1. K-3 Formative Assessment Process: The Vision
Let’s begin with an overview of the K-3 Formative Assessment.

2. K-3 Formative Assessment Process
Third Grade
Second Grade
First Grade
Kindergarten
KEA
The K-3 Formative Assessment Process provides tools for teachers to use to gather information about students throughout the school year for Kindergarten, First, Second, and Third Grades. This evidence of learning is collected from families, PreK teachers, other building educators, as well as during classroom observations, conversations, work samples and activities facilitated by teachers. Teachers use this variety of evidence to plan daily instruction and support children’s growth and development.
Notice that the boundaries between the different grades are blurred on this diagram. This is because there isn’t a “First Grade Assessment” or a “Third Grade Assessment”. Rather, the K-3 formative assessment tools were written to support growth and development of children, ages 3 to 10. Therefore, a teacher can tailor the use of the tools based on the students’ current development and understanding.
Also, notice the dark purple circle within the Kindergarten section of the diagram. A portion of this K-3 Formative Assessment Process includes a “Kindergarten Entry Assessment”. While teachers collect evidences throughout the year to inform teaching and learning, only data collected during the first 60 days of Kindergarten is entered into the state's longitudinal data system.

3. K-3 Formative Assessment Process
A process used by teachers and students during instruction that provides feedback to adjust ongoing teaching and learning to help students improve their achievement of intended instructional outcomes.
AERA/APA/NCME, 2014
CCSSO, 2006
As just stated, this K-3 Process is formative, meaning that teachers collect and use a variety of evidence to plan daily instruction and support children’s growth and development. In contrast to summative assessment, formative assessment occurs in an ongoing manner during - rather than separate from or at the end of- instruction. Evidence gathered helps teachers identify where students are currently in their learning and informs next steps with instruction. Thus, the K-3 Formative Assessment is a process rather than an instrument to be administered.
NCDPI adopted this definition of formative assessment and the Department recognizes formative assessment as an important component of 21st Century Assessment. Recently (2014), this definition was also adopted by AERA, APA, NCME.
AERA:  American Education Research Association
APA:  American Psychological Association
NCME: National Council on Measurement in Education

4. Formative Assessment is an important component of NC’s Comprehensive Balanced Assessment System. This system includes classroom assessments, interim/benchmark assessments, and statewide assessments that are aligned to state standards. Each component is important and should be valued for what it contributes.
Notice that Formative Assessment is the largest component of this system, and it is located at the base of this system indicating that is is the foundation of the assessment system. Thus, formative assessment occurs more frequently than interim/benchmark and summative assessment.
For more information on NC Balanced Assessment System, visit:

5. Educating the Whole Child: 5 Domains of Learning and Development
The K-3 Formative Assessment Process focuses on the whole child. This means that it addresses five domains of learning and development. Research clearly indicates the importance of attending to and supporting children’s growth and development in all of these areas especially since children’s development in one area impacts their development in other areas.
Many of our NC Standards fall within these domains. For example, Math, Science, Social Studies and the Arts fall within the Cognitive Development Domain.

6. K-3 Formative Assessment Process
Domain
Constructs
Approaches to Learning
Engagement in Self-Selected Activities
Perseverance in Assigned Activities
Cognitive Development
Object Counting
Cognitive Process TBD
Emotional-Social Development
Emotional Literacy
Emotion Regulation
Health & Physical Development
Fine Motor Development
Gross Motor Development
Midline Motor Development
Language Development & Communication
Following Directions
Letter Naming
Book Orientation & Print Awareness
Vocabulary
Writing
Reading Comprehension: Monitoring Meaning
While there are many aspects of each of the 5 domains that are important to student success, the NC Think Tank and the NC Assessment Design Team carefully selected these constructs, or concepts, within each domain to focus on within this formative process. The team based these decisions on various aspects including what research identified to be most critical for long term student success, what K-3 teachers found to be important, and alignment to the NCSCOS.
NOTE: This list identifies current constructs. Based on feedback from the field and other factors such as NC SCOS revisions, these constructs and the assessment tools to support this process will be revisited and enhanced over time.

