Performance Management in Schools

A Handbook for School Leaders and Governors

In Partnership with Yorkshire and Humberside Co-ordinators of Governor Services

September 2011

Contents
Page 1 Page 2 Contents Introduction Performance Management in the School Setting The Process What does the Performance Management Review Cycle look like? Performance Management Aide-Memoir Who does what? Monitoring the Policy Process and Timings The Formal Review Meeting The Role of the External Adviser 8 Steps to Managing the Headteachers Review How to ask the right questions, to make sure you get the right answers Setting SMART Objectives Amending existing or agreeing new objectives Recording changed objectives Failure to agree an amendment Continuing Professional Development Confidentiality and Access to Review Statements Guidance for Staff Discipline Grievance Committees

Page 3 Page 4 Page 5

Page 6 Page 7 Page 8

Page 9 Page 10

Page 11

Appendices Page 13 Page 15 Page 19 Appendix 1 Case Studies Appendix 2 Model Proformas Appendix 3 Summary of the Regulations for Teachers and Headteachers Performance Management Appendix 4 Performance Management Checklist Appendix 5 Frequently Asked Questions Appendix 6 Classroom Observation Protocol

Page 22 Page 23 Page 25

Introduction
The aim of this Handbook is to clarify the purpose of performance management in schools, explain the process and the role and responsibilities of governors within it. The content of this handbook relates to School Teacher Performance Management (England) Regulations 2006. It is expected that revised regulations will be in place for September 2012. Performance Management in the School Setting Performance management is, quite simply, a tool for school improvement. It is a key and integral part of school self evaluation and improvement planning. All employees - teachers and support staff - have an entitlement to a professional discussion about their development and progress. All schools have a School Development/Improvement Plan. Performance Management is the link between them. Assuming that a school knows the areas in which it needs or wants to improve as a result of rigorous self evaluation and that every teacher and support staff member addresses those areas in their performance objectives, the result will be an improved educational provision for our children. The process There is a statutory requirement for every teacher to have an annual professional development review in which objectives are set. Alongside this, every teacher must be observed teaching by their Line Manager (or other appropriate colleague). The results of both of these parts of the process are reviewed again the following year. The above applies to all teachers. In addition, when a teacher reaches Point M6 on the main pay scale, they may apply to cross the Threshold in the next academic year. The eligibility to cross the Threshold is based on evidence provide d in the previous two years performance management reviews. Once across the Threshold, teachers move to the Upper Pay Spine, Point UPS1. From this point they may in future years progress further up the Upper Pay Spine, usually after 2 years and as long as they have been taking part in the Performance Management process. There are a further 2 points UPS2 and UPS3. In addition, the governing body has a responsibility to agree and monitor objectives for any Excellent Teachers or Advanced Skills Teachers the school may have. Currently, there is no statutory requirement to hold formal performance reviews and set objectives for support staff. However, it is good practice and many schools are including support staff procedures in their revised Performance Management Policy. In Kirklees this is recommended and support is available from the Local Authority (LA). What follows is a representation of the review cycle. It is worth looking at this in light of the 3 main roles of the governor: The strategic view a role in which the governing body looks at the long-term aims and strategies for school improvement. The critical friend a supportive but challenging critique of a colleagues (the headteachers) work. Accountability the governing body is responsible for providing the best possible education for its pupils. 2

What does the Performance Management Review Cycle look like?

The cycle for School Improvement can be seen to be cyclical or linear in that the process starts with school self evaluation. The priorities for improvement identified in the schools self evaluation become the headline priorities for the School Development/Improvement Plan (SDP). Performance management objectives should reflect the priorities in the SDP. Continuing Professional Development (CPD) is provided to help ensure objectives are met. And back to the school self-evaluation process.. The three stages of the Performance Management cycle reflect the three main roles of the Governing Body. Planning objectives is a key part of the strategic function of governors. Monitoring throughout the process with an on-going professional dialogue reflects the role of the critical friend. Reviewing progress at the end of the cycle reflects the governing bodys accountability.

