The role of using self assessment and peer assessment in efl speaking skills to promote learner autonomy of non english major students at ho chi minh city university of science a thesis submitted in partial fulfillment

The present quasi-experimental study examined 1 the effect of self-assessment on learner autonomy development, 2 the effect of peer-assessment on learner autonomy development and 3 diffe

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PHAN THI MINH THAO

THE ROLE OF USING SELF-ASSESSMENT AND

PEER-ASSESSMENT IN EFL SPEAKING SKILLS TO PROMOTE LEARNER AUTONOMY OF NON-ENGLISH MAJOR STUDENTS AT HO CHI MINH CITY UNIVERSITY

OF SCIENCE

MASTER OF ARTS IN TESOL

HO CHI MINH City, 2019

MINISTRY OF EDUCATION AND TRAINING

HO CHI MINH CITY OPEN UNIVERSITY

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PHAN THI MINH THAO

THE ROLE OF USING SELF-ASSESSMENT AND

PEER-ASSESSMENT IN EFL SPEAKING SKILLS TO PROMOTE LEARNER AUTONOMY OF NON-ENGLISH MAJOR STUDENTS AT HO CHI MINH CITY UNIVERSITY

STATEMENT OF AUTHORSHIP

I certify that this thesis entitled “The role of using self-assessment and peer-assessment in EFL speaking skills to promote learner autonomy of non-English major students at Ho Chi Minh City University of Science” is my

own work Except where reference is made in the text of the thesis, this thesis contain material published elsewhere or extracted in whole or in part from a thesis

by which I have qualified for or been awarded another degree or diploma No other person‟s work has been used without due acknowledgement in the main text of the thesis

This thesis has not been submitted for the award of any degree or diploma in any other tertiary institution

Ho Chi Minh City, 2019

PHAN THI MINH THAO

ACKNOWLEDGEMENTS

First and foremost, I would like to express my very profound gratitude to my teacher and supervisor, Dr Đặng Tấn Tín, for all of his valuable guidance and encouragement This thesis could not have been completed without his dedicated support

I would also like to send my deep gratefulness to all the lecturers, who taught me invaluable knowledge at the Master program in Ho Chi Minh City Open University, Vietnam This background was really essential for the fulfillment of this thesis

My sincerest thanks also go to the Board of Administrators and other members of Foreign Languages Center, HCMC University of Science, who directly or indirectly contributed to the implementation of my Master journey

I particularly thank all of my students who participated enthusiastically in my study They all were really supportive and eager during the time I conducted my study

I am extremely grateful to my colleagues at HCMC University of Science, especially Ms Trương Diệp Thanh An who always supports and gives me valuable experience to finish my master journey

Last but not least, my deepest gratitude goes to my family members and my beloved husband, for their unconditional love and care Without them, this thesis would have never been completed

ABSTRACT

The effects of self-assessment and peer-assessment on learner autonomy have significantly been researched in EFL education However, very few studies have been conducted to find out the effects of these two kinds of assessment on each dimension

of learner autonomy and compare the effects of these assessment practices on learner autonomy dimensions The present quasi-experimental study examined (1) the effect

of self-assessment on learner autonomy development, (2) the effect of peer-assessment on learner autonomy development and (3) different effects between the two kinds of assessment practices in language use with a focus on speaking skills Eighty-eight first-year non-English majors taking a fifteen-week general English course participated in the study There are forty-nine students in experimental group 1 (self-assessment group) and thirty-nine students in experimental group 2 (peer-assessment group) The participants in the self-assessment group assessed their own work whilst those in the peer-assessment group assessed their peers‟ work Quantitative data was collected from students‟ pre- and post-test questionnaire A paired sample T-test was run to answer research question 1 and 2, and an independent sample T-test was run to answer research question 3 Three key findings were revealed in the study First, through the use of self-assessment, dimensions 2, 3, 4, and 5 (planning, initiating, monitoring, and evaluating, respectively) in students‟ learner autonomy were significantly enhanced Second, the peer-assessment implementation also considerably promoted students‟ learner autonomy dimensions

2, 3, 4, and 5 (planning, initiating, monitoring, and evaluating, respectively) Third, although both self-assessment and peer-assessment developed these four learner autonomy dimensions, there is a small difference between the two kinds of assessment on dimension 3 (initiating) The effect of self-assessment on students‟ learner autonomy dimension 3 surpassed that of peer-assessment These findings give insights to L2 teachers who intend to apply these assessment practices to their

classrooms to enhance students‟ learner autonomy

TABLE OF CONTENTS

STATEMENT OF AUTHORSHIP i

ACKNOWLEDGEMENTS ii

ABSTRACT iii

TABLE OF CONTENTS iv

LIST OF FIGURES viii

LIST OF TABLES ix

LIST OF ABBREVIATIONS xi

CHAPTER 1 INTRODUCTION 1

1.1 Background to the study 1

1.2 Statement of the problem 4

1.3 Personal motivation 6

1.4 Purpose of the study 7

1.5 Research questions 7

1.6 Significance of the study 8

1.7 Scope of the study 8

1.8 Overview of the chapters 9

1.9 Definitions of key terms 10

CHAPTER 2 LITERATURE REVIEW 11

2.1 Learner autonomy 11

2.1.1 Definition of learner autonomy 11

2.1.2 Dimensions of learner autonomy 13

2.2 Assessment as learning 18

2.3 Self-assessment as learning 21

2.3.1 Definition 21

2.3.2 Process of self-assessment as learning 22

2.4 Peer-assessment as learning 26

2.4.1 Definition 26

2.4.2 Process of peer-assessment as learning 27

2.5 The relationship between learner autonomy and alternative assessment 30

2.5.1 The relationship between learner autonomy and self-assessment 30

2.5.2 The relationship between learner autonomy and peer-assessment 32

2.5.3 Comparing the effect of self-assessment and peer-assessment on learner autonomy 33

2.6 Studies related to the effect of self-assessment and peer-assessment implementation in promoting learner autonomy 36

2.6.1 Studies related to the effect of self-assessment implementation in promoting learner autonomy 36

2.6.2 Studies related to the effect of peer-assessment implementation in promoting learner autonomy 37

2.6.3 Studies related to difference in the effects of self-assessment and peer-assessment on learner autonomy 38

2.6.4 The summary information for studies included in the literature review 40

2.6.5 Research gap 42

2.7 Summary of Chapter 2 44

CHAPTER 3 METHODOLOGY 45

3.1 Research design 45

3.2 Research setting 46

3.3 Participants 48

3.4 Experimental procedures 50

3.4.1 Teaching materials 50

3.4.2 Teaching method 53

3.4.3 Designing speaking tasks and choosing interaction patterns for speaking tasks 54

3.4.4 Designing self-assessment and peer-assessment forms 56

3.4.5 Training students to give feedback themselves and peers feedback based on self-assessment and peer-assessment forms 61

