PERFORMANCE MANAGEMENT FRAMEWORK

Performance & Development

Appraisal Policy & Procedure –Teaching Staff

February 2014

PERFORMANCE AND DEVELOPMENT

Introduction

New Appraisal and Capability arrangements for Teachers came in to force in September 2012. The Appraisal arrangements are set out in the Education (School Teachers’ Appraisal) (England) Regulations 2012 which replace the Education (School Teacher Performance Management (England) Regulations 2006.

The new Capability Procedure which reflects the principles set out in the ACAS Code of practice on disciplinary and grievance procedures replaces the statutory guidance “Capability Procedures for Teachers issued in July 2000. It is set out in a separate document.

Both Policies and associated procedures form part of the Navigate Academies Trust Performance Management Framework and provide a structured and consistent approach to ensuring continuous employee development and a means of dealing with the minority of employees whose performance does not meet with required standards.

The framework, incorporating the two inter-related Policies, is intended to facilitate and support a continuous improvement process, both for high performing employees and those with identified development needs.

Thedocuments are intended as a quick and easy reference for all employees involved in using the Navigate Academies Trust Performance and Development Appraisal and Capability Procedures. It provides an overview of the framework including a summary of the main elements.

APPRAISAL

Aim of the Performance and Development Appraisal Scheme

The Performance and Development Appraisal Process is based on a competency framework integrating professional/technical competencies, set out in the Standards for Teachers, with behavioural competencies and the achievement of agreed objectives and targets. Together they form the basis of a Performance Contract between the Academy and the Individual employee.

The overall aims of the Performance and Development Appraisal Scheme is to:

  • provide an opportunity for two-way feedback in relation to the Performance Contract between the Academy and employees;
  • to discuss how the individual or team is progressing in terms of the achievement of objectives and targets;
  • to see what improvements can be made, to build on their strengths and to identify training and development opportunities to enable them to perform their job effectively in the context of the Academy objectives;
  • It is also an opportunity for employees to provide feedback to their line manager about how they are managed.

Who Does the Policy Apply To?

This policy applies to all teaching staff in the Academy including the Principal and Senior Leadership Team.

For everyone involved the Appraisal Process provides the basis for an annual review taking into account the feedback from Appraiser and Appraisees.

Objectives

Objectives for each member of staff will be set before, or as soon as practicable after, the start of each appraisal period and unless there are exceptional circumstances (e.g. maternity/paternity leave or sickness absence), no later than the end of October. The objectives set for each member of staff, will be:

Specific

Measurable

Achievable

Realistic

Time-bound

and will be appropriate to the staff member’s role and level of experience.

Objectives will usually be agreed between the appraiser and appraisee but, if that is not possible, the appraiser will determine the objectives. Objectives may be revised if circumstances change. Should the objectives not be agreed, the final decision on allocation of objectives rests with the Principal.

Objectives will be set at the planning stage of the Appraisal Interviewaround three thematic areas:

  • Academy level
  • Classroom or cohort level
  • Individual level

Key to a successful appraisal is that the outcomes should meet the individual needs of teachers and contribute to the whole academy development plan

The purpose of the Performance and Development Appraisal is to:

  • Ensure an effective two-way dialogue between appraiser and appraisee
  • Set individual or team objectives linked to their Academy, Departmental or team plans
  • Assess performance against the Academy’s behavioural Competency Framework
  • Assess Performance against the professional/technical competencies required for the job
  • Assess performance in relation to the achievement of individual or team objectives
  • Assess performance in relation to the whole academy self evaluation outcomes
  • Identify individual or team training and development needs relating to the achievement of work objectives and the development of generic and job-specific competencies.

Principles of the Scheme

The Navigate Academies Trust Performance and Development Appraisal Scheme is a single scheme with the flexibility to carry out individual appraisals within each Academy. The scheme is based on the following principles:

  • all employees should receive 1 formally documented appraisal per year
  • appraisals should be carried out on an individual basis
  • the appraisal should be built on regular two-way feedback throughout the year and there should be no surprises.

The principles reflect the appraisal arrangements set out in the Education (School Teachers’ Appraisal) (England) Regulations 2012 (the Appraisal Regulations) which replace the Education (School Teacher Performance Management) (England) Regulations 2006 (the 2006 Regulations).

Whilst staying within the legal framework set out in the Appraisal Regulations and in other relevant legislation that affects all employers (for example legislation on equality, employment protection and data protection), the Academy will integrate the professional standards for Teachers effective from 1st September 2012 with the standards required for the award of TLR responsibility allowances, those required of teaching staff paid within the Upper Pay Scale and requirements of Leading Practitioners.

In addition, for members of the Senior Leadership Team within each Academy there will be an assessment against a range of behavioural competencies to reflect the importance of how Academy Leaders fulfill the requirements of their roles.

