Statutory

Non-Statutory

Teacher Appraisal and

Capability Policy

DateAugust 2014

See Also:ReviewedJanuary 2015

Whole School Academy Pay PolicyReviewedMay 2016

NORTHGATE SCHOOL ARTS COLLEGE

Teacher Appraisal and Capability Policy

Purpose

This policy sets out the framework for a clear and consistent assessment of the overall performance of teachers, including the Executive Head Teacher, and for supporting their development within the context of the school’s plan for improving educational provision and performance, and the standards expected of teachers. It also sets out the arrangements that will apply when teachers fall below the levels of competence that are expected of them.

As a principal change to schools’ current appraisal arrangements, the Teachers’ Standards, introduced in September 2012,[1] and must now be incorporated into a school’s appraisal arrangements.

Application of the Policy

The policy is in two separate sections

Part A of the policy, which covers appraisal, applies to the Executive Head Teacher and to all teachers employed by the school, except those on contracts of less than one term, those undergoing induction (i.e. NQTs) and those who are subject to Part B of the policy.

Part B of the policy, which sets out the formal capability procedure, applies only to teachers (including the Executive Head Teacher) about whose performance there are serious concerns that the appraisal process has been unable to address

The policy also applies to staff appointed as unqualified teachers (UQT), instructors, and/or tutors appointed to lead on specific curriculum area (i.e. Horticulture, Business) who may not have qualified teacher status.

Part A – Appraisal

Appraisal in this school will be a supportive and developmental process designed to ensure that all teachers have the skills and support they need to carry out their role effectively. It will help ensure that teachers are able to continue to improve their professional practice and to develop as teachers.

Guiding Principles

In its oversight of the appraisal system, the governing body is committed to ensuring consistency of treatment and fairness and to stay within the prevailing legal framework applicable to all employers; for example the Equality Act 2010, the Employment Rights Act 1996, the Part-Time Workers Regulations 2000, the Fixed Term Employees Regulations 2002, and the Data Protection Act 1998.

The Executive Head Teacher will moderate a sample of the planning statements to check that the agreed plans are consistently weighted between employees who have similar levels of responsibility and that the plans comply with the school’s appraisal policy.

The appraisal process and the supporting documentation will be treated with strict confidentiality at all times. Only those who need access to such information will be granted access to enable them to discharge their responsibilities as directed by the school. The Governors Business Committee will monitor the operation of the appraisal system and review is at appropriate intervals. The Committee will report the recommendations to the Full Governing Body annually.

The Appraisal Period

The appraisal period will run for twelve months from 1st September to 31st August.

Teachers who are employed on a fixed term contract of less than one year will have their performance managed in accordance with the principles underpinning this policy. The length of the period will be determined by the duration of their contract.

Appointing Appraisers

The Executive Head Teacher, ExecutiveDeputy Head and Head of School will be appraised by the Governing Body, supported by a suitably skilled and/or experienced external adviser who has been appointed by the Governing Body for that purpose.

In this school the task of appraising these staff including the setting of objectives, will be delegated to a sub-group consisting of two members of the Governing Body.

The Executive Head Teacher will decide who will appraise other members of the leadership team and teaching staff.

Setting Objectives

The setting and agreement of objectives is fundamentally important to the effective operation of the appraisal system that aims to link individual performance to pay progression. The job description is a particularly useful place to begin the process of identifying relevant objectives for each individual job holder. However, the job description is just one ‘reference document’ that can be a helpful context to the process of setting and agreeing objectives. Other useful ‘reference documents’ will include the school improvement plan, the school’s business plan, the Ofsted School Inspection Report and the Teachers’ Standards.

There may be some flexibility in the setting and agreement of objectives to enable objectives to be set and agreed around issues that are emerging for the school and that require some dedicated attention that is best articulated as one or as a set of objectives. Emerging issues are unlikely to be known at the outset of an appraisal period, objectives may need to be adjusted throughout the appraisal period so that they remain relevant to the performance of the individual and to the priorities of the school. This is standard practice; the ideal outcome for all parties is that the overall weight of objectives is broadly or proportionately the same at the conclusion of any subsequent ‘objectives’ discussion.