3.5 Research instrument - Pre-post test questionnaire on learner autonomy 69

3.6 Procedures of data collection 72

3.7 Data analysis approach 74

3.7.1 Reliability of the instrument 74

3.7.2 Validity of the instrument 75

3.7.3 T-tests 77

3.8 Chapter summary 78

CHAPTER 4 RESULTS AND DISCUSSION 79

4.1 Reliability of the questionnaire instrument 79

4.2 Results 89

4.2.1 Research question 1 89

4.2.2 Research question 2 92

4.2.3 Research question 3 94

4.3 Discussion of results 97

4.3.1 Research question 1 97

4.3.2 Research question 2 101

4.3.3 Research question 3 103

CHAPTER 5 CONCLUSIONS, IMPLICATIONS, LIMITATIONS AND RECOMMENDATIONS 107

5.1 Conclusions 107

5.2 Pedagogical implications 109

5.3 Limitations 110

5.4 Recommendations for future research 111

REFERENCES 113

APPENDIXES 127

APPENDIX A: 25 SPEAKING TASKS FOR PRACTICE 127 APPENDIX B: 25 SELF-ASSESSMENT FORMS 149 APPENDIX C: 25 PEER-ASSESSMENT FORMS 162 APPENDIX D: ANALYTIC SPEAKING RATING SCALE FOR SELF-ASSESSMENT AND PEER-ASSESSMENT 175 APPENDIX E: TABLE CONTENTS OF MODULE 9-15, NEW CUTTING EDGE COURSEBOOK 177 APPENDIX F: SOME SAMPLES OF SELF-ASSESSMENT AND PEER-ASSESSMENT COMPLETED BY STUDENTS 179 APPENDIX G: STUDENTS‟ PRE - POST TEST QUESTIONNAIRE 180 APPENDIX H: CRONBACH‟S ALPHA LEVEL OF FIVE LEARNER AUTONOMY DIMENSIONS 185

LIST OF FIGURES

Figure 2.1: Self-assessment as learning process 26 Figure 2.2: Peer-assessment as learning process 30

LIST OF TABLES

Table 2.1: A synthesis of dimensions of learner autonomy 17

Table 2.2: Assessment as learning framework 19

Table 2.3: Self-assessment process 22

Table 2.4: Peer-assessment process 28

Table 2.5: A summary of previous studies on the effects of self- and peer-assessment on promoting learner autonomy 40

Table 3.1: Characteristics of participants 49

Table 3.2: New Cutting-Edge speaking skills section Modules 9-15 51

Table 3.3: An example of a speaking task 55

Table 3.4: An example of self-assessment form 59

Table 3.5: An example of peer-assessment form 59

Table 3.6: A sample of speaking task for training 64

Table 3.7: An example of an assessment form 66

Table 3.8: Procedures for self-assessment, peer-assessment and teacher comment activities (22/ 01/ 2018 - 03/06/ 2018) 67

Table 3.9 Description of the questionnaire content 70

Table 3.10: Data collection procedure 73

Table 4.1: Cronbach‟s alpha of Dimension 1 in pre-test and posttest questionnaire (7 items) 80

Table 4.2: Cronbach‟s alpha of Dimension 1 in pre-test and posttest questionnaire (5 items) 81

Table 4.3: Cronbach‟s alpha of Dimension 2 in pre-test and post-test questionnaire (7 items) 82

Table 4.4: Cronbach‟s alpha of Dimension 2 in pre-test and post-test questionnaire (5 items) 83

Table 4.5: Cronbach‟s alpha of Dimension 3 in pre-test and posttest questionnaire (7 items) 84

Table 4.6: Cronbach‟s alpha of Dimension 3 in pre-test and post-test questionnaire (6 items) 85

Table 4.7: Cronbach‟s alpha of Dimension 4 in pre-test and post-test questionnaire

(9 items) 86

Table 4.8: Cronbach‟s alpha of Dimension 5 in pre-test and post-test questionnaire (8 items) 87

Table 4.9: Cronbach‟s alpha of Dimension 5 in pre-test and post-test questionnaire (5 items) 88

Table 4.10: Number of items and Cronbach‟s Alpha of the five dimension scales 89

Table 4.11: Results of Independent samples t-test analysis for five dimensions of LA (pre-test questionnaire) 90

Table 4.12: Results of Paired samples t-test analysis for LA dimensions (SA Group) 91

Table 4.13: Descriptive statistics of LA dimensions (SA Group) 92

Table 4.14: Results of Paired samples t-test analysis for LA dimensions 93

Table 4.15: Descriptive statistics of LA dimensions (PA Group) 94

Table 4.16: Results of Independent samples t-test analysis for four dimensions of LA (post-test questionnaire) 96

Table 4.17: Descriptive statistics of LA dimensions for SA Group and PA Group (post-test questionnaire) 97

LIST OF ABBREVIATIONS

CBI Content-based Instruction

CEFR Common European Framework of Reference for Languages CLT Communicative Language Teaching

EFL/ESL English as a Second/Foreign Language

ELT English Language Teaching

HCM US Ho Chi Minh City University of Science

ICT Information And Communications Technology

SPSS Statistical Package for the Social Sciences

TBLT Task-based Language Teaching

TOEIC Test of English for International Communication

VNU-HCM Vietnam National University Ho Chi Minh City

CHAPTER 1 INTRODUCTION

The purpose of this chapter is to present (1) background to the study, (2) problem statement, (3) objectives of the study, (4) research questions, (5) significance of the study, (6) scope of the study, (7) personal motivation, and (8) overall structure

