Performance management guidance

Performance managementPart C: Appraisers

An introduction to the revised Performance Management Regulations January 2011 and the role of the appraiser

(to be implemented by 1 January 2013)

Objectives of the session• Understand the requirements of the revised

regulations and how to implement them effectively.

• Review the role of the performance management process in raising standards in your school.

• Review how performance management is embedded in the broad context of the school’s improvement processes.

• Review the operation of the performance management process, including the roles and responsibilities of those involved.

• Understand the role of the appraiser.

Recap and overview of the revised performance

management requirements

Revised requirementsTimescale• Revised regulations introduced January 2012.• Move to the revised arrangements by 31 December 2012.

Revisions• Performance management is explicitly linked to:

– professional standards and practice

– whole-school and national priorities

– learner performance data

– pay progression.• Practitioners maintain a practice, review and development (PRD)

record. • Greater local authority involvement in the school’s performance

management process.• Estyn has access to the headteacher’s performance objectives.• Performance management documents should be kept for a minimum of

three years.

Purpose of performance management

‘Performance management helps schools to improve by supporting and improving the work of head teachers as individuals and leaders of school teams. It sets a framework for teachers and leaders to agree and review priorities and objectives in the context of the school’s improvement plan. It focuses attention on making teaching and leadership more effective to benefit pupils, teachers, and schools.’

Performance management for headteachers

(Welsh Government, 2012)

Role of performance management in the school

improvement processPerformance management supports:• schools to improve by supporting and improving the work

of practitioners as individuals and in teams• teachers to meet the needs of learners and raise

standards.Performance management demonstrates the school’scommitment to: • develop all practitioners effectively • ensure job satisfaction• high levels of expertise • the progression of practitioners in their chosen

profession.

The appraisal cycle

The appraisal cycle

Reviewing PlanningSelf-reflection Appraiser Self-analysisReview meeting and Strategic analysisAppraisal statement appraisee Setting objectives

Agreeing continuous professional

development (CPD) Monitoring

Informal in-year reviews Teaching observation Other agreed sources of evidence appropriate to the teacher’s role

Roles and responsibilities

of the appraiser(s)

Roles and responsibilities in the performance management

processKey partners• Governing body/relevant body.• Headteacher.• Appraiser(s).• Appraisee.• Local authority.• Welsh Government.

Role of the appraiser(s)• Agree and record objectives with appraisee.• Monitor and review performance throughout the

cycle.• Discuss and identify professional development

needs.• Arrange the appraisal review.• Prepare the annual appraisal statement.• Where applicable, make a recommendation on

pay progression where the appraisee is eligible for pay progression under the School Teachers’ Pay and Condition Document.

Responsibilities of the appraiser(s)

Appraiser(s) carry out their responsibilities by:• planning the appraisal cycle with the appraisee:

– setting the objectives taking account of the performance review of the previous cycle– discussing and identifying professional development needs– keeping progress under review and monitoring performance against objectives regularly throughout the performance management cycle (formative review)– conducting an annual review of performance with the appraisee (summative review including judgements)

• taking appropriate action and facilitating support when there is underperformance

• arranging for the appraisal statement and annex to the appraisal statement to be made available to the required personnel.

Knowledge and understanding

Appraiser(s) need a secure understanding of:• the context of the school• school performance data including the All Wales Core

Data Set• the school’s improvement priorities• local authority and national improvement priorities• the revised professional standards for education

practitioners in Wales• the appraisee’s job• the school’s training plan and related budget• the performance management procedures.

Attributes of the appraiser(s)Attributes that may be considered when selecting appraisers include:• good communication skills • good interpersonal skills • good skills in information-seeking and data analysis, including the ability to understand, interpret and analyse key performance indicators relating to school performance• good working relationship with the appraisee, based on trust and respect• sufficient time to carry out their role as appraiser and to do justice to the process.

Self-assessment for appraisers

• The Welsh Government guidance sets out the attributes for appraisers and states that all appraisers should be appropriately trained to undertake the role.

• Appraisers should conduct a self-assessment to identify their development needs.

• Further training can be undertaken in the areas of development identified to ensure that the role can be conducted effectively.

Reviewing performance

The annual appraisal review meeting

A formal opportunity to:• recognise achievements and celebrate

successes• discuss areas for improvement and further

professional development

and if desired:• agree future priorities, including objectives for

the following performance management cycle.

The performance review• The appraiser(s) and the appraisee must hold an annual

appraisal review with the object of: – assessing the extent to which the appraisee has met

the objectives for the cycle– determining whether there has been successful

overall performance in confirming that the appraisee continues to meet the professional standards for teachers

– identifying the need for additional support training and development

– preparing the appraisal statement.• The appraisee’s practice, review and development

(PRD) record should be taken into account when reviewing performance.

Planning for the annual review of performance

• Allocate adequate time for the review.• The appraisee must be informed in writing of the

date of the review meeting at least ten school days in advance.

• The practice, review and development (PRD) record should be submitted to the appraiser(s) at least five days in advance of the review meeting.

Appraisee’s self-reflectionThe appraisee should consider performanceagainst:• their own assessment of performance against

the objectives• evidence of performance in the cycle• the benefits of any professional development

undertaken• any in-year reviews that have taken place• any factors that affected performance• possible objectives for the next cycle.

Documentation to be considered

• Any relevant school performance data and information.

• School improvement plan/area improvement plan.• The school self-evaluation record.• Post-Estyn inspection plan.• The revised professional standards for education

practitioners in Wales.• Any other relevant materials, including those from

local authority reviews.

The appraisal statement• Written statement must be provided within

10 school days.• Training and development needs must be

provided in an annex.• Appraisee may add comments to the statement

within 10 days – these will form part of the statement.