The Performance Management Cycle

Planning
Objectives set Classroom observation and evidence collection agreed Performance criteria for the above set Support, training and development agreed Timescales set

Monitoring & Supporting

Monitoring of performance throughout the cycle Provision of agreed support Evidence collection Ongoing professional dialogue

Reviewing
Overall assessment of individuals progress against the performance criteria Recommendations for pay progression made for eligible teachers No surprises

Performance Management Aide-Memoire - Who does what?

The full governing body must not as a whole group discuss the performance of an individual member of staff (Governors who are teachers or members of staff at the school must not be named as Governor Reviewers, nor may they be "present at any meeting where the subject under consideration is the pay or performance appraisal of any person employed to work at the school". School Governance (Procedures) (England) Regulations 2003). In brief the full governing body should be doing the following: Governing Bodies must: Establish the schools performance management policy, monitor t he operation and outcomes of performance management arrangements, and review the policy and its operation every year Appoint 2/3 governors to review the headteachers performance on an annual basis Use an external adviser to advise reviewer governors on the headteachers performance Retain a copy of the headteachers planning and review statement (normally the Chair) Where the headteacher makes such a request, to action requests for evidence from the performance management process if s/he transfers mid-cycle Ensure the content of the headteachers planning and review statement is drafted, having regard to the need to be able to achieve a satisfactory work life balance Undertake action in relation to appeals in line with the schools policy

The Governor Reviewers: Undertake training Receive/commission evidence and information to be collected Take advice from the external adviser, when agreeing objectives and reviewing the headteachers performance Conduct the headteachers performance review Make recommendations to the appropriate committee regarding pay awards as appropriate

The headteacher has particular responsibilities to: Report annually to the governing body on performance management arrangements and on training and development needs for all teaching staff Play an active part in their own performance management and professional development including taking action as agreed at review meetings Act as performance reviewer for teaching staff and, where appropriate, delegate the role of performance reviewer in its entirety Retain copies of all review outcomes and ensure the school produces and resources an effective plan for the professional development of its workforce Establish a protocol for classroom observation for inclusion in the performance management policy Action any request from a teacher for evidence from performance management to be transferred if the teacher moves school mid-cycle 4

Evaluate standards of teaching and learning and ensure proper standards of professional practice are established and maintained Ensure that a teachers planning and review statement is drafted having regard to the need for a satisfactory work life balance.

Monitoring the Policy Governors must monitor the effective operation of the policy. information given by the head. They do this through

The head is required to report annually to the governing body on the operation of performance review at the school, the effectiveness of the policy and the continuing professional development (CPD) needs of the teachers. Governing bodies need to satisfy themselves that: Activities and procedures as described in the policy are taking place The process ensures equality of opportunity The impact on teaching and learning is positive The necessary resources are available to support the training and development needs of staff.

The schools Performance Management Policy should link to arrangements for school improvement, school self-evaluation and CPD planning. Headteachers must establish a Performance Management policy which includes a protocol for classroom observation, on which they consult with teachers, and which they seek to agree with trade unions. Process and Timings The annual cycle for teachers must be completed by 31st October each year in time for pay recommendations to be made to the Governing Body (31st December for headteachers). There are provisions in the Regulations to seek to limit workload arising from Performance Management. The timeline details the following: From review meeting to the production of the draft statement - 5 days Heads time to comment 5 days If the head wishes to appeal, it must be lodged within 10 days of receipt of the statement.

The Formal Review Meeting Present at the headteachers review meeting will be the head, the external adviser and the Governor Reviewers. In the review part of the meeting, they will review performance against the performance criteria established at the outset. The assessment at the review meeting (based on the performance criteria) forms the basis for the recommendation for a pay award. Governor Reviewers and the head are required to meet at least once during the year to have an on-going professional dialogue. It will enable governors to ensure that the head is on track to meet the objectives and check on evidence collection as the year progresses. 5

At the planning section of the meeting, reviewers must discuss and record the following: Objectives Classroom observation and its focus (for teachers, but not headteachers) Any other evidence Support and development to be provided (CPD) Timescales Performance criteria against which progress will be judged at the end of the cycle