1.1 Background to the study

Since learner-centered approaches emerged, learner autonomy has been considered an integral part in the field of language learning and teaching According

to Henri Holec, the father of learner autonomy, it is essential that students have the ability to take charge of their own learning (1981) Mattarima and Hamdan (2011) also claimed that learners who own learner autonomy are considered successful in their study due to the fact that autonomous learners decide themselves what to learn, how to learn, and why to learn Moreover, Little (2001) indicated that promoting students to move towards learner autonomy helps them have motivation and engage reflectively with their learning Although learner autonomy is one of the most important factors for students to get success in their study, encouraging students to

be autonomous learners is quite challenging, especially in the country where Confucianism remains strong like Vietnam

Having been strongly affected by the teacher-centered approach, students in Vietnam become passive in their study and gradually follow the “spoon-feeding” learning style Many Vietnamese researchers have reported this issue over the past few decades According to Dang (2010), Vietnamese students are considered passive learners in class and follow rote learning In the class, teachers use dictation

in place of giving students enough opportunities to express themselves Besides, Le (2013) listed five main characteristics of Vietnamese students: (1) respecting teachers as the role model (2) expecting teachers to be an expert in the field and know all the answers, (3) depending too much on teachers for clear and exact guidance, (4) being reluctant to express their own ideas in front of the class due to

being afraid of losing face and outstanding from others, and (5) being under pressure from society and family‟s expectations for successful performance

In addition, Trinh (2005) asserted that with traditional teaching and learning method in the Vietnamese context, teachers primarily conveyed knowledge to their students instead of helping them move towards autonomous learning, and memorization played a integral role in the learning process This author also added that in Vietnam, learning is strongly examination-focused Indeed, examination-focused means following the model of memorization In this kind of learning model, students can only gain knowledge for short-term memory for exams and strengthen their memory capacity Consequently, students only focus on learning product not learning process, which makes them lack learner autonomy

In the same vein, in the Vietnamese context, summative assessment has been mainly used for summarizing and certifying student learning results, whereas formative assessment has not been employed sufficiently in classrooms at any level, particularly in higher education where examinations remain the norm (Huynh & Le,

2009 as cited in Ho, 2015)

To sum up, most of the above-mentioned researchers acknowledged that Vietnamese learners are passive learners, lack critical thinking skills and autonomous learning As aforementioned, there are many reasons for this problematic situation including teacher-centered approach, traditional learning and summative assessment method Among these reasons, the traditional summative assessment method is considered the main one that hinders students from moving towards autonomous learning It is undeniable that being less autonomous causes learners various negative impacts on their learning process, especially in their foreign language learning

Being aware of the difficulties that learners will encounter if they lack learner autonomy, more and more educators are trying to put more innovations in their teaching methodology so that they can help learners develop the ability of learning

independently It is suggested that any teaching practices or strategies which enable learners to control any aspect of their own learning should be considered a way of promoting autonomy (Benson, 2001 as cited in Paulus, 2005)

Lately, there have been numerous methods that language teachers can use to enhance learner autonomy such as alternative assessment, strategy training, negotiated syllabus, and blogs Among those methods, the use of alternative assessment is proved to be beneficial to promoting learner autonomy because of three factors (Brown & Hudson, 1998) Firstly, the learners are required to perform, create, and produce in real-world contexts or simulations when they practice the alternative means of assessment Secondly, the essence of these approaches is not intrusive, which means that students have chances to assess in-class activities every day, and the tasks designed for these approaches are meaningful instructional activities which concentrate on the process and the product of learning as well Thirdly, higher-level thinking and problem-solving skills are used as absolutely necessary tools to implement the assessment tasks, and teachers‟ feedback on students‟ performance helps students know their strengths and weaknesses

Alternative assessment includes numerous means such as performance assessments, student-teacher conferences, self-assessment, and peer-assessment (Norris et al., 1998) Among these alternative assessment means, self-assessment and peer-assessment have grabbed many researchers over the past few decades on account of much emphasis on learner independence and autonomy (Ashraf & Mahdinezhad, 2015; Chen, 2008; Cooker, 2012; Gardner, 2000; Hay & Mathers, 2012; Nowrozi & Sadegh, 2016; Paulus, 2005; Puspasari & Hudayani, 2018; Warchulski, 2015; Warchulski, 2016) Most of these researchers share the same viewpoint that self-assessment and peer-assessment have countless benefits such as encouraging students‟ engagement with their learning, enabling them to recognize their weaknesses, and helping them be less dependent on their teachers Consequently, the sharper focus on self-assessment and peer-assessment will

definitely help learners get involved in their learning process and make them more responsible for their own learning To put it in a nutshell, the alternative assessment means namely, self-assessment and peer-assessment are worth investigating as they help to enhance learner autonomy

1.2 Statement of the problem

In Vietnam, at the tertiary level, several researchers carried out studies to identify students‟ learning style (Adam, 2004; Ngo, 2013; Stephen et al., 2006; Thompson, 2009; Tran, 2013) Most of them agreed that Vietnamese students followed “spoon-feeding” style and learned passively

After having conducted an observation at selected Vietnamese universities in one year, Stephen et al (2006) came to a conclusion that there are five main teaching and learning-related problems facing the teachers and learners in those universities: (1) unproductive teaching methods with a dependence on teachers and rare application of active learning techniques (2) a lack of emphasis on conceptual learning or higher order learning, (3) students‟ passive learning (4) students‟ use of too much time in classes each day, and (5) no deep learning and comprehension Another observation carried out by Adam (2004) revealed that Vietnamese students tend to be reluctant in thinking critically for themselves since they are afraid of being differentiated from the group (as cited in Nguyen, 2012) Additionally, Tran (2013) also reported that students are less active in their study due to various factors covering (1) the out-of-date educational management system, heavy learning curriculum (2) rote teaching model (3) learning and testing methods (4) limited access to other academic resources, (5) family traditional thoughts (6) university students‟ learning conditions, and (7) common perception of student learning