• The appraisal statement is personal and confidential.

• A copy of the appraisal statement should be given to the appropriate personnel.

Setting objectives

Setting the objectives• Three objectives will normally be sufficient.• The appraisee’s objectives should:

– contribute to improving the progress of learners at the school

– take account of relevant evidence including school performance information

– be focused on key expectations and developmental priorities on whichevidence-based judgements can be made

– be recorded in the statement of objectives.

Objectives need to be:• clear – offering no possibility of ambiguity or

confusion about the intended outcome• concise – using as few words as possible to

convey the intention• measurable – expressed in such a way that

criteria can be agreed which will demonstrate whether or not the objective has been achieved

• challenging – sufficiently challenging, taking into account the circumstances of the school, to bring about significant improvement

• developmental – supporting the improvement of the school and the appraisee.

Identifying professional development needs

Professional development should:• support the appraisee in enhancing skills and

knowledge• support agreed objectives• develop strengths• address areas for personal development or

professional growth• identify opportunities to share good practice.

Monitoring performance

Monitoring performance • Monitoring procedures should:

– be discussed and agreed at the planning meetings

– include a variety of methods.• Progress should be monitored throughout the

year.• Sufficient appropriate evidence should be

gathered to ensure secure judgements.• The appraisee must keep an up-to-date practice,

review and development (PRD) record.

Monitoring progressThere may be a variety of monitoring methods used to gather sufficient appropriate evidence in order to ensure secure judgements are made. The evidence can be gathered from various sources including:• in-year meetings between the appraiser(s) and appraisee• the appraisee’s practice, review and development (PRD) record• school improvement plan • school performance data and information• the school’s ongoing self-evaluation process• teaching observation (where appropriate).

Teaching observations• Nature, purpose and focus agreed between the appraiser

and the appraisee prior to observation.• Observations for the purpose of performance

management must only be carried out by persons holding qualified teacher status (QTS).

• Observations should take place during lessons and activities that have been planned in advance.

• At least five school days’ notice is required.• Minimum of one observation per year for performance

management.• Feedback should be given as soon as is possible (usually

within five school days).• Outcomes of observation, including feedback, should be

recorded – appraisee should be given opportunity to add comments.

Managing underperformance• Performance management does not form any

part of any formal disciplinary, competency or capability procedures.

• Appraisal statements may be taken into account by those responsible for taking decisions about performance, pay, promotion, dismissal or disciplinary matters.

• Effective line management, with clear expectations and appropriate support, will assist in identifying and addressing any areas for improvement in performance at an early stage.

Exceptional circumstances

• Where a decision is taken to enter into a formal competency or capability procedure, then that procedure supersedes performance management arrangements.

• The performance management process may be suspended at any time.

Reflection and discussion – self-evaluation

A. In what way do(does) the appraiser(s):• plan the appraisal cycle with the appraisee?• set the objectives taking account of the performance review of

the previous cycle?• discuss and identify professional development needs?• keep progress under review and monitor performance against

objectives regularly throughout the performance management cycle (formative review)?

• take appropriate action and facilitate support when there is underperformance?

• conduct an annual review of performance with the appraisee (summative review including judgements)?

• arrange for the appraisal statement to be made available to the required personnel?

B. How is performance management embedded in the improvement processes of the school?C. Are there any aspects that could be improved?

(Use prompt sheet 3 to facilitate discussion.)

Roles and responsibilities

of the appraisee

Role of the appraisee

• Discuss and agree objectives with appraiser(s).• Participate in monitoring and review

arrangements.• Discuss and identify professional development

needs.

Responsibilities of the appraisee

• Discuss setting of objectives with the appraiser within context of the school, the job description and the appropriate professional standards.

• Inform the process by identifying and providing relevant data and evidence of performance.

• Participate in monitoring arrangements.• Maintain an up-to-date practice, review and

development (PRD) record.• Contribute to the annual review against

objectives and overall performance.• Discuss and identify professional development

needs to support professional practice.

Reflection and discussion – self-evaluation

A. In what way does the appraisee:• discuss setting of objectives with his/her appraiser(s) within

the context of the school, the job description and the appropriate professional standards?

• inform the process by identifying and providing relevant data and evidence?

• participate in monitoring arrangements and maintain anup-to-date practice, review and development (PRD) record?

• contribute to the annual review against objectives and overall performance?

• discuss and identify professional development needs to support professional practice?

B. How is performance management embedded in the improvement processes of the school?C. Are there any aspects that could be improved?

(Use prompt sheet 4 to facilitate discussion.)

The performance management process

Best practice in performance management is characterised by:• a commitment to the attainment and welfare of learners • an appreciation of the crucial role that teachers play• a commitment to the performance and welfare of staff• an atmosphere of trust between the teacher and their

appraiser, which allows for rigorous evaluation of strengths and identification of areas for development

• an encouragement to share good practice• the integration of performance management into the overall

approach to leading and managing the school.

Reflection and discussion – self-evaluation

A. In what way does the performance management process:• support the vision of the school?• contribute to improving the attainment and welfare of

learners? • assist in the professional development of all staff?• establish an atmosphere of trust between the teacher and

their appraiser, which allows for rigorous evaluation of strengths and identification of areas for development?

• encourage the sharing of good practice?• underpin the overall approach of leading and managing the

school?• meet the revised statutory regulations?

B. How is performance management embedded in the improvement processes of the school?C. Are there any aspects that could be improved?

(Use prompt sheet 5 to facilitate discussion.)

And finally . . .

‘Performance management focuses attention on making teaching and leadership more effective to benefit pupils, teachers and schools.’

Performance management for teachers

(Welsh Government, 2012)