The head must know at the outset what is expected of them. The outcome of the planning section of the meeting will represent the overall performance of the head. * The focus on evidence collection and objective setting should be on the heads strategic leadership role, rather than their classroom practice, even if they have a substantial teaching commitment. The Role of the External Adviser The governing body is required to appoint an external adviser. The external adviser is an independent person who is able to provide advice and guidance to the headteacher and reviewer governors when reviewing performance against previous objectives and setting new ones. This was previously part of the role of the School Improvement Partner. The members of the LAs Transformation Quality Improvement team are available to undertake this role through the Traded Learning Service. They will need to have studied: The review statement and objectives set for the previous year A summary of monitoring information collected during the year The heads self evaluation of the progress and success of the objectives LA monitoring information (if requested by Governor Reviewers) Any other relevant information (reports, work scrutiny summary, minutes of staff and Governing Body meetings etc).

It is crucial that whatever the external adviser has access to regarding the headteachers performance management, the Governor reviewers must also have access to.

8 Steps to Managing the Headteachers Review Actions Step 1 a) Identify: the Governor Reviewers agree the delegated powers, in accordance with the Regulations decide which committee will action the decision on pay b) Appoint external adviser Step 2 Ask the LA to send relevant information (as early as possible in September) Step 3 Make the arrangements with all parties for the meeting, including date, timing of the 2 meetings, a suitable room (no distractions), catering. Who Full GB Date Late summer term/ early autumn term

GB PM Chair

Autumn term

PM Early autumn governors/ term Head/External Advisor Step 4 Ensure all parties receive the information pack Head Immediately after the Single Conversation Step 5 The external adviser will send the preliminary External Within 1 advice to the head; the head will forward to the Advisor Head week of the Governor Reviewers, allowing governors sufficient Single time to digest. Conversation Step 6 It may be helpful to have a meeting to discuss the PM Within 10 preliminary advice. It is preferable if the Governor governors/ day period Reviewers have discussed the advice and Head prepared questions and opinions on key issues from the advice. The head may choose to attend this meeting. Step 7 Decide whether to accept the external advisers offer to draft the review statement and the objectives. Step 8 The PM Governors must provide a copy of the review statement, on request, to those governors responsible for taking decisions relating to pay, who should then take account of it when making such decisions. PM Governors Prior to or at the meeting

PM Governors

After the meeting

How to ask the right questions to make sure you get the right answers! Question/Statement Open: Tell me about What about Encourages people to talk Closed: How many times did you try? Reflective: You feel upset at what happened Building/Linking: Earlier you spoke to us about Testing understanding: Are you saying that? Can I make sure that I have understood you? Setting SMART Objectives There is no longer a requirement for there to be a minimum of 2 categories of objective. However, we believe that one should still relate specifically to pupil progress. Good practice indicates that a range of between 3 and 5 objectives is the most appropriate. Objectives should largely relate to the School Development/Improvement Plan, in order that school maintains a coherent strategy for improvement. Whilst setting SMART objectives is second nature for many, for the benefit of new colleagues, this is what it is all about. S M A R T specific measurable achievable relevant time related Maintains a flow Gets more information For clarifying single facts. It narrows the context. Very powerful repeats verbatim what is heard, seen, felt. Establishes empathy Getting people to talk or for opening up new ideas. Most openings Probing and exploring new information With talkative people or where specific information is needed Useful for: Not useful:

For establishing facts

Clarifying and checking

With talkative people

So, an objective that says Improve standards in maths is not acceptable but one that says Improve standards in maths in Key Stage 2 by summer 2012: To be in line with standards in English or To be in line with national expectations or By 10% (10% being 5 pupils) 8