Furthermore, Ngo (2013) acknowledged that due to the influence of a receptive approach which requires students to pay attention to their teachers, try to copy down

what their teachers say in the classroom, and digest what is included in the textbooks, students are “deep-rooted in the style of teaching and learning by repeating and repeating after teachers reading” (p 216)

From the above-mentioned studies, it can be seen that Vietnamese students are supposed to be less autonomous However, Vietnamese students do not wish to follow spoon-feeding learning style anymore but explore knowledge themselves and find their own answers in their own ways (Tran, 2013) According to Littlewood (2003), Vietnamese and other East Asian learners accepted that their passivity was caused by how they have been always expected to learn by their teachers not by themselves, and they have difficulty behaving in their classroom The author also added that these learners desired to overcome these obstacles and get engaged more actively in their learning It can be obvious that Vietnamese students are ready to take more responsibility for their own learning Therefore, in order to help students become autonomous learners, a step-by-step approach towards promoting greater learner autonomy should be taken for learner training in the Vietnamese context It is also suggested that in this approach, the teachers “take the initiative and gradually hand over the control of learning to learners” (Le, 2013,

p 21)

In line with the above assumptions, Thompson (2009) conducted observations

of university classes in Hanoi, Vietnam and concluded that there are two different learning styles matched with two different teaching methods in Vietnamese universities The students‟ willingness to get engaged in their study depends on the teachers‟ methods and styles Students will study inactively if the teacher holds the authority to decide everything in the classroom and conveys knowledge to students without encouraging them to participate in the classroom activities However, students will learn in an active way if the teacher gives them opportunities to provide comments and suggestions Through these observations, the author suggested that teachers‟ negative complaints about students‟ passive learning should

be avoided as they will cause negative or uncooperative learning behavior This author also came to a conclusion that once students have been given the chance, they will get engaged in their learning and independent thinking

Having realized the current learning situation in Vietnam, the author decided to carry out this study to investigate the effect of self-assessment and peer-assessment

on promoting learner autonomy and compare the different effects between these two practices on learner autonomy in speaking skills

1.3 Personal motivation

With my five-year experience in teaching English at the University of Science, I realized that there are numerous teaching and learning-related problems which motivated me to carry out this research Firstly, students come to class with a boring and passive mood as they find English difficult and unnecessary to learn Also, the mid-term score accounts for only 20 percent of the final score Hence, they do not feel interested and motivated in English lessons Secondly, although the students have learned English for at least 7 years, they cannot communicate very simple words in English It may be because they were not taught speaking skills at secondary and high schools Consequently, they are afraid of learning speaking skills in their classrooms at university Many English teachers in this university also complain that they are sick of teaching speaking skills because students cannot respond to very simple questions from their teachers The assessment method is another problem Teacher assessment through testing is commonly preferred by many teachers in the classrooms, which leads to a lack of student assessment skills and wastes teachers‟ time, especially in speaking skills As a result, students focus

on learning product instead of learning process In other words, students do not care for how much knowledge they gain after the course but passing exams Subsequently, with the “spoon-feeding” learning style, students rely too much on their teachers in terms of learning materials, learning activities or even assessment method Additionally, the time constraint and workload is another problem facing

the teachers In each four-hour class meeting, the teachers have to cover four integrated skills After experiencing these problems for a long time, I realized that focusing on the learning product makes students demotivated and less autonomous

As a consequence, I decided to conduct my study to find out whether alternative assessment means, namely self-assessment and peer-assessment can help students improve their learner autonomy or not In this study, these two alternative assessment methods were applied to investigate their effects on learner autonomy development and compare the different effects between these methods on learner autonomy in speaking skills

1.4 Purpose of the study

The present study focused on three main purposes Firstly, the study investigated the effect of self-assessment on undergraduate students‟ learner autonomy development in EFL speaking skills It also aimed to identify the effect of peer-assessment on undergraduate students‟ learner autonomy development in EFL speaking skills The final purpose of the current study was to find out whether self-assessment and peer-assessment in EFL speaking skills had any significant different effects on undergraduate students‟ learner autonomy development

1.6 Significance of the study

The results at the end of the study bring benefits to many subjects Firstly, teachers receive the benefits of this research As aforementioned, the traditional assessment method is one of the main reasons that makes Vietnamese students less autonomous With the present study, teachers could apply the new methods into their classrooms, which helps their students to increase responsibility in their learning Secondly, the Board of Administrators of Foreign Languages Center, HCMC University of Science will also benefit from this research They will get useful statistics about the students‟ autonomy level and strategies for assessment in speaking skills so that they can share with teachers in the meeting or training sections or they can implement those strategies in the school curriculum Thirdly, the students themselves also will gain some benefits from this research Surely, they will understand their learner autonomy level, approach a new method to improve their speaking skills and enhance their autonomy ability Finally, other future researchers will gain some implications through this study The issue of using self-assessment and peer-assessment to promote learner autonomy is not new in Vietnam, but a comparison of these two assessment means‟ effects in speaking skills seems quite new in Vietnam, so future researchers may base on this research‟s results as a useful reference to investigate this issue deeper As learner autonomy is quite important to language teaching and learning in Vietnam, so more and more people pay attention to this issue

1.7 Scope of the study

The researcher carried out the study at Ho Chi Minh City University of Science which is located at Linh Trung Ward, Thu Duc District, Ho Chi Minh City The study investigated the effect of self-assessment and peer-assessment on students‟ learner autonomy and whether self-assessment and peer-assessment in EFL speaking skills have any significant different effects on undergraduate students‟

learner autonomy The participants of the study were students who studied General English 2 (A2 level - CEFR) in the academic year 2017-2018

There are three constraints in this current study Firstly, the sample is chosen from the population on a convenient basis Students taking General English 2, not 1,

3, and 4 were chosen for the study, which may result in the fact that the generalizability is limited Secondly, the study focused on the effects of self-assessment and peer-assessment on learner autonomy development in speaking skills only, not the others In short, such limited scope might lead to the relatively weak generalizability of the study However, it is expected to have several contributions to promoting students‟ learner autonomy at HCMC US and provide theoretical and practical background for further research