Appraisals of all teaching staff will be conducted by the appropriate line manager, as determined by the Principal.

The Principal will be appraised by the Chair of Governors, together with a Representative and an Adviser from Navigate Academies Trust.

Time-scales

  • All annual appraisals to be completed by 31st October, to ensure that appraisals complement the performance planning cycle and feed into corporate training plans
  • Interim reviews will take place as part of the structured feedback on lesson observations to ensure and support progress towards agreed objectives.

Review and Monitoring

As this is an Academy objective, Senior Managers should ensure that systems are put in place to monitor whether:

  • appraisals have taken place for all employees
  • appraisals have been signed off by both Appraiser and Appraisee

In addition, the Trust will undertake an annual review of the Trust wide Appraisal Policy and its application within each Academy in the light of the previous year’s implementation and related feedback from appraisers, appraisees, Senior Leaders and Trade Union representatives

Roles and Responsibilities

Appraisee

The Appraisee is responsible for: -

  • highlighting examples of their performance and bringing these to the attention of the Appraiser.
  • undertaking a self-assessment against the agreed competencies and related information including classroom observation feedback and whole academy self evaluation
  • giving the Appraiser constructive feedback

Appraiser

The annual appraisal will normally be carried out by the immediate line manager/supervisor. The Appraiser must maintain regular contact with the employees for whom they are responsible to ensure that they are able to comment fairly and objectively on their level of performance.

The Appraiser is responsible for:

  • Scheduling dates for annual appraisals and co-ordinating the interim reviews with lesson observation feedback for all employees for whom they are responsible
  • Monitoring and recording employee performance and providing regular feedback and support (not just at the annual appraisal)
  • Discussing the self assessments undertaken by individual teachers against the established standards and discussing those areas where good practice can be consolidated and development needs addressed.
  • Providing help and support to assist employees in achieving their work and developmental objectives (including progressing identified learning and development needs).
  • Acting on constructive feedback received from employees about the way they are managed.
  • Facilitating agreed training priorities and where appropriate, providing copies of personal/team development plans to incorporate in Academy/Trust learning & development plans
  • Recommending salary implications based appraisal outcomes in accordance with the 2013 STPCD

Countersigning Manager / Director

The role of the Countersigning Officer/Director is to :

  • ensure that Appraisals are completed promptly when due, and in accordance with the Trust’s Policy.
  • ensure that clear, reasonable and appropriate objectives have been set

for the Appraisee, and that these align with the Academy’s objectives/priorities.

  • ensure that objectives set are fair and consistent with those for other staff across the department/academy.
  • ensure that any Equality and Diversity issues that may affect the completion of an Appraisal or its outcomes are addressed, and that where necessary positive steps are taken to promote equality for all.
  • to act as an independent arbitrator should any form of disagreement arise

between Appraiser an Appraisee

Key Stages in the Performance and Development Appraisal Process

Reviewing performance

Observation

Navigate Academies Trust believes that observation of classroom practice and other responsibilities is important both as a way of assessing teachers’ performance in order to identify any particular strengths and areas for development they may have and of gaining useful information which can inform school improvement more generally. The Lesson Observation Protocol at Appendix 5 forms the basis of a support and monitoring process that will help to ensure best teaching practice and improving educational outcomes. All observation will be carried out in a supportive fashion.

In each academy teachers’ performance will be regularly observed but the amount and type of classroom observation will depend on the individual circumstances of the teacher and the overall needs of the Academy. However, under normal circumstances, it is anticipated that no more than three observations covering a maximum of three hours will be necessary. This may be varied according to specific circumstances, but the usual frequency of observations will not apply within the formal Capability Procedure. Classroom observation will be carried out by those with Qualified Teacher Status. In addition to formal observation, Principals or members of the Senior Leadership Team will undertake focus visits to classrooms to inform their monitoring of the quality of learning and identify whole academy issues, practices or priorities. The length and frequency of such visits will vary depending on specific circumstances but will not be intended to be excessive or obtrusive, and will not form part of a teacher’s assessment.

Teachers (including the Principal) who have responsibilities outside the classroom should also expect to have their performance of those responsibilities observed and assessed.

Development and support

Appraisal is a supportive process which will be used to inform continuing professional development. The academy wishes to encourage a culture in which all teachers take responsibility for improving their teaching through appropriate professional development. Professional development will be linked to school improvement priorities and to the ongoing professional development needs and priorities of individual teachers.

Feedback

Teachers will receive constructive feedback on their performance throughout the year as part of the normal day to day working relationship and as soon as practicable after a lesson observation has taken place or other evidence has come to light.

Wherever possible, oral feedback following a lesson observation will be provided within the same working day or, when not possible, within two working days and written feedback within five working days.