This shows an understanding of: standards in maths in comparison to another core subject the comparative performance data the cohort (the particular year group of pupils) A SMART objective could focus even more specifically, for example, on the performance of boys, or a particular ethnic grouping, or a particular area of a subject (reading or writing in English, for example). The most important thing for the review process, however the objective is worded and whatever it focuses on, is that progress and achievement can be measured. It is the responsibility of the Governor Reviewers to ensure data is available to enable such measurement. If it isnt, then it is not fair on the headteacher, as they will struggle to prove they have achieved the objective. It is the responsibility of the Governor Reviewers to state what evidence they will need and how they will collect it. Whilst the heads self evaluation is a very useful tool for the governors and SIP alike, this should not mean they have to do the governors job too and collect and collate all the evidence. Please see the case study for further clarification of really good practice in a Kirklees school. Amending existing or agreeing new objectives during the review cycle It may sometimes be appropriate to amend objectives agreed at the start of the review cycle or to agree new objectives to reflect significant changes in circumstances. The Headteacher: This may be initiated by the head or by the Governor Reviewers. It is not necessary to involve the external adviser but the Governor Reviewers may, if they wish, seek advice on amending or agreeing new objectives. The Teacher: The Reviewer or the teacher may seek agreement to amend existing objectives or agree new objectives. When may a change be considered? A significant, unanticipated event may make it appropriate to revisit the existing objectives, such as: Changes of circumstances, such as prolonged sickness absence, or a change in working hours New responsibilities, such as a teacher receiving a Teaching and Learning Responsibility (TLR) point Significant change in pupils being taught Major policy change Serious damage to premises or resources

If it is decided that a change is necessary, the practicalities of making a change should also be considered.

Recording changed objectives Any changes should be discussed between Reviewer and Reviewee (or head and Governor Reviewers). Agreed changes should be recorded on the written statement of objectives and it is recommended that a note is added explaining the changes. For teachers, if classroom observation has taken place prior to the amendment of objectives then careful consideration should be given to the need for any further observation arising from the amendment. Failure to agree an amendment It is recommended that a note is made on the written record of objectives where there has been a failure to reach agreement to any changes. In such circumstances the original objectives will remain. Continuing Professional Development CPD needs must be agreed at the beginning of the cycle, as well as the actions which will be taken to address them Professional development should support achieving objectives and respond to career aspirations The headteacher is to report annually to the Governing Body on teachers CPD needs.

Confidentiality and Access to Review Statements It is important that all those participating in the performance management process are fully aware of the need for due confidentiality throughout the process. All performance management matters are confidential. As with all personnel issues, governors must exercise the highest degree of caution when involved in sensitive matters that may impact on the work of the governing body or the operation of the school. There should be no discussion outside of the meeting, and any records kept should remain confidential to those attending. The full governing body must not discuss the performance of an individual member of staff. Only the Governor Reviewers (and the Chair of Governors when they are not a Governor Reviewer) should have full access to the existing objectives, to review progress, agree future objectives and make a recommendation to the appropriate committee of the governing body. The recommendation passed to the committee designated to receive the pay recommendation should only be a summary of the decision but should include a comment on the overall performance of the head teacher. It should not reflect the reasons for that decision. If the head appeals against any decision, the Staff Discipline and Grievance Appeal Committee appointed to review the decision should also have full access to relevant information. Governors who are employees of the school may not review the headteacher's performance. Access to review statements is restricted to the external adviser, those governors responsible for advising on or deciding pay and promotion, and where the school does not have a delegated budget the Director of Children and Young People Service or their representative. 10

Unless the headteacher agrees otherwise, his/her objectives are confidential to the Governor Reviewers. However, as stated in the introduction, performance management is a tool for school improvement. The governing body is responsible for raising standards and for the strategic direction of the school. The heads objectives are a fundamental part of this strategy.

Guidance for Staff Discipline and Grievance Appeal Committees

The appeal process There is a clear right of appeal to the Staff Discipline and Grievance Appeal Committee. The reviewee may make an appeal against the contents of the statement using the schools appeals procedure. Simple disagreements should be resolved by discussion between the reviewer and the reviewee. The decision to be made is whether the Governor Reviewers have followed the procedures outlined in the schools Performance Management Policy . Also, that their conclusions are sound given the Performance Management objectives set and the evidence that they have used in making their evaluation. To carry out this type of review, it is necessary to maintain a large degree of impartiality and attempt to ignore the fact that the people involved are known to you and that many of the facts used in reaching a sound decision were possibly already known in part by yourself. Things you will want to consider 1. Why has the appeal been made and is it within 10 days? You will need to respond within 10 days. Has the headteacher written on the review statement or informed you in writing what their complaint is? 2. Which are the Performance Management objectives that are contentious, if any? 3. Do you have all the paperwork leading up to and subsequent to the annual Performance Management review meeting available: Original statement of Performance Management objectives set Minutes or information from monitoring meetings Documentation used during the annual review The review statement The external adviser preliminary advice and any other information they may have provided

4. Consider the written evidence you have been given and decide if you feel the decision the Governor Reviewers made was sound and took into account all the documentation available. 5. Only question the Headteacher or Governor Reviewers to clarify aspects from the written evidence. Keep it brief and do not enter into discussion about the complaint and potential conclusions.