1.8 Overview of the chapters

The thesis consists of five main chapters (1) Introduction, (2) Literature Review, (3) Methodology, (4) Findings and Discussion and (5) Conclusion and Recommendations, apart from the Acknowledgement, Abstract, References, and Appendixes

The first chapter of the study, namely Introduction, provides the background

information and the rationale for carrying out the research The aims, the significance and the scope of the study are presented in this chapter as well The second chapter,

Literature Review, includes two major parts The first one gives the theoretical

background of the study with a detailed review of theories and concepts related to learner autonomy, self-assessment, peer-assessment and the relationship between assessment practices and learner autonomy The second one presents the review of

previous studies in the field The third chapter, Methodology, aims to describe the

methods of the study In this chapter, the research questions are further clarified In addition, research designs and procedures for implementing the experiment,

collecting and analyzing data are also mentioned The fourth chapter, Findings and Discussions shows the analysis of the collected data and the major findings of the

study, discusses the results of the study based on the analysis of the data, and provides

explanations for each finding The final chapter, entitled Conclusions, Implications, Limitations and Recommendations gives a brief summary of the study, pedagogical

implications for promoting learner autonomy, as well as limitations and recommendations for further research

1.9 Definitions of key terms

Learner autonomy is an “ability to take charge of one‟s learning” (Holec, 1981,

p 3) and usually applied in the field of foreign or second language education This ability helps learners to manage their own learning activities effectively Learner autonomy can be expressed through five dimensions, namely goal-setting, planning, initiating, monitoring, and evaluating

Assessment as learning is generally defined by Earl (2013) as a regulatory

process in metacognition whereby learners play roles as contributors, critical connectors, and assessors This process occurs when learners themselves monitor what they are learning and use the feedback from this monitoring to make adjustments, adaptations, and even major changes in what they understand

Self-assessment as learning is regarded as a process during which learners get

involved in evaluating, having critical reflections on their learning process and product as well, and then making changes or even adjustments for their future study

Peer-assessment as learning is a process which involves learners to judge their

peers‟ learning process and product, have critical reflections on theirs and then make changes or even adjustments for their own future study

CHAPTER 2 LITERATURE REVIEW

This chapter aims to present and discuss some theories and literature for the study In the first section, the definition and dimensions of learner autonomy are presented The second section gives an overview of assessment as learning Self- and peer-assessment‟s definition and process are discussed in sections 3 and 4, respectively In the next section, the relationship between learner autonomy and assessment as learning strategies including self-assessment as learning and peer-assessment as learning is discussed The final section aims to mention related-studies to the effects of self- and peer-assessment on learner autonomy

2.1 Learner autonomy

2.1.1 Definition of learner autonomy

Learner autonomy has attracted many researchers‟ concern since it was brought

to the field of language education According to Little (1991), the term “learner autonomy” which first used by Holec (1981) has become a “buzz - word” to various authors in the area of foreign language learning and teaching Various terms have been used recently to replace the term “learner autonomy” Kesten (1987) listed many synonyms of the term learner autonomy, namely independent learning, autonomous learning, independent study, self-directed learning, learning to learn, self-instruction, and life-long learning These terms are linguistically different, but their semantic meanings remain unchanged Among these terms, learner autonomy is

a commonly-used term in the literature In this study, apart from learner autonomy, other terms were used including autonomous learning and autonomy Little & Dam (1998) concluded that learner autonomy is a semantically complex term that includes various concepts from different areas like politics, education, philosophy, and psychology Accordingly, a lot of confusion of learner autonomy has been caused, and this led to numerous interpretations of this term based on different contexts by many researchers

Holec was the pioneer to define the term learner autonomy in language teaching and learning in 1981 In his definition, learner autonomy is “the ability to take charge

of one‟s own learning” (p 3 as cited in Benson, 2007) He added that this ability is not innate and must be acquired by formal education practices From the definition, it can be understood that learners need to be capable of taking responsibility for all the decisions related to all aspects of their own learning ranging from deciding learning objectives, identifying learning content, selecting methods and techniques, monitoring learning process, to evaluating outcomes

The term “ability” was replaced with “capacity” by Little (1991) He considered learner autonomy as capacity for reflecting critically, making decisions, and taking actions independently He claimed that this capacity relates to the content and process

of learning He also pointed out that although autonomous learners themselves need

to decide what to learn, how to learn and why to learn, the role of the teacher is still rather important Regardless of the difference in the variations in the term use, it is agreed that learner autonomy is an ability to what, how, and why to learn by students Littlewood (1996) was added the term willingness to Holec‟s original definition This author elaborated learner autonomy as learner‟s ability and willingness as well

to make and conduct the choices on their own Under this definition, it can be obviously seen that ability and willingness are considered two main separate components of learner autonomy due to the fact that a learner may own the ability to make choices independently but have no willingness to do so, whereas, a learner may make choices in a willing manner but be unable to do so He also expressed that ability depends on knowledge and skills, but willingness depends on motivation and confidence This author came to a conclusion that in order to become autonomous learners, they need to possess these four components above together

More recently, Little (2003) defined leaner autonomy as an ability covering understanding their learning program‟s objectives, willingly taking charge of their learning, sharing learning goals, involving themselves in planning, monitoring and

evaluating their learning This definition was made clearer by (Rokhani, 2012) that in order to promote learner autonomy, it requires three elements from learners, namely a positive attitude, a reflection ability, and a readiness in self-control and in interaction with their peers

Crome et al (2009) modified Holec's definition of autonomy as the ability to think and act in a critical and independent way, take control of their own study, and figure out one‟s one's strengths and weaknesses as a learner (as cited in Rokhani, 2012) It can be further explained that the capacity in the definition above is shown in various forms ranging from choosing activities, self-directing and managing their learning, assessing their skills to reflecting on their learning

