1

Caerleon Lodge Hill

Primary School

Performance Management

Policy

For Teachers

January 2013

Date agreed: 28th January 2013

Current Version

Reviewed Date :_ 6th July 2015

9th November 2016

Signed ________________________ (Headteacher) Date: __________

Signed ________________________ (Chair of Governors) Date: __________

2

CAERLEON LODGE HILL PRIMARY SCHOOL

Mission Statement

Working together, learning together on our journey to success.

3

Performance Management Policy For Teachers

Contents 1. About this policy

2. Principles underpinning performance management

3. Professional standards

4. Timing of the performance management cycle

5. Appointment of appraisers

6. The Performance Management Plan

7. The review meeting

8. The Appraisal Review Statement

9. Appeals

10. Use of Appraisal Statements

11. Managing under performance

Annexes

A. Template - PRD Record

B. Template – Setting of Objectives

C. Teaching Observation and Classroom Protocols

D. Template – Lesson Observation Feedback

E. Template – Appraisal Review Statement

4

1. About this policy

This policy sets out the performance management arrangements for the Head Teacher and teachers of Caerleon Lodge Hill Primary school. It has been agreed by the Governing Body, Head Teacher and Local Authority and follows consultation with all staff members and recognised trade unions. It describes the purpose, procedures, roles and responsibilities that will ensure that the school’s performance management arrangements contribute to the professional development of its staff and to the achievement of wider development objectives for the school and its learners. The policy will be reviewed annually and any necessary amendments will be the subject of further consultation with staff members. The policy was last reviewed on 9th November 2016. The Head Teacher will provide the Governing Body with an annual written report on the operation and effectiveness of this policy including the training and development needs arising from the performance management process. This policy has been produced with due regard to the current Appraisal Regulations and accompanying guidance published by the Welsh Government. These can be found at: Regulations: www.legislation.gov.uk/wsi/2011/2940/contents/made Guidance: www.wales.gov.uk/topics/educationandskills/publications/guidance/performance-man-for-teachers?lang=en This policy does not apply to:

newly qualified teachers undergoing their statutory period of induction who are exempted from performance management arrangements; or

teachers employed for a fixed period of less than one school term

2. Principles underpinning performance management

The Governing Body is committed to ensuring consistency of treatment and fairness in the operation of performance management. The Governing Body is committed to ensuring that the performance management process is fair and non-discriminatory, and will abide by all relevant equality legislation.

The following principles will underpin our performance management arrangements:

Trust, confidentiality and professional dialogue between appraiser and appraisee

Consistency so that all staff are treated fairly

Recognition of strengths and a commitment to share effective practice

A commitment to provide constructive feedback on performance

Rigorous and evidence based

A shared commitment to meeting the school’s improvement plan and appropriate national priorities

The performance management/appraisal process is developmental and supportive and intended to foster professional dialogue between colleagues.

5

3. Professional standards

Teachers are required to meet the Practising Teacher Standards at the end of their induction period and must continue to meet them throughout their career. The Head Teacher is required to meet the Leadership Standards. Other practitioners may choose to use the Leadership Standards as a reference for their leadership development where this is identified as a priority for their professional development. The professional standards should be considered as a whole to provide a backdrop to discussion and to help practitioners identify areas for further development. The relevant professional standards can be found at: www.wales.gov.uk/topics/educationandskills/publications/circulars/practitioners/?lang=en

4. Timing of the performance management cycle

The school’s annual performance management cycle will start on 20th September and be completed by 20th October. The appraisal cycle has been timed to link with the school’s annual planning cycle.

5. Appointment of appraisers The Head Teacher will appoint an appraiser for every teacher in the school who will normally have line management responsibility for those individuals. The Head Teacher’s appraisal will be carried out by a panel consisting of:

at least two governors appointed by the Governing Body

one or two representatives appointed by the local authority

6. The performance management plan 6.1 Timing of performance management cycle Performance management will be a continuous cycle throughout the year involving three stages of planning, monitoring performance and reviewing performance. The appraiser(s) will meet with the teacher/Head Teacher at the start of the cycle to plan and prepare for the annual appraisal. This meeting may be combined with the review meeting held at the end of the previous cycle. All performance management activities will take place within teachers’ directed time, but not within a teacher’s PPA time. The meeting will seek to agree the following:

objectives for the cycle and professional development activities to support achievement of the objectives

the monitoring procedures including arrangements for observation of teaching on at least one occasion

6

any sources of information and data relevant to the objectives – these should include an up to date Practice Review and Development (PRD) Record and data/information drawn from existing sources

A template for the PRD Record is at Annex A and one for recording the objectives is at Annex B.

6.2 Objectives

Teachers, including the Head Teacher, will not necessarily all have the same number of objectives.

As appropriate, all teachers, including the Head Teacher, may have a whole-school objective or a

team objective.