7. 2015-2016 Required Constructs Object Counting
Domain
Constructs
Approaches to Learning
Engagement in Self-Selected Activities
Perseverance in Assigned Activities
Cognitive Development
Object Counting
Cognitive Process TBD
Emotional-Social Development
Emotional Literacy
Emotion Regulation
Health & Physical Development
Fine Motor Development
Gross Motor Development
Midline Motor Development
Language Development & Communication
Book Orientation & Print Awareness
Following Directions
Letter Naming
Reading Comprehension: Monitoring Meaning
Vocabulary
Writing
NCDPI listened carefully to the validity pilot participants and used their feedback to make decisions. During pilot, teachers found it overwhelming to learn the new assessment content (construct progressions including student performance descriptors, sample assessment situations and assessment tasks) in addition to learning the assessment process and the use of the new web-based platform and digital tools.
To address this challenge, the Office of early Learning worked with the General Assembly to narrow the number of constructs to be assessed during initial statewide implementation. By focusing on these 2 highlighted constructs that are familiar to teachers and administrators and for which current assessment methods currently exist, a greater amount of attention can be placed on strengthening formative assessment practices and learning the technical aspects of the web-based system used to capture and collect evidences of learning.
Therefore, in , Kindergarten teachers will be required to focus on Object Counting and Book Orientation & Print Awareness.

8. 2015-2016 Optional Constructs Object Counting
Domain
Constructs
Approaches to Learning
Engagement in Self-Selected Activities
Perseverance in Assigned Activities
Cognitive Development
Object Counting
Cognitive Process TBD
Emotional-Social Development
Emotional Literacy
Emotion Regulation
Health & Physical Development
Fine Motor Development
Gross Motor Development
Midline Motor Development
Language Development & Communication
Book Orientation & Print Awareness
Following Directions
Letter Naming
Reading Comprehension: Monitoring Meaning
Vocabulary
Writing
NCDPI recognizes the importance of focusing on the whole child. Therefore, during the school year, materials for other areas of development will also be available for use as determined by the district, school, and classroom teacher (Emotional Literacy, Engagement in Self-Selected Activities, Fine Motor, Following Directions, Letter Naming, & Mid-Line Motor Development).
Districts, schools, and teachers are encouraged to explore and become familiar with the other constructs during the school year so they will be well-prepared for , when Kindergarten teachers will be required to address all highlighted constructs.

9. K-3 Formative Assessment Vision
4 Key Points
Let’s summarize by looking at 4 Key Points of the K-3 Formative Assessment Vision.

10. KEY POINT 1
K-3 Formative Assessment Process focuses on the whole child: 5 Domains of Learning and Development
The K-3 Formative Assessment Process focuses on the whole child. This means that it includes attention to areas beyond those typically assessed (e.g., mathematics and literacy). We know that each area of development impacts other developmental areas. For example, if a child does not feel well, he or she may not approach a new task with vigor and interest or remember the two-step directions that were given. Therefore, when we think about and plan for children’s learning and development, we need to consider the whole child.

11. KEY POINT 2
This K-3 formative assessment process occurs during instruction rather than as an isolated event apart from instruction.
The K-3 Formative Assessment Process was developed in accordance to the definition of formative assessment, as adopted by NCDPI: Formative Assessment is a process used by teachers and students during instruction that provides feedback to adjust ongoing teaching and learning to help students improve their achievement of intended instructional outcomes. AERA/APA/NCME, 2014; CCSSO, 2006
This process is intended to be a part of instruction and not something that takes time away from instruction.

12. KEY POINT 2
There are a variety of ways to learn about students during instruction
observe students working
ask probing questions
listen to student thinking
review student work
Throughout the day, the teacher facilitates learning experiences. While children are working on assigned activities by the teacher and self-selected activities chosen by the students, the teacher is able to learn about the students by what they make, do, say or write. Therefore, teachers learn about their students by observing, asking probing questions, listening to what children are saying, and examining student work. This occurs as the teacher is teaching and the student is learning.

13. KEY POINT 2
Teachers can learn about students throughout the day in a variety of settings
whole group
small group
centers/stations
individual
When a classroom schedule allows for a variety of groupings (whole, small, centers, stations, individual), the teacher is able to learn about the students in a variety of contexts. In addition, the students are able to learn, practice, and further develop skills and understandings in a variety of settings.

14. KEY POINT 3
A teacher can collect evidence about students using a variety of strategies:
talk with families
take photos
record student conversations
write anecdotal notes
collect work samples
incorporate evidence from other school educators (e.g., PE, OT, Speech, ELL)
Multiple strategies can be used to capture student understanding- both those we are already using and new methods. Using the electronic platform, these data are captured quickly, compiled for easy referral, and used to document learning and plan instruction.

15. KEY POINT 4 Evidence is used to guide instruction:
identifies what students know and are able to do and where to head next
helps to plan and adjust instruction in an ongoing manner
helps to meet the needs of all students
Teachers use a variety of data to better understand what their students know and are able to do. This helps teachers plan and adjust instruction in an ongoing manner; thus, supporting the teachers’ efforts to meet the needs of all of the students.