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6. Aspects for consideration (not an exhaustive list) Are the objectives clear, concise and measurable? Were monitoring and progress meetings held and if problems were identified in achieving the objectives, were amendments considered and agreed? Does the information provided at the Review Meeting by the headteacher demonstrate progress toward or completion of the objectives? Were allowances given for changing circumstances? Is there evidence of conflict between parties which may bring into question the fairness of the whole process? 7. Consider all the information provided and decide whether: There is no foundation to the complaint There is foundation to the complaint and it can either be resolved by discussion with the Governor Reviewers and headteacher, which allows agreement and amendments to be made or the review needs to be undertaken again with different Performance Management governors. 8. Finally, provide the headteacher and chair of the Governor Reviewers with a written report on the decision reached and reasons for how the decision was made. It is important to be brief and not personally critical. The Committee structure and decisions on pay In most schools, all decisions on staff pay are taken by a governing body committee with the appropriate terms of reference, whether it is the finance, staffing or pay committee. This follows the presentation of information by the headteacher in the context of the schools performance management and pay policies. It is important that the full Governing Body decides annually the terms of reference for the PM committee and which other committee (finance, staffing or pay) will receive their recommendation and that the decision is minuted. Under the School Teachers Pay and Conditions of Employment 2002: Guid ance, Annex A, paragraph 6, it is possible for the governing body to give the Governor Reviewers responsibility for awarding performance points to the headteacher.. This means it is legal for the PM committee to maintain this element, i.e. decide, rather than recommend on a pay award, but this is not advisable in terms of transparency of decision making. Please note Governors who are teachers or members of staff at the school may not be "present at any meeting where the subject under consideration is the pay or performance appraisal of any person employed to work at the school". School Governance (Procedures) (England) Regulations 2003.

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Appendix 1 Case Studies 1. Good practice case study Systems and procedures for conducting the heads review

In a Kirklees Junior School the Performance Management Committee set up guiding principles that have ensured a professional, efficient and effective process: All Governor Reviewers attend performance management training Any newly appointed Governor Reviewer will attend the performance review as an observer for the year prior to taking up the appointment Each governor will take responsibility for an objective, collecting evidence throughout the year Each governor will present that evidence in the formal review.

What a former External Adviser said about the schools systems The documentation sent for the preliminary advice gave everything needed to gain a good picture of progress. The analysis, both by governors and the headteacher, is exemplary. The evidence that governors have required from the head throughout the year is wideranging and thorough and adds to the picture. Relationships are very good and the whole process is conducted in a most professional but supportive way. The governors are the best example one could find of getting this right - in terms of thoroughness, rigour, tone and challenge. They are a joy to work with. A detailed Performance Management action plan had been drawn up last year following the review meeting. The evaluation of this plan ensured a very focused meeting with plenty of evidence to support the judgements. There was a large box full of evidence, ready for my scrutiny. Evidence of the governors monitoring of the action plan entailed: 2. Five committee meetings and four individual monitoring meetings between the chair and the head Interviews by the chair with individual key staff Two verbal reports to the full governing body Minutes from committee meetings to the full governing body. Good practice case study Presenting appropriate evidence

In order to make a judgement about whether or not a headteacher has fulfilled a Performance Management objective the Governor Reviewers need to use the agreed evidence from a broad range of sources. The headteachers self-evaluation provides a helpful written resum but most Governor Reviewers require more than this, whilst at the same time being aware of the need to avoid creating unnecessary work. The following case study describes how one school in North Lincolnshire addressed this problem. In addition to the heads completed self -evaluation form, the External Adviser and Governor Reviewers had the following evidence to help them.