Feedback will take place during directed time and will highlight particular areas of strength and achievement as well as any areas that need attention. If there are concerns about any aspects of the teacher’s performance the appraiser will meet the teacher to:

  • give clear feedback to the teacher about the nature and seriousness of the concerns;
  • give the teacher the opportunity to comment and discuss the concerns;
  • agree any support (eg coaching, mentoring, structured observations), that will be provided to help address those specific concerns;
  • make clear how, and by when, the appraiser will review progress (it may be appropriate to revise objectives, and it will be necessary to allow sufficient time for improvement. The amount of time is up to the academy but should reflect the seriousness of the concerns);
  • explain the implications and process if no – or insufficient – improvement is made.

When progress is reviewed, if the appraiser is satisfied that the teacher has made, or is making, sufficient improvement, the appraisal process will continue as normal, with any remaining issues continuing to be addressed though that process.

Prepare for the appraisal meeting:

The Trust and the Principal will ensure that:

  • Appraisers have had Competency-Based Appraisal Skills Training in respect of the Navigate Academies Trust scheme
  • Appraisees have attended an appraisal briefing session on the Competency-Based Appraisal Scheme use by the Trust
  • Appraisers and Appraisees complete appraisal preparation forms

Performance & Development Appraisal Meeting

The appraisal meeting will incorporate:

  • Review of Job Purpose and related behavioural and technical competencies
  • Review of performance against previously agreed objectives
  • Review of previous year's performance and development against the behavioural and technical competencies
  • Review of feedback from classroom observations
  • Review of whole academy self evaluation
  • Agreeing performance objectives and development plan for the next 12 months

Complete Performance and Development Appraisal Documentation

  • Appraiser completes appraisal documentation including overall summary and comments
  • Appraisee comments on and signs the appraisal document

Individual Development Plan

  • To be analysed and incorporated into Academy-wide training plan

Cause for Concern

Where the Appraiser identifies a specific cause or causes for concern an Improvement Plan will be developed incorporating:

  • A clear outline of the areas of concern
  • An action plan to address the areas(s) of concern with a description of the required outcomes
  • The time frame for the improvement plan. Under normal circumstances this will range from 6 to 10 weeks, commencing with the confirmation to the employee of the improvement plan content.
  • Details of the support to be provided for the employee, including any necessary training
  • An outline of the monitoring process to be applied to determine the extent of progress
  • Date for a review meeting

The review meeting may determine that:

  • The required progress has been made and the criteria for a successful appraisal have been met
  • Sufficient progress has not been made which will trigger:
  • An extension to or a further improvement Plan, with the associated support and monitoring processes. Under normal circumstances the duration of the second improvement plan period will be no longer than 6 weeks.

Appeals

If the Appraisee does not sign the Appraisal Document because he/she is dissatisfied with the application of the appraisal process, including the assessments of the Appraiser and/or proposed outcomes and future objectives, the employee will have recourse through the Academies Grievance Procedure.

Transition to Capability Procedure

If the appraiser is not satisfied with progress after the two periods of the improvement plan or if the level of performance is such that the education of children is in jeopardy, or if the teacher has failed to engage with the improvement process, the teacher will be notified in writing that the appraisal system will no longer apply and that their performance will be managed under the capability procedure. The employee will then be invited to a formal capability meeting. The capability procedures will be conducted in accordance with the separate Capability Policy.

Pay Policy

The Appraisal Policy has a direct link with the Pay Policy for the Academy. Under the 2013 STPCD pay progression must be based on performance and this will be determined as part of the Appraisal Process.

At the end of the Appraisal Cycle the appraiser will therefore make a recommendation to the Principal regarding the pay progression of the appraisee.

Confidentiality

The detail of the appraisal processand any associated development or improvement plans will remain confidential between the appraisee, appraiser and the appropriate member of the Senior Leadership Team.

The outcomes of the appraisal will be placed on the employee’s personal file and will be accessible to the employee and appropriate line manager(s).

Equal Opportunities

Navigate Academies Trustand the local Governing Body strives to be an equal opportunities employer and as such opposes all forms of unlawful or unfair discrimination. When making decisions within the Appraisal process and the related Pay Policy the Trust and Governors will comply with the Equality Act 2010 and the associated nine “protected characteristics”.
Appraisal Procedure

Completing Documentation

Individual Appraisals

Section 1: Job Purpose

The purpose of this section is to encourage two-way discussion, understanding and agreement of the individual's job role and the “Performance Contract”

(a) What is the main purpose of this post?

The purpose of this question is to identify the main responsibilities of a particular job in order to establish a common understanding of what is to be reviewed during the forthcoming year. It is a concise statement of the individual's main responsibilities/priorities taken from the job description. The important point is the process of discussing the job content and priorities, not the writing of a list.