Objectives will focus on the priorities for the school or individual for the duration of the appraisal cycle. Staff should expect to have no more than (typically) 3 objectives but there is no minimum or maximum numbers. In addition to individual targets, two “whole school” targets will be set linked to “attendance” and the development and maintenance of a Personal Portfolio. It is expected that all staff maintain an attendance level above 97% (20156-2016)

Objectives will be set out in a planning statement, along with details of any training and support which have been agreed. The planning statement will also specify the evidence that will be collected to support the review of performance including details of the arrangements for task or classroom observation, where relevant.

The Executive Head Teacher’s and Academy Leadership Team’s objectives will be set by the Governing Body after consultation with the external adviser.

Objectives for each teacher will be set before, or as soon as practicable after, the start of each appraisal period. The objectives set for each teacher will be Challenging, Specific, Measurable, Achievable, Relevant and Time-bound (CSMART), and will be appropriate to the teacher’s role and level of experience. The appraiser and teacher will seek to agree the objectives but, if that is not possible, the appraiser will determine the objectives. Objectives may be revised if circumstances change.

The objectives set for each teacher will, if achieved, contribute to the school’s plans for improving the educational provision, performance and education of pupils at the school. This will be ensured by quality assuring all objectives against the school improvement plan.

Before, or as soon as practicable after, the start of each appraisal period, each teacher will be informed of the standards against which their performance in that appraisal period will be assessed. All teachers must be assessed against the appropriate set of standards contained in the document “Teachers’ Standards” published in July 2011. The Executive Head Teacher or Governing Body (as appropriate) will need to consider whether certain teachers should also be assessed against other sets of standards published by the Secretary of State that are relevant to them, i.e. Leadership Standards.

Teachers’ Standards

Under the appraisal arrangements that took effect from 1st September 2013, the performance of all teachers, regardless of their career stage, will be assessed against the Teachers’ Standards. The standards define the minimum level of practice expected of trainees and teachers from the point of being awarded QTS. (See Appendix 1)

In order to meet the Teachers’ Standards, a teacher will need to demonstrate that their practice is consistent with the definitions set out in Part 1 (Teaching) and Part 2 (Personal and Professional Conduct). An Audit of present levels of practice will be required by all teaching staff.(See Appendix 2)

Applying the Teachers’ Standards

Teachers must make the education of their pupils their first concern and are accountable for achieving the highest possible standards in their work and their conduct. Teachers must act with honesty and integrity, have strong subject knowledge and be self-critical. They must forge positive professional relationships with those around them and work with parents in the best interests of their pupils.

Teachers

The Teachers’ Standards effectively set out a ‘code’ of good teaching practice and professional conduct and all teaching staff must meet the expectations set out in the Standards document. Teachers will therefore be evaluated against all the elements set out in the Teachers’ Standards and it is for schools to put appropriate arrangements in place to achieve a fair and equitable process of evaluation.

A full version of the Teachers’ Standards can be found at:

Gathering the Evidence

As part of the overall appraisal process, it is critically important for all members of staff who are subject to the school’s Teacher Appraisal policy to be clear about the evidence that they will be required to provide their appraiser to enable the appraiser to assess their performance and make a substantiated and evidence-based pay recommendation to the ‘decision maker’.

Judgements relating to performance must be supported by evidence, agreed at the beginning of the performance cycle. Evidence must show and demonstrate a contribution towards:

  • an increasing positive impact in pupil progress;
  • an increasing impact on wider outcomes for pupils’
  • improvement in specific elements of practice, e.g. lesson planning;
  • an increasing contribution to the work at the school;
  • an increasing impact on the effectiveness of staff.

The evidence gathered by a member of staff will be determined by the nature and scope of the agreed objectives and/or the Teachers’ Standards. Examples of evidence may include:

  • classroom observations
  • task observations
  • reviews of assessment results
  • reviews of lesson planning records
  • internal tracking
  • work sampling
  • moderation within and across schools
  • pupils’ Voice
  • parents’ Voice
  • Executive Head Teacher/Head of School/Deputy Executive Head Teachers’ walkabouts
  • Evidence supporting progress against Teacher’s Standards

Any classroom or task observations will be carried out in accordance with the schools ‘classroom and task observation protocol’. Classroom observation will be carried out by qualified teachers. At least 5 working days’ notice of the date and time of the observation will be given and verbal feedback provided by the end of the next school day in a suitable private environment. Written feedback will be provided within 5 working days. The appraisee has the right to append written comments to the feedback document.