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For the pupil progress objective: Extracts from the minutes of the governing bodys curriculum committee meetings with the relevant sections highlighted. This included some of the data that had been presented and discussed. This was supported with verbal feedback from an Appointed Governor who sat on that committee. The Panda report (now Raise-on-line)and LA pupil attainment data with appropriate sections highlighted

For a leadership and management objective which related to improvements in displays around the school: Highlighted extracts from a brief written report from two of the Appointed Governors who had visited the school during the year. Whilst coming into school to meet with the co-ordinator for the subject they were linked to, they had also taken the opportunity to view the displays around the school. A report from the schools link adviser which included positive comments about the quality of the displays around the school An extract from the heads spring term report to governors which gave information about the staff training which had taken place on displays. Extracts from a staff meeting at which displays had been considered.

For the final objective which related to the implementation of an Excellence in Cities initiative: Extracts from the heads termly reports to governors at which feedback on the progress of the initiative was given Extracts from the minutes of staff meetings at which the impact of the initiative was discussed and evaluated Extracts from the minutes of the governing bodys curriculum committee at which progress and impact were discussed. A report from the Excellence in Cities consultant

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Appendix 2 HEADTEACHER PERFORMANCE MANAGEMENT Preliminary Advice 2011 - 2012

Headteacher

Governor 1:

School

Governor 2:

External Adviser Date of review meeting

Governor 3:

Documentation accessed:

Previous notes of visit e.g. - SDP - SEF - Pupil Data

Review of progress towards objectives 2010 - 2011 Initial judgements, based on evidence accessed on the progress of the objectives over the academic year. Objective 1:

Objective 2:

Objective 3:

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Objective Setting for 2011 - 2012

Governor reviewers may want to consider the following areas as possible Performance Management objectives for 2011/112:

Objective 1:

Objective 2:

Objective 3:

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HEADTEACHER PERFORMANCE REVIEW: Draft Review Statement

This form may be used to record the key elements of each stage of the review process, in order to form the basis of the review statement provided by the Appointed Governors.

Name of School Name of Headteacher Names of Review Governors 1. 2. 3.

Date of review meeting

THE REVIEW OF PROGRESS TOWARDS 2010/11 OBJECTIVES

Summary of the outcomes in the review of headteacher progress towards objectives in 2010/12, noting main achievements.

Objective 1

Objective 2

Objective 3

Other factors in consideration of overall performance

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Draft Objective Setting for 2011 - 12 Objective: 1 Evidence

Outcome

Objective: 2 Evidence

Outcome

Objective: 3 Evidence

Outcome

Monitoring arrangements during the year: (Who? When? How?) Work Life Balance:

Date of Governors mid year monitoring meeting:

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Appendix 3 Summary of the Regulations for Teachers and Headteachers Performance Management 1. The Planning Meeting At the planning meeting at the start of the cycle, reviewers must discuss and record the following, reflecting any pay progression criteria for eligible teachers/headteachers: Objectives Classroom observation and its focus Any other evidence Support/development to be provided Timescales Performance criteria against which progress will be judged at the end of the cycle The teacher/headteacher must know at the outset what is expected of them. The outcome of the planning meeting will represent the overall performance of the teacher/headteacher. 2. The Review Meeting This is usually the same meeting as the planning meeting. In the review part of the meeting, reviewers will review performance against the performance criteria established at the outset. The assessment at the review meeting (based on performance/success criteria) forms the basis for the recommendation for pay progression for eligible teachers. The reviewer and the reviewee are required to meet at least once (twice would be advisable, so termly) to have an on-going professional dialogue. This can take place with the 1265 hours and need only last 20 30 minutes. It will enable reviewers to ensure that the reviewee is on track and check on evidence collection as the year progresses. 3. Classroom observation and other evidence This is governed by regulation, with little or no opportunity for flexibility. The regulations are that: Written feedback must be given on observations within 5 days Classroom observation is limited to no more than 3 hours per cycle, but there is no requirement to use all of these. NB this excludes OfSTED observations and Local Authority observations (using their statutory powers of intervention) Observations must be conducted by a qualified teacher Kirklees does not recommend the use of lesson observation as part of performance management for teaching heads. Their objectives should reflect their strategic role. 4. The policy The schools Performance Management Policy should link to arrangements for school self-evaluation and school improvement planning.