From the definitions above, it can be concluded that learner autonomy is viewed differently by various authors from diverse research contexts, which has resulted in a multidimensional view of the concept However, a general agreement which can be seen on the definition first introduced by Holec (1981) is that learner autonomy is the ability to take charge of one‟s own learning In this study, the researcher would like to employ Holec‟s definition i.e the ability to make decisions on planning, monitoring, and evaluating However, the three dimensions proposed by Holec in his definition cannot reflect the nature of learner autonomy Thus, two other dimensions, namely goal-setting and initiating will be added All of the five dimensions on learner autonomy in the current study will be discussed in detail in the next section

2.1.2 Dimensions of learner autonomy

This section presents dimensions of learner autonomy performed by learners in various educational contexts and argues for a set of proper dimensions of learner autonomy to be applied in the present study

Due to the constant change in the definition of learner autonomy, its dimensions have been modified over time The variations in identifying the dimensions of

learner autonomy came into prominence owing to the difference in socio-cultural situations where learner autonomy is practiced Tassinari (2012) stated that “learner autonomy is a complex construct, a construct of constructs, entailing various dimensions” (p 28) As a consequence, in order to get a deep understanding of learner autonomy, it is essential that learner autonomy‟s components and dimensions be identified

According to Dang (2012), when discussing learner autonomy in language learning, it is prevalent to see that the term dimension is not consistently used

There are several terms that have been used by many authors such as process by Little (2003), stage by Reinders (2010) and dimension by Trinh (2005), Yang (2007)

and Dang (2012) In this study, the term dimension is used instead of the others Holec (1981) defined learner autonomy as the ability to take charge of one‟s own learning related to make decisions on planning, monitoring, and evaluating It can be seen that three dimensions were pointed out Little (1991) stated that learner autonomy is a capacity that consists of metacognitive learning strategies, such as planning, monitoring, and evaluating of learning activities, and this capacity relates

to both the content and process of learning Little (1994) added another dimension

i.e pacing to the set of dimensions above (as cited in Chan, 2000) It is asserted that

autonomy entails responsibility in setting learning goals, identifying and developing learning strategies to achieve such goals, developing study plans, identifying and selecting relevant resources and support, and evaluating progress (Chan, 2000) Among these five dimensions, identifying and developing learning strategies and identifying and selecting materials, and support can be attributes of the dimension monitoring as this dimension includes attributes with relevance to learning engagement and maintenance such as choosing appropriate strategies, adapting learning paths, and negotiating with others (Dang, 2012) As a result, dimensions proposed by (Chan 2000) can be setting learning goals, developing learning plans, monitoring, and evaluating progress

Similar to Little‟s (1991) study, Benson (2001) argued that autonomy is performed in planing learning activities, monitoring learning progress, and evaluating learning outcomes Different from other authors, Little (2003) used the term processes consisting of initiating, monitoring, and evaluating learning instead

of dimensions

Another set of dimensions of learner autonomy was identified by Trinh (2005) The researcher defined learner autonomy as a self-regulating ability with three dimensions, namely planning, monitoring, and regulating processes It can be seen that the dimension regulating pointed out by Trinh (2005) belongs to the dimension monitoring (Dang, 2012)

Yang (2007) asserted that there are six dimensions in learner autonomy including self-initiative, making plans, self-control, flexibility, taking actions and concentration In this set of dimensions, self-initiative can be put under evaluating dimension and self-control, flexibility, taking actions, and concentration can belong

to monitoring dimension Accordingly, planning, monitoring and evaluating are basically considered three dimensions of learner autonomy which are in line with the ones highlighted by Little (1991) and Benson (2001)

Reinders (2010) introduced a model of learner autonomy consisting of eight stages: identifying needs, setting learning goals, making plans, choosing materials and learning strategies, practice, monitoring progress, assessment and revision Among these stages, it can be seen that identifying needs, setting goals and making plans can be under the dimension initiating and choosing materials, selecting learning strategies, practice can be grouped into the dimension monitoring while assessment and revision can be put into the dimension evaluating

Recently, Dang (2012) found out four dimensions of learner autonomy including monitoring, initiating, goal-setting & evaluating and using ICTs It can be obviously seen that there are two significant differences compared between Dang‟s

and the studies above (Benson, 2001; Chan, 2000; Holec, 1981; Little, 1991; Little, 1994; Little, 2003; Reinders, 2010; Trinh, 2005; Yang, 2007) The first striking difference is that in Chan‟s set of stages in learner autonomy, goal-setting and evaluating are two separate dimensions, whereas goal-setting and evaluating are considered one dimension in this author‟s study The second great difference is that all sets of dimensions analyzed above do not include the dimension using ICTs In the current study, goal-setting and evaluating were separated

It can be concluded that several dimensions of learner autonomy are repeatedly examined in various studies above For instance, the dimension goal-setting was used by Chan (2000), Reinders (2010) and Dang (2012) The dimension planning was used by almost all authors above except for Little (2003) and Dang (2012) The dimension initiating was included in the studies of Little (2003) and Dang (2012) Similar to planning dimension employment, the dimensions monitoring and evaluating can be found in almost all authors above except for Trinh (2005) Dimensions of learner autonomy are synthesized in the following table

Table 2.1: A synthesis of dimensions of learner autonomy

Holec (1981) planning, monitoring, and evaluating learning activities

Little (1991) planning, monitoring, and evaluating learning activities

Little (1994) planning, pacing, monitoring and evaluating

Chan (2000) setting their own learning goals, identifying and developing learning

strategies to achieve such goals, developing study plans, identifying and selecting relevant resources and support, and evaluating own progress

Benson (2001) planning, monitoring and evaluating

Little (2003) initiating, monitoring and evaluating

Trinh (2005) planning, monitoring and regulating

Yang (2007) self-initiative, making plans, self-control, flexibility, taking actions

and concentration

Reinders (2010) identifying needs, setting goals, planning learning, selecting

resources, selecting learning strategies, practice, monitoring progress, assessment and revision

Dang (2012) monitoring, initiating, goal-setting & evaluating and using ICTs

From table 2.1, it can be seen that the most apparent dimensions identified in different studies are goal-setting, planning, initiating, monitoring and evaluating