16. Structures for Implementation
The way in which this K-3 Formative Assessment Process will be implemented statewide is a bit different from the way statewide rollouts have occurred in the past (e.g., train-the-trainer). Using the most recent research about effectively scaling up statewide initiatives so that they are sustainable and successful, NCDPI will partner with District Teams to begin putting in place components that will support implementation of the K-3 Formative Assessment Process as well as future district/statewide initiatives.

17. Why Focus on Implementation?
Implementation is defined as a specified set of activities designed to put into practice an activity or program of known dimensions.
RESEARCH
IMPLEMENTATION
PRACTICE
GAP
Over the past several decades, considerable research, policy and funding have been focused on the development and use of evidence-based programs and practices including formative assessment. However, formative assessment is only effective when fully implemented in the classroom. We often see in classrooms where certain aspects of the formative assessment process have been implemented, such as the use of exit tickets and the posting of learning goals on the board, but the research supports the use of all components of the process to experience the gains in student learning that we hope to see.
Despite the promising outcomes that these research-based practices can impact, there needs to be additional effort put into fully implementing them. This produces a gap between the research behind the practices and their successful implementation in the classroom. This has caused a gap that needs to be bridged by putting more emphasis on implementation. Why put our focus here? Because students cannot benefit from practices that do not occur in the classroom.
Why Focus on Implementation?
Students cannot benefit from interventions they do not experience.

18. Implementation Teams
Implementation Teams have been called a new lever for organization change in education (Higgins, Weiner, & Young, 2012)
Research has shown that, without the use of implementation teams that keep a focus on implementation infrastructures, it takes an average of 17 years to achieve full implementation in only14% of sites. However, with the support of implementation teams, we can reach full implementation in 80% of sites, in only 3 years. And that difference of 14 years is the full career of a generation of students!

19. Linked Team Structures
School-based
Implementation Team
District-based
Regionally-based
State-based
Implementation Teams
To support the implementation of the K-3 Formative Assessment Process, the Office of Early Learning has created two structures: the State Implementation Design Team, which plans for and supports Regional Implementation Teams, which have also been created to support you.
NCDPI has asked districts to form a District-level Implementation Team to attend 4 regional meetings. Regular communication between each level of the system (represented by the arrows), school, district, regional and state, is key in order to quickly address potential barriers to implementation and to share successful implementation practices across a district or between districts.

20. Regional Implementation Team
Provides support to District Implementation Teams in the development of implementation plans
Regional Meetings
Ongoing support tailored to the needs of each district
Regional Implementation Teams (RITs) guide the development of, and provide ongoing support to, District Implementation Teams.
RITs do this work through a technical assistance approach, which includes these four regional meetings as well as ongoing support that is tailored to the individual needs of each District Implementation Team. Again, regular communication is key to successful implementation, so part of the District Implementation Team’s planning for communication will be to think about the District Team might communicate progress with NCDPI, the Regional Implementation Team, between regional meetings.

21. District Implementation Teams
Create and put a district implantation plan in place
Assess the fidelity of implementation
Communicate progress with all stakeholders
Identify and remove barriers that might make implementation more difficult for teachers
District Implementation Teams will create an implementation plan for the school district and then put the plan in place.
The Implementation Design Team has clearly defined the implementation of the K-3 Formative Assessment Process in the classroom. From this, measures are being developed to be used for regular data collection and review to assess the fidelity of implementation. The purpose of the data collected will be to determine the effectiveness of the training and other supports provided to teachers as the are learning how to use these new resources and practices in the classroom.
District Implementation Teams keep all stakeholders informed through regularly scheduled, frequent communication with school-based personnel and the Regional Implementation Team, and transparent communication practices with stakeholders.
District Implementation Teams also look at identifying barriers to successful implementation – things such as schedules, access to data, district policies, etc. – and take on accountability for making the necessary changes in these barriers to support the successful implementation of the new work.

22. Supporting Teachers
Supported by NCDPI Implementation Teams by way of coaching and technical assistance, District Implementation Teams will support the scale-up of the K-3 Formative Assessment Process by:
Analyzing data for implementation support and sustainability
Supporting educators in the use of digital tools to help gather and organize evidence of learning
Providing resources and professional development regarding collecting evidence of learning, using the evidence collected to map where children are on the progression and deciding what instructional steps come next.
Providing resources, tools, and professional development regarding effective use of formative assessment in the classroom
Identifying resources that will help teachers align instruction with the NC Standard Course of Study.
Discovery Education's Clip Art Gallery created by Mark A. Hicks, illustrator