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Headteachers must establish a Performance Management Policy which includes a protocol for classroom observation, on which they consult with teachers, and which they seek to agree with trade unions. Only persons with direct professional knowledge of the work of the teacher/headteacher can provide evidence. 5. Roles & Responsibilities general The Reviewer will be the headteacher who may delegate this role in its entirety to the teachers line manager There is a requirement for schools, if requested by the teacher/headteacher (as the reviewee), to transfer information collected to date, if changing schools during the cycle Contribute to annual planning and assessment of other teachers where appropriate

Teachers must: Play an active role in their own performance management and professional development, including taking actions agreed at review meetings Where the role of reviewer has been delegated to them in accordance with the regulations, act as reviewers for other teachers where appropriate Governing Bodies must: Establish the schools performance management policy, monitor the operation and outcomes of performance management arrangements, and review the policy and its operation every year Appoint 2/3 governors to review the headteachers performance on an annual basis Use the external adviser to advise reviewer governors on the headteachers performance Retain a copy of the headteachers planning and reviewer statement (normally the Chair) Where the headteacher makes such a request, to action requests for evidence from the performance management process if the headteacher transfers mid cycle Ensure the content of the headteachers planning and review statement is drafted, having regard to the need to be able to achieve a satisfactory work life balance Undertake action in relation to appeals in line with the schools policy Headteachers must: Report annually to the governing body on performance management arrangements and on training and development needs Play an active part in their own performance management and professional development including taking action as agreed at review meetings Act as performance reviewers and, where appropriate, delegate the role of performance reviewer in its entirety Retain copies of all review outcomes in school improvement planning and ensure the school produces and resources an effective plan for the professional development of its workforce Establish a protocol for classroom observation for inclusion in the performance management policy Action any request from a teacher for evidence from performance management to be transferred if the teacher moves school mid-cycle Evaluate standards of teaching and learning and ensure proper standards of professional practice are established and maintained 20

Ensure that a teachers planning and review statement is drafted having regard to the need for a satisfactory work life balance

There is scope for intervention on the part of headteachers. They may instruct a reviewer to prepare a new statement where the headteacher is of the opinion that the statement is inconsistent with statements of other teacher or does not comply with PM policy. 6. Process and Timings The annual cycle must be completed by 31st October each year for teachers in time for pay recommendations to be made to the Governing Body (31 st December for headteachers). There are provisions in the regulations to seek to limit workload arising from Performance Management. The timeline details the following: Review meeting draft statement 5 days Reviewee to comment 5 days Within 10 days therefore, a signed statement must be submitted to the headteacher The headteacher has 10 working days from receipt of the statement to moderate and review and may instruct the reviewer to make changes

Appeal process There is a clear right of appeal to the staff Discipline and Grievance Appeals Committee: The reviewee may make an appeal against the contents of the statement using the schools appeals procedure Simple disagreements should be resolved by discussion between the reviewer and the reviewee

7. Continuing Professional Development Support, training and development needs must be agreed at the beginning of the cycle, as well as actions which will be taken to address them Professional development should support achieving objectives and respond to career aspirations The headteacher is to report annually to the Governing Body on teachers training and development needs

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Appendix 4 Performance Management Checklist 1. Know the performance management regulations In England, the 2006 performance management regulations came into force in September 2007. It was subsequently agreed that from 1 September 2009 (Round 10) teachers subject to these regulations will be assessed against the postthreshold standards based solely on performance management 2. Know the professional standards and how they relate to performance management 3. Make sure the GB has a current policy for Performance Management (check when it was agreed, next review date, governors for HT PM, also check Pay Policy) 4. Make sure that the GB are fully aware of their role and responsibilities for performance management of all staff 5. Make sure all staff reviewer/reviewee know about the roles and responsibilities of the

6. Understand and implement the mechanics of doing PM e.g. timetable, paperwork, objective setting and reviewing, collating evidence, class observation protocols, report to GB, meeting CPD needs 7. Are you ready? Understand your own performance management setting and reviewing objectives, role of the GB and external adviser 8. Start to build capacity for the future think about succession planning and sustainability

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Appendix 5 Frequently Asked Questions Q. The planning meeting is the opportunity for reviewees to agree with their reviewer the support they will need to help with the achievement of objectives and to also raise their training and development needs. How does this work in practice? At the beginning of each cycle, the reviewer arranges a meeting with the reviewee to consider and determine: The support that will be provided to the reviewee to help him to meet the performance criteria The timescales for the achievement of the objectives and within which support will be provided, where those differ from the length of the cycle of the reviewee The reviewees training and development needs and the actions which will be taken to address them I am a teacher with two line managers. The head has told me that each line manager will act as a reviewer and that I should hold a planning meeting with each. Is this correct? Where the teacher has more than one line manager, the headteacher may delegate the reviewers duties, in their entirety, to the line manager whom he considers would be best placed to manage and review the teachers performance. As a reviewer, I need to agree at each reviewees planning meeting a broad overview of how their performance in the classroom will be observed, do we need to discuss details at that stage? The arrangements for classroom observation recorded in the reviewees statement shall (a) specify the primary purpose of each observation to be undertaken; and (b) specify any particular aspects of the reviewees teaching performance that will be assessed during each observation. I am a reviewer, and I have some concerns about the standard of teaching performance of one of my reviewees. Can I therefore simply undertake some additional classroom observations as long as it is against specific aspects of their teaching performance? Where evidence emerges which gives rise to concern about the reviewees teaching performance, additional classroom observations may be arranged. Where it is considered appropriate to arrange additional classroom observations the head teacher shall ensure that a revision meeting is held and that details of any such observation are inserted. Q A How is pay progression linked to the review process? At the end of the cycle, each reviewer shall meet with the headteacher to jointly determine a recommendation on pay progression for each eligible reviewee. 23

Can the headteacher replace a reviewer who, for professional reasons, is no longer suitable to carry out that role? Yes. Where the head teacher decides at any time that the person to whom he has delegated the reviewers duties is no longer suitable, for professional reasons, or is no longer able to perform those duties for any reason, he may perform those duties himself or delegate them, in their entirety, to another teacher. Can a review statement be amended once the reviewer has completed the planning statement at the start of the cycle, and passed a signed copy to the headteacher? No. However, under certain circumstances the headteacher may instruct the reviewer to prepare a new plan and statement. My school has a very competent person within the support staff who has an excellent HR background and skills. I am a teacher, and the Head has appointed her to be my reviewer. Is this correct? The headteacher shall be the reviewer for all teachers at the school. In the case where the headteacher is not the teachers line manager, the headteacher may delegate the duties imposed upon the reviewer, in their entirety, to the teachers line manager.

Does a teachers work-life balance and their professional aspirations have to be taken into account in the planning meeting? Yes. I am a reviewer, and over the last two weeks I have carried out review meetings for the three teachers for whom I am the reviewer, the final meeting took place this morning. How much time do I have to provide the three teachers with a draft copy of their own individual planning and review statement? Within five days of the planning meeting, the reviewer shall (a) prepare a planning and review statement in respect of the reviewee in draft and (b) pass the draft statement to the reviewee As I am the headteacher, can the governing body delegate responsibility for undertaking my review to the chair of Governors by himself for the forthcoming year? No. The governing body may appoint two or three governors to perform the duties imposed upon the reviewer on behalf of the governing body.

A Q

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Appendix 6 Classroom Observation Protocol Classroom observation should be supportive and developmental Observations should be multi-purpose and can contribute to school self evaluation as well as performance management No more than three hours of observation should take place in any one review cycle The focus and frequency of the observations should be agreed at the planning meeting It can be agreed that more than one person can complete the observations at the planning meeting, i.e. an appropriate subject specialist A qualified teacher who is appropriately trained should complete the observation Ideally, verbal feedback should be given immediately or no longer than the next school day (PPA time must not be used) There should be a short, written record of the observation, feedback and agreed support The written feedback should be received by the reviewer within five working days of the observation Opportunity should be given for reviewees achievements to be recorded As part of their duty to evaluate the standards of teaching and learning, headteachers have the right to drop in to inform their monitoring of the quality of learning Classroom observations of Ofsted inspectors or L A Officers is not part of the three hour maximum time Teachers should have the opportunity to observe their colleagues to support professional development by agreement

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