In the present study, the researcher employed these five dimensions constructed from the learner autonomy definition of Holec (1981) since it was commonly used

by many researchers (Benson, 2001; Chan, 2000; Holec, 1981; Little, 1991; Little, 1994; Little, 2003; Reinders, 2010; Trinh, 2005; Yang, 2007) Additionally, the

dimensions identified from these authors are not sufficient to measure learner autonomy According to Benson (2001), learner autonomy is a multidimensional construct Hence, the five dimensions of learner autonomy in the present study were chosen for developing the instrument They are setting goals, planning, initiating, monitoring, and evaluating

2.2 Assessment as learning

Assessment is generally considered an important aspect in the field of language

teaching, and it can be classified into summative and formative assessment

according to its purposes (Lee, 2016) According to Lafave et al (2013), the idea of

distinguishing between formative and summative purposes was first introduced by Martinez and Lipson (1989) and then by Black and Wiliam (1998) Formative assessment, or assessment for learning aims to help learning, whereas summative assessment, or assessment of learning serves the purpose of summarising and

reporting students‟ achievement at a particular time (Lee, 2016)

In 2012, Earl introduced the notion of assessment as learning and considered it

as a subset of assessment for learning According to this author, assessment is categorized into three types namely assessment of, for and, as learning This author gave clear purposes for these types Assessment of learning is applied to get

information about what students know, demonstrate the students‟ level of meeting

the standards and/or compare them with other students Assessment for learning is

carried out to provide teachers useful information so that they can make

modifications in the teaching and learning activities Assessment as learning is

designed to help students develop, practice and become critical thinkers Among

these three types of assessment, assessment as learning plays an important role in

the classroom since it focuses on the role of the students, develops their metacognitive skills, and helps them to become lifelong learners (Lee & Mak, 2014) Earl (2012) highlighted that assessment as learning process, a regulatory meta-cognition process, enables students to connect the assessment with their own

learning More specifically, through this process, learners have the chance to get involved in getting a full understanding of information, connecting it with the knowledge they gained before, and using it to build up new learning This author further explained that all of these steps can be found when students take control of what they are learning and make adjustments and significant changes with relevance with the feedback from their control It can be seen that a sharper focus has been put on assessment as learning recently due to its importance Assessment

as learning consists of many strategies several strategies such as reflection, learning goals, meta-cognitive questions, self-assessment and peer-assessment Among these, self-assessment and peer-assessment are often regarded as important ones The present study will focus on self-assessment and peer-assessment as learning

Understanding the framework of assessment as learning is definitely crucial in implementing it William and Thompson (2007) proposed the framework of assessment as learning with 3 three stages and five key strategies (as cited in Black

& Wiliam, 2009) This framework is presented in Table 2.2

Table 2.2: Assessment as learning framework Where the learner is

learning intentions

and criteria for

success

Engineering effective classroom

discussions, questions, activities, and tasks that elicit evidence of learning

Providing feedback that moves learners

In the framework of assessment as learning, the roles of teacher include (1) clarifying and sharing learning intentions and criteria for success, (2) engineering effective classroom discussions, questions, activities, and tasks that elicit evidence

of learning and (3) providing feedback that moves learners forward, and the roles of learners are understanding and sharing learning intentions and criteria for success and engaging in self-assessment and peer-assessment

In this assessment as learning framework, the process of self-assessment and peer-assessment are separated The roles of teachers are similar in both self-assessment and peer-assessment process The roles of students in self-assessment process are understanding learning intentions and criteria for success and engaging in self-assessment, whereas the roles of students in peer-assessment process are understanding and sharing learning intentions and criteria for success and engaging in peer-assessment The detail of the self- and peer-assessment process will be presented in detail in the following parts

2.3 Self-assessment as learning

2.3.1 Definition

The term self-assessment has been defined by many authors in the field of

language teaching recently, but to what extent, they are similar Andrade and Valtcheva (2009) referred self-assessment as a formative assessment process whereby students get involved in reflecting on, evaluating the quality of their own work, identifying strengths and weaknesses and making next steps for improvements It can be further explained that during self-assessment practice, students play roles as active learners who get involved directly in their learning process to cover all decisions to improve metacognitive skills such as reflecting, monitoring, and evaluating their own work By doing so, students can move towards autonomous learning

Work (2010) also used self-assessment to refer to a process during which

learners practice many things Firstly, they identify, understand, and apply success criteria related to pre-determined learning goals Secondly, based on the information above, they monitor their own progress in order to gain the learning goals Thirdly, they make modifications to learning methods, and set individual goals for better learning with the ongoing support from their teacher Under this definition, it can be seen that in self-assessment, learners play roles as contributors who take charge of mostly all decisions to the assessment and learning process and the critical connectors between them

Bourke and Mentis (2011) described self-assessment as a process in which students get involved to set goals, regulate, and reflect on their learning themselves

by assessing their performance against pre-determined standard criteria which can

be determined by teachers or students in advance After understanding the criteria based on the learning goals, students evaluate their performance and then make plans for further improvement As what Rourke (2013) stated, self-assessment is regarded as a set of capacities that students use to monitor their learning process

effectively, provides suitable feedback to themselves and enhances their self-learning, which promotes them to be active learners (as cited in Thawabieh, 2017)

From these definitions, it can be concluded that self-assessment is the process during which students take responsibility to evaluate their own learning process and learning product with relevance to the set learning goals and criteria and have critical reflection on what they self-evaluate for further improvements

2.3.2 Process of self-assessment as learning

The purpose of this part is to present the process of self-assessment as learning which is modified from Table 2.2 in Section 2.2 The process of self-assessment as learning is presented in Table 2.3

Table 2.3: Self-assessment process Where the learner

Providing feedback that

moves learners forward

Self Understanding

learning intentions

and criteria for

success

Engaging in giving self-feedback

The three steps conducted by teacher and two steps by students are presented as follows

(1) Clarifying and sharing learning intentions and criteria for success

This first step relates to helping students know what they will learn and the criteria to evaluate their work Lee and Mak (2014) stated that before an assessment activity, it is crucial that teachers helps students know the destination they are going

to By understanding learning goals clearly, students can identify what they are expected to know and be able to do Babaii et al (2016) highly valued the importance

of getting learners to understand assessment criteria as this step can help avoid any possible mismatches between teachers and learners in terms of their perceptions of the criteria This can lead to an effective self-assessment process