Reviewing Performance

Observation

This school 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.

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 school. Classroom observation will be carried out by those with QTS. In addition to formal observation, The Executive Head Teacher/Head of School/Deputy Executive Head Teacher or other leaders with responsibility for teaching standards may ‘drop in’ in order to evaluate the standards of teaching and to check that high standards of professional performance are established and maintained. The length and frequency of ‘drop in’ observations will vary depending on specific circumstances.

For appraisal purposes, the Governing Body is committed to ensuring that classroom and task observation is developmental and supportive and that those involved in the process will:

  • Carry out the role with professionalism, integrity and courtesy;
  • Evaluate objectively;’
  • Report accurately and fairly; and
  • Respect the confidentiality of the information gained, and ensure it is not shared outside Members of the appraisal team.

The arrangements for classroom/task observation will be stated in the classroom observationprotocol and will include the amount of observation, specify its primary purpose, any particular aspects of the employee’s performance which will be assessed, the duration of the observation, when, during the appraisal cycle, the observation is likely to take place and who is likely to conduct the observation.

Where evidence emerges about the appraisee’s performance, which gives rise to concern during the cycle, additional observations may be arranged during the cycle.

Teachers (including the Executive Head Teacher) 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 (CPD). The school 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 on-going professional development needs and priorities of individual teachers.

Continuing Professional Development

The school’s CPD programme will be informed by the training and development needs identified through the appraisal procedure. The Governing Body will ensure in the budget planning that, as far as possible, appropriate resources will be made available for any agreed training, support and continuing professional development.

Support to meet individual or collective development needs will be provided within the context of the school’s improvement plan.

Feedback

Teachers will receive constructive feedback on their performance throughout the year and as soon as practicable after observation has taken place or other evidence has come to light. Feedback will highlight particular areas of strength as well as any areas that need attention. Where there are concerns about any aspects of the teacher’s performance the appraiser will meet the teacher formally 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 (e.g. 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;
  • 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 through that process.

Pay progression linked to performance

The governing body will consider annually whether or not to increase the salary of teachers who have completed a year of employment since the previous annual pay determination and if so, to what salary within the relevant pay ranges. All pay recommendations will be clearly attributable to the performance of any employee.

Reference the “Whole Academy Pay and Conditions Policy (June 2014)

Transition to Capability

If the appraiser is not satisfied with progress, 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, and will be invited to a formal capability meeting. The capability procedures will be conducted as in part B of this policy.

Annual Assessment

Each teacher’s performance will be formally assessed in respect of each appraisal period. In assessing the performance of the Executive Head Teacher, Executive Deputy Head and Head of School, the Governing Body must consult an external adviser.

This assessment is the end point to the annual appraisal process, but performance and development priorities will be reviewed and addressed on a regular basis throughout the year in interim meetings which will take place once a term.

The teacher will receive as soon as practicable following the end of each appraisal period – and have the opportunity to comment in writing on – a written appraisal report (Appendix 5). In this school, teachers will receive their written appraisal reports by 31st October (31st December for the Executive Head Teacher and Head of School). The appraisal report will include:

  • Details of the teacher’s objectives for the appraisal period in question;
  • An assessment of the teacher’s performance of their role and responsibilities against their objectives and the relevant standards;
  • An assessment of the teacher’s professional development needs and identification of any action that should be taken to address them;
  • A recommendation on pay will be made to the Governors Business Committee for confirmation at Full Governing Body meeting in Term 2 (November/December). The result will be reported to individual staff by 31st December where that is relevant.

The assessment of performance and of professional development needs will inform the planning process for the following appraisal period.

Part B – Capability Procedure

This procedure applies only to teachers, The Executive Head Teacher, Head of School and Deputy Executive Head Teacher about whose performance there are serious concerns that the appraisal process has been unable to address.

At least five working days’ notice will be given of the formal capability meeting. The notification will contain sufficient information about the concerns about performance and their possible consequences to enable the teacher to prepare to answer the case at a formal capability meeting. It will also contain copies of any written evidence; the details of the time and place of the meeting; and will advise the teacher of their right to be accompanied by a companion who may be a colleague, a trade union official, or a trade union representative who has been certified by the union as being competent.