Although performance management is an assessment of overall performance of teachers and

Head Teacher, objectives cannot cover the full range of a teacher’s roles/responsibilities. In

addition, the professional standards should be looked at as a whole to provide a backdrop to the

discussions to identify areas of strength and areas for further development.

Objectives will, therefore, focus on the priorities for an individual for the cycle. At the review stage it

will be assumed that those aspects of an appraisee’s roles/responsibilities not covered by the

objectives, or any revisions to the objectives that may have been made during the cycle, have

been carried out satisfactorily.

An appraiser must not obtain information from any other person, whether written or oral, relevant to an appraisee’s performance without the consent of the appraisee.

In the case of the Head Teacher’s performance plan only, the Chair of the Governing Body will provide, on request, a copy of the Head Teacher’s objectives to Estyn.

Monitoring Objectives

The arrangements for monitoring performance against the objectives, including the use of observation, will be decided during the planning meeting and recorded by the appraiser(s). The appraisee and appraiser(s) will keep progress under review throughout the cycle including the use of informal discussion as well as any agreed formal arrangements specified in the planning meeting. Informal discussion to consider progress and support required is considered good practice, and may be a feature of good professional relations between colleagues. Any informal meetings should be recorded at the planning meeting and will generally focus on providing feedback following lesson observations. The PRD Record will provide a focus for these discussions but does not form part of the Appraisal Statement. 6.3 Classroom Observation

The Governing Body is committed to ensuring that classroom 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.

No more than 3 classroom observations will be conducted as part of the Performance Management process, with the total time not exceeding 3 hours. A minimum of one observation each year by the appraiser is required for all teachers for the purpose of performance management.

7

In addition, all formal lesson observations undertaken will take place under the provisions outlined in this Performance Management Policy. Information arising from these lesson observations can be used to support general school self-evaluation, helping to identify general whole school improvement priorities. In some circumstances it will be appropriate for another person with Qualified Teacher Status (QTS) other than the appraiser to undertake observation. The person will report to the appraiser. Such occurrences will be agreed in advance with the teacher, and included in the planning statement. The focus of the observations for performance management purposes must relate to the appraisee’s objectives as agreed and set out in the planning statement. Drop-in observations, where conducted, will only be undertaken by the Head Teacher or other leaders with responsibility for teaching and learning standards. These leaders may drop-in to undertake observations to evaluate the standards of teaching and learning and to ensure that high standards of professional performance are established and maintained. Lesson observations, book scrutiny and other forms of monitoring are carried out using the EAS “Excellence in Teaching” framework. 6.4 Teachers’ Responsibilities

Throughout the course of the appraisal cycle the teacher must keep an up-to-date record of:

the teacher’s own assessment of performance against the objectives recorded in the

statement of objectives;

particulars of any professional development activities undertaken or other support provided

and how this is contributing to achievement of the objectives;

particulars of any factors which the teacher considers are affecting performance against the

recorded objectives.

Standards that are relevant to the post - holder and evidence of how they met the standard.

7. The review meeting At the end of the performance management cycle a formal review meeting will be held where the appraiser and appraisee will discuss achievements, any areas for improvement and professional development activities. This meeting may be combined with the planning meeting for the next annual cycle. The purpose of the review meeting will be to:

assess the extent to which the appraisee has met their objectives.

determine whether there has been successful overall performance in confirming the appraisee continues to meet the relevant professional standards

identify the need for additional support, training or development and how this will be met

8. The Appraisal Statement Within 10 school days of the review meeting the appraiser(s) will provide the appraisee with a written statement of the main points made at the review meeting and the conclusions reached. Annexed to the statement will be a summary of professional development needs and an indication of how these might be met.

8

The appraiser will seek to agree the final wording of the Appraisal Statement with the appraisee. The appraisee may, within 10 school days of receiving the final Appraisal Statement, add comments in writing. These comments will then form part of the statement. Both the Appraisal Statement and the annex are confidential documents and must be kept in a secure place. The provisions of the Data Protection Act will be followed at all times. Appraisal Statements are confidential to the Head Teacher, appraiser and teacher. A template for the Appraisal Review Statement is included in Annex B.

9. Appeals The appraisee may appeal against the Appraisal Statement within 10 school days of receiving the Appraisal Statement. An appeals officer or, in the case of the Head Teacher, an appeals panel will be appointed to conduct a review. All appeals will be conducted in accordance with the current Appraisal Regulations and the associated Welsh Government guidance. In summary, the appeal process will involve the following stages:

Appraisee lodges appeal with the Governing Body

Appeals officer/panel appointed

Appeals officer/panel provided with copy of Appraisal Statement within 5 school days of receiving notice of appeal

Appeal review will be carried out within 10 school days of receiving Appraisal Statement

The appeals officer/panel must take into account any representations made by the appraisee

The appeals officer/panel may then decide that: o the appraisal has been carried out satisfactorily; