Chapter 1 – Introduction to assessment
Simply put, assessment is the process of gathering information about a
client and determining the meaning of that information.
It is through assessment that counselors can uncover the nature of a
client’s problems or issues; the magnitude of these problems and how
they are impacting the client’s life; how the client’s family, relationships,
or past experiences are affecting the current problem; the client’s
strengths and readiness for counseling; and whether counseling can be
beneficial to the client. Assessment is also critical for establishing the
goals and objectives of counseling and for determining the most effective
interventions.
What is Assessment?
oThe term assessment refers to any systematic procedure for
collecting information that is used to make inferences or decisions
about the characteristics of a person.
oHowever, assessment goes beyond merely giving tests. It is a
comprehensive process that involves the integration of information
from multiple data collection methods (e.g., interviews, tests, and
observations).
oThe methods for collecting assessment information can be grouped
into three broad categories: interviews, tests, and observations.
oWe emphasize the importance of using multiple methods in most
assessments because the results of a single assessment instrument
should never be the sole determinant of important decisions about
clients.
oThe purpose of assessment
Why do counselors assess? The short answer to this question
is to gather information about a client.
However, the information that counselors need to collect
about a client depends a great deal on the purpose or reason
for assessment. The research literature contains at least four
general purposes of assessment. These include screening,
identification and diagnosis, intervention planning, and
progress and outcome evaluation.
Screening
Screening is a quick part of the assessment process,
usually involving a single procedure or instrument, used
to determine whether an individual has a high risk of
having a specific problem and needs more in-depth
assessment at that time.
If, through the screening process, an individual is
identified as having a high risk for a disorder, then
further assessment is warranted.
A common example of screening occurs when a
counselor has an initial concern about the potential for
substance abuse with a client. The counselor might use
the Substance Abuse Subtle Screening Inventory–4th
Edition (SASSI-4) to identify the potential for a
substance use disorder. If a client scores at clinically
significant levels, then the counselor would conduct a
more thorough assessment to determine the types of
substances, level of use, potential for withdrawal,
potential need for detoxification, and best options for
treatment planning.
Identification and diagnosis
In counseling, assessment is often conducted as a
means of identifying or diagnosing problems,
symptoms, or disorders. Diagnosis can be defined as a
“detailed analysis of an individual’s strengths and
weaknesses, with the general goal of arriving at a
classification decision”.
Mental disorders are behavioral or psychological
patterns that impair an individual’s cognitive,
emotional, or behavioral functioning.
Intervention planning
Intervention planning (i.e., treatment planning) involves
deciding on a course of action that facilitates client
change and helps improve the client’s outcome.
In most cases, individuals are referred for counseling
because they are struggling and need specific
psychological, educational, or behavioral interventions
to improve their situations (Lichtenberger, Mather,
Kaufman, & Kaufman, 2004). In these cases, the
purpose of assessment is to gather information to
determine the most effective interventions that address
and resolve the client’s specific areas of concern.
Progress and outcome evaluation
When an intervention program is completed, counselors
may conduct an outcome evaluation to determine if the
particular intervention was effective and if the clients
achieved their goals at the end of counseling. The first
step in progress and outcome evaluation is establishing
a baseline measure of the client’s condition. This usually
takes place during the initial meeting for assessment
and can involve the use of formal or informal
assessment instruments or strategies.
For example, an informal method would be to ask
clients to rate their feelings of depression on a scale
from 0 to 10, with 0 indicating a complete absence of
depressive symptoms and 10 indicating feeling
intensely depressed. An example of a formal
assessment instrument designed specifically for
progress and outcome evaluation is the Outcome
Questionnaire (OQ-45), which measures adult clients’
psychological symptoms (e.g., depression and anxiety),
interpersonal functioning, and social role functioning.
The assessment methods used to collect baseline data
are periodically readministered to monitor the client’s
progress over the course of intervention. To assess the
outcome of the intervention, the same instruments are
also administered after the client has completed the
intervention. Results from the outcome assessment are
analyzed to determine if there has been a change from
the baseline score.
Multiple methods and multiple sources
oSelecting and utilizing multiple methods of data collection, which
may be referred to as a multimodal approach to assessment, are
essential to having a system of checks and balances for information
gathered.
oThe methods utilized to collect assessment information can be
broadly categorized as interviews, tests, and observations. Within
each category is a wide array of formal (e.g., standardized tests,
structured interviews, and formal observation) and informal (e.g.,
unstructured interviews, projective techniques, checklists,
questionnaires, and anecdotal reports) instruments and strategies.
oIn most assessments, using multiple methods and multiple sources
is important for obtaining information that is thorough enough to
produce an in-depth understanding of the individual. Counselors
should never rely solely on the results of a single assessment
instrument or strategy to make important decisions about clients.
oTests are instruments designed to measure specific attributes of an
individual, such as knowledge or skill level, intellectual functioning,
aptitude, interests or preferences, values, personality traits,
psychological symptoms, level of functioning, and so on.
oObservation is an assessment method that involves watching and
recording the behavior of an individual in a particular environment.
oObservation can be formal, involving the use of standardized rating
scales and highly structured procedures, or informal, in which the
counselor simply makes raw notes regarding a client’s verbal and
nonverbal behavior during the assessment.
oIn addition to multiple methods, counselors use multiple sources of
information. The client is usually the primary source of information
during the assessment process. Other sources of information (called
collateral sources) include personal sources, such as parents,
spouses/partners, and others close to the individual being
evaluated, and professional sources, such as teachers, physicians,
mental health professionals, and other professionals.
The assessment process
oThe first and most important step in the assessment process is to
identify the client’s problem(s) to be addressed and the reason for
assessment
oAssessment process broken down
1. Identify the Problem The first step in the assessment
process is identifying the presenting problem, that is, the
reason why the individual is being assessed. Because
assessment is so clearly linked to counseling, the reason for
assessment and the reason for counseling are often the same.
Reasons for assessment and/or counseling can stem from a
variety of problems or concerns, such as academic/vocational
performance, cognitive abilities, behavior problems, or
emotional and social functioning (Lichtenberger et al., 2004).
In order to proceed to the next step in the assessment
process, the counselor must have a clear idea about what the
problem is and the reasons for which the client is being seen.
Clients may be self-referred for assessment, or they
may be referred by another source, such as a family
member, teacher, judge, physician, or human resources
manager. Referral sources can help clarify the nature
and severity of the client’s problem through the specific
questions they want answered about the client. Thus,
referral questions are often directly linked to the
problem being addressed in assessment.
2. Select and Implement Assessment Methods After
counselors determine the nature of the problem that needs to
be appraised in the assessment process, the next step
involves selecting and implementing methods for collecting
data (e.g., interviews, tests, observation), as well as
determining the sources of assessment information.
Counselors choose from among the numerous formal and
informal assessment instruments and strategies based on the
reason for referral, the context in which the assessment takes
place, and the adequacy of the instruments and procedures
they will use. Interviews are used in almost every assessment
to obtain background information about an individual,
including family history, work and education background,
social history, and other relevant cultural and environmental
factors. Counselors may administer tests to evaluate a
person’s cognitive functioning, knowledge, skills, abilities, or
personality traits. Observation may be used to record or
monitor a client’s behavior in a particular setting. Lastly,
collateral information may be obtained from family members,
spouses/partners, and others close to the individual being
evaluated. Although there are no set guidelines for which or
how many assessment instruments or strategies to use, in
general, the more methods used to collect data, the more
accurate and objective the information obtained.
3. Evaluate the Assessment Information A key task for
counselors is evaluating assessment information, which
involves scoring, interpreting, and integrating information
obtained from all assessment methods and sources to answer
the referral question. To be competent in evaluating
assessment information, counselors need knowledge and
skills in basic statistical concepts, psychometric principles,
and the procedures for interpreting assessment results.
Evaluating assessment information is a difficult step because
the counselor is often confronted with a dizzying array of
information gathered during the assessment process.
To organize this data, counselors can use the following steps:
Document any significant findings that clearly identify
problem areas.
Identify convergent findings across methods and
sources.
Identify and explain discrepancies in information across
methods and sources.
Arrive at a tentative formulation or hypothesis of the
individual’s problem.
Determine the information to include in the assessment
report.
4. Report Assessment Results and Make
Recommendations The final step in the assessment process
is reporting results and making recommendations. This
involves (a) describing the individual being assessed and his
or her situation, (b) reporting general hypotheses about the
individual, (c) supporting those hypotheses with assessment
information, and (d) proposing recommendations related to
the original reason for referral (Kaufman & Lichtenberger,
2002; Ownby, 1997; Sattler, 2008). The general hypotheses
are the counselor’s descriptive or clinical impressions of the
individual that are based on multiple methods and sources of
assessment data. When reporting these hypotheses, make
sure to provide enough assessment data to support your
conclusion.
Making recommendations involves identifying specific
ways to resolve the presenting problem or referral
question by addressing the assessment’s key findings
about the individual (Lichtenberger et al., 2004).
Counselors recommend strategies and interventions
that are designed to facilitate change and improve
outcomes based on the individual and his or her
assessment results (Kaufman & Lichtenberger, 2002).
Because individuals are referred for assessment for a
variety of reasons, recommendations vary depending on
the referral questions. In addition, the setting in which
the assessment takes place, such as a school, hospital,
mental health clinic, college, or vocational training
center, will influence the type and number of
recommendations (Kaufman & Lichtenberger, 2002). For
example, in school settings, most referrals for
assessment involve students’ problems that affect their
academic performance. In this situation,
recommendations typically focus on behavioral
interventions, instructional strategies, or other
appropriate educational services (Lichtenberger et al.,
2004). Assessments at mental health centers are
requested generally for diagnosing mental disorders,
treatment planning, and monitoring treatment progress;
thus, recommendations may include a variety of clinical
interventions and techniques.
Competencies required for assessment
oWhile a course in measurement and assessment might provide you
with the foundational knowledge of assessment, in order to develop
competency, you will have to practice your assessment skills under
supervision. For example, in a course on basic assessment
procedures, you will probably learn about theories of intelligence,
and your instructor might provide you with some exposure to the
Wechsler Adult Intelligence Scale–5th Edition (WAIS-V). However, in
order to develop basic competency in the administration of the
WAIS-V, you will need to study the test manual and then administer
the test at least 10 times under supervision.
oThe first step with every instrument is to read the test manual and
determine what training is needed. The second step is to consult
with a supervisor about the opportunity for training and supervised
practice.
oAs a result, several governing bodies and professional associations
related to assessment have set explicit guidelines for the selection,
use, administration, and interpretation of assessment instruments.
Those guidelines can be translated into the following competencies:
1. Understand the basic statistical concepts and define,
compute, and interpret measures of central tendency,
variability, and relationship.
2. Understand basic measurement concepts such as scales of
measurement, types of reliability, types of validity, and norm
groups.
3. Compute and apply measurement formulas such as the
standard error of measurement and Spearman–Brown
prophecy formula.
4. Read, evaluate, and understand instrument manuals and
reports.
5. Follow exactly as specified the procedures for
administering, scoring, and interpreting an assessment
instrument.
6. List and describe major assessment instruments in their
fields.
7. Identify and locate sources of information about
assessment instruments.
8. Discuss as well as demonstrate the use of different systems
of presenting data in tabular and graphic forms.
9. Compare and contrast different types of scores and discuss
their strengths and weaknesses.
10. Explain the relative nature of norm-referenced
interpretation in interpreting individual scores.
11. Help teach clients to use tests as exploratory tools and in
decision making.
12. Present results from assessment instruments both
verbally (using feedback sessions) and in written form.
13. Pace a feedback session to enhance the client’s
knowledge of the test results.
14. Use strategies to prepare clients for testing to maximize
the accuracy of the test results.
15. Explain assessment results to clients thoughtfully and
accurately, but in a language they understand.
16. Use effective communication skills when presenting
assessment results to individuals, groups, parents, students,
teachers, and professionals.
17. Shape the client’s reaction to and encourage appropriate
use of assessment information.
18. Be alert to the verbal and nonverbal cues expressed by
the client throughout the assessment process.
19. Use appropriate strategies with clients who perceive
assessment results as negative.
20. Be familiar with the interpretation forms and
computerized report forms so as to guide the client to the
information and explanation.
21. Be familiar with the legal, professional, and ethical
guidelines related to assessment.
22. Be aware of the client’s rights and the professional’s
responsibilities as a test administrator and counselor.
23. Have knowledge of the current issues and trends in
assessment.
oThe Association for Assessment and Research in Counseling
(formerly the Association for Assessment in Counseling) published
the Responsibilities of Users of Standardized Tests (RUST; 2003),
which describes the qualifications that professionals must have in
order to provide valuable, ethical, and effective assessment
services to the public. Qualifications to use standardized tests
depend on at least four factors:
1. Purposes of Testing A clear purpose for using an
assessment instrument should be established. Because the
purpose of an instrument directly affects how the results are
used, qualifications beyond general competencies may be
needed to interpret the results.
2. Characteristics of Tests Counselors should understand
the strengths and limitations of each instrument used.
3. Settings and Conditions of Test Use Counselors should
evaluate the levels of knowledge and skill required for using a
particular assessment instrument prior to implementing the
instrument.
4. Roles of Test Selectors, Administrators, Scorers, and
Interpreters The education, training, and experience of test
users determine which instruments they are qualified to
administer and interpret.
oThe RUST statement serves as a guide for counselors who use
assessment or testing in their practice. The RUST statement
provides a foundation for the self-evaluation of competency in
various areas of assessment.
Historical perspectives
oJuan Huarte (1530–1589) was probably the first author to suggest
formal intelligence testing.
Assessment and technology
oComputer-based assessment
Although computers initially were used only in the processing
of test data, computer-based assessment now encompasses a
broad range of operations and procedures, such as the
following:
Computer Administration of Assessment
Instruments Administering tests, questionnaires, and
interviews via the computer is one of the most common
computer assessment applications. This response
format has many advantages over traditional paper-
and-pencil methods, such as increased delivery, the
potential time savings, and the ability for items to be
adapted or tailored based on the test taker’s response
to a previous item.
Automated Test Scoring Computer-based
assessment provides automated scoring of responses,
thereby giving test takers almost immediate feedback
and their overall score. Computer scoring reduces the
possibility that respondents would make errors while
filling out handwritten answer sheets, and it eliminates
the errors that clinicians and technicians would make
while hand-scoring items.
Computer-Generated Reports and Narratives
Computer-based assessment instruments often provide
computer-generated reports or narratives. These
reports are automated interpretations that are
generated based on user input and resulting test scores
(Butcher, 2013). The reports may contain very complex
and detailed statements or summary statements.
Computer-Adaptive Tests Computer-adaptive tests
are tests that are specifically tailored to an individual’s
ability level. The computer quickly locates the
examinee’s ability level and then tailors the questions
to that level. The first question is usually selected close
to the passing level. If the test taker answers the
question correctly, a more difficult item is presented
next. Using a computer-adaptive test, test takers have a
more personalized assessment experience in a
controlled environment. Computer-adaptive tests also
provide sensitivity to the needs of users with
disabilities, helping ensure equality and fairness in
testing.
Computer Simulations Computer simulation is the
technique of representing real-world experiences
through a computer program. Interactive software
programs allow individuals to explore new situations,
make decisions, acquire knowledge based on their
input, and apply this knowledge to control the ever-
changing simulation state. Simulations have been in use
for many years to assess performance in different
environments. In the military, simulation has long been
used for assessing the readiness of individuals to
perform military operations, and devices used for
computer simulations range from plastic mock-ups to
laptop computers to full-motion aircraft simulators. In
education, simulations can be used to investigate
problem-solving skills, allowing students to explore a
range of options in a particular problem scenario.
Scenario-based testing is also used for some counseling-
related exams such as the Clinical Mental Health
Counseling Exam (CMHCE).
oInternet-based assessment
Researchers benefit from Internet-based assessment because
(a) they have access to large numbers of participants; (b) the
costs associated with traditional assessment methods, such
as publishing and distributing paper surveys, mailing
materials to study participants, and data collection and entry,
are eliminated; and (c) the costs to develop, publish, and
maintain web-based surveys are significantly lower.