Learning goals can be referred as learning objectives, learning aims or learning intentions These word replacements appear to be differently linguistic, but the semantic aspects remain unchanged Hattie (2008) described learning goals as the things teachers wish their students to gain such as skills, knowledge, attitudes, and values within any specific section The term “success criteria” was used by Wiliam (2007) to refer to “the indications that teachers and students use as checks on learning” Work (2010) also expressed that success criteria are generally described in specific terms that enable students to figure out what successful attainment of the learning goals looks like

(2) Engineering effective classroom discussions, questions, activities, and tasks that elicit evidence of learning

Another role of teachers emphasizes eliciting evidence of learning by designing effective classroom discussions, questions, activities, and tasks There are several ways for both teachers and students gain information about students‟ current understandings such as classroom discussions, questions, activities, and tasks Work (2010) also proposed some ways that teachers should use to gather information about learning They are (1) designing tasks with different ways for students perform their learning, (2) observing students when they perform tasks (3) raising questions to help students make their thinking explicit, and (4) holding

in-class conferences that encourage students to state what they are thinking and further develop their thinking

(3) Providing feedback that move s learners forward

That teachers provide feedback is considered a central part in assessment process Black and Wiliam (1998) emphasized that the impact of using feedback could be positive or negative depending upon detailed features of its quality and the type of feedback given There are two main kinds of feedback including descriptive and evaluative feedback (Gipps & Stobart, 1993; Sutton, 1997 as cited Davies & Le Mahieu, 2003) Between these two kinds, descriptive feedback has a more positive effect on learning since it provides constructive and helpful information, which enables students to reflect on their learning (Noureen, 2013) This author added that this kind of feedback is conducted in numerous ways through: self and peer feedback, criterion feedback, modelling and opportunities

Lee and Mak (2014) suggested that teachers give descriptive, diagnostic feedback to enable students to get a full understanding of their strengths and areas for improvement as it helps them get actively involved in assessment The author also added that feedback should be clear, specific and produced with reference to the expected learning outcomes In line with Lee and Mak (2014), Work (2010) explained that it is essential that teachers give students descriptive feedback which

is linked particularly to the learning objectives and success criteria since it promotes them to produce the best work and teach them the language and skills of assessment This facilitates them to assess their own learning and their peers‟ one

(4) Understanding learning goals and success criteria

Within the roles of learners, the next step is understanding learning intentions and criteria for success in self-assessment process Hattie and Donoghue (2016) pointed out that by being aware of what to learn and what it means to be successful before undertaking the task can help students gain more goal-directed behaviors This can lead to making efforts to achieve their goals more effectively In addition, Heritage (2008) clarified that through understanding deeply what and why to learn

helps students become active learners in their learning process In order to get success in self-assessment, it is crucial for teacher and students to clarify the criteria they use to evaluate their performance Also, identifying the rating criteria and authorizing them to close the gaps in their performance is regarded as a crucial feature of effective self-assessment (Nicol & Macfarlane‐Dick, 2006)

(5) Applying success criteria related to learning goals to judge their own work, and comment on strengths and weaknesses

Using success criteria to judge their own work and comment on strengths and weaknesses is the final step in the self-assessment process By doing self-assessment, students will have the chance to receive instant feedback on their performance based on the established standards and criteria, and get information about how to make modification to improve their learning (Crooks, 2006) In order

to plan one‟s own learning and to set learning goals, one must first understand and assess themselves (Berry, 2013) Accordingly, this step seems the most important one to the whole process of self-assessment

To sum up, there are five steps in the self-assessment process including (1) clarifying and sharing learning intentions and criteria for success, (2) engineering effective classroom discussions, questions, activities, and tasks that elicit evidence

of learning (3) providing feedback that moves learners forward, (4) understanding learning goals and success criteria and (5) applying success criteria related to learning goals to judge their own work, and comment on strengths and weaknesses These steps may take place in a cyclic order to generate effective learning outcomes

Figure 2.1: Self-assessment as learning process (adapted from William &Thompson, 2007)

2.4 Peer-assessment as learning

2.4.1 Definition

Peer-assessment is another key strategy of assessment as learning in language teaching Peer-assessment is used for both summative and formative purposes, yet the use in summative assessment is less common due to its validity and reliability (Cho & Schunn, 2003 as cited in Draaijer & Van Boxel, 2006) Summative peer-assessment is known as peer-assessment of learning, whereas formative peer-assessment can be referred to peer-assessment for learning and peer-assessment as learning Among three kinds of peer-assessment of, for and as learning, the definitions of peer-assessment as learning were discussed by very few researchers

According to Falchikov (2005), peer-assessment as learning is referred as a process whereby students get involved in judging their peers‟ work by using given criteria and applying standards In the same vein, Robert (2006) referred peer-assessment as the process of getting learners to have critical reflection on their peers‟ learning and possibly suggest grades for it Sebba et al (2008) generalized that peer-assessment is the process that gives students the chance to assess each others‟ work through reflection on the learning goals and what it means to achieve them In agreement with the authors above, Strijbos and Sluijsmans (2010) defined this term as “an education-related arrangement that creates an environment for students to engage in judging a peers‟ performance quantitatively and/or qualitatively and from that information, students can reflect, discuss and collaborate” (p 265) It can be seen that although the definitions of peer-assessment were discussed in different ways by some researchers (Falchikov, 2005; Robert, 2006; Sebba et al., 2008; Strijbos & Sluijsmans, 2010), these are somewhat similar These authors share the same view that peer-assessment gives students the chance

to take charge of judging their peers‟ learning process and product based on predetermined goals or criteria and then reflect on their own performance in an interactive and cooperative environment It is evident that by undertaking peer-assessment, students‟ autonomous learning can be increased

2.4.2 Process of peer-assessment as learning

This part is devoted to presenting the process of peer-assessment as learning The process of peer-assessment as learning will be identified based on the stages and strategies of formative assessment constructed by Black and William (2007) as mentioned in section 2.2 The process of peer-assessment modified from these two authors is shown in Table 2.4