specific feedback tied to predefined criteria, with opportunities to revise or apply feedback before final submission. Feedback may be corrective and forward-looking, rather than just evaluative. Examples include comments on multiple paper drafts, criterion discussions during 1-on-1 conferences, and regular online quizzes.
  • Encourage teacher and peer dialogue around learning - Instructors can invite students to discuss the formative learning process together. This practice primarily revolves around midterm evaluations and small group feedback sessions, where students reflect on the course and instructors respond to student concerns. Students can also identify examples of feedback comments they found useful and explain how they helped. A particularly useful strategy, instructors can invite students to discuss learning goals and assignment criteria, and weave student hopes into the syllabus.
  • Promote positive motivational beliefs and self-esteem - Students will be more motivated and engaged when they are assured that an instructor cares for their development. Instructors can allow for rewrites/resubmissions to signal that an assignment is designed to promote development of learning. These rewrites might utilize low-stakes assessments, or even automated online testing that is anonymous, and (if appropriate) allows for unlimited resubmissions.
  • Provide opportunities to close the gap between current and desired performance - Related to the above, instructors can improve student motivation and engagement by making visible any opportunities to close gaps between current and desired performance. Examples include opportunities for resubmission, specific action points for writing or task-based assignments, and sharing study or process strategies that an instructor would use in order to succeed.
     
  • Collect information which can be used to help shape teaching - Instructors can feel free to collect useful information from students in order to provide targeted feedback and instruction. Students can identify where they are having difficulties, either on an assignment or test, or in written submissions. This approach also promotes metacognition, as students are asked to think about their own learning. CTL staff can also perform a classroom observation or conduct a small group feedback session that can provide instructors with potential student struggles. 

Instructors can find a variety of other formative assessment techniques through Angelo and Cross (1993), Classroom Assessment Techniques (list of techniques available here).

Summative Assessment   Because summative assessments are usually higher-stakes than formative assessments, it is especially important to insure that the assessment aligns with the goals and expected outcomes of the instruction.  

  • Use a Rubric or Table of Specifications - Instructors can use a rubric to lay out expected performance criteria for a range of grades. Rubrics will describe what an ideal assignment looks like, and “summarize” expected performance at the beginning of term, providing students with a trajectory and sense of completion. 
  • Design Clear, Effective Questions - If designing essay questions, instructors can insure that questions meet criteria while allowing students freedom to express their knowledge creatively and in ways that honor how they digested, constructed, or mastered meaning. Instructors can read about ways to design effective multiple choice questions.
  • Assess Comprehensiveness - Effective summative assessments provide an opportunity for students to consider the totality of a course’s content, making broad connections, demonstrating synthesized skills, and exploring deeper concepts that drive or found a course’s ideas and content. 
  • Make Parameters Clear - When approaching a final assessment, instructors can insure that parameters are well defined (length of assessment, depth of response, time and date, grading standards); knowledge assessed relates clearly to content covered in course; and students with disabilities are provided required space and support.
  • Consider Blind Grading - Instructors may wish to know whose work they grade, in order to provide feedback that speaks to a student’s term-long trajectory. If instructors wish to provide truly unbiased summative assessment, they can also consider a variety of blind grading techniques.

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References

Nicol, D.J. and Macfarlane-Dick, D. (2006) Formative assessment and self‐regulated learning: a model and seven principles of good feedback practice. Studies in Higher Education 31(2): 2-19.

Theall, M. and Franklin J.L. (2010). Assessing Teaching Practices and Effectiveness for Formative Purposes. In: A Guide to Faculty Development. KJ Gillespie and DL Robertson (Eds). Jossey Bass: San Francisco, CA.

Trumbull, E., & Lash, A. (2013). Understanding formative assessment: Insights from learning theory and measurement theory. San Francisco: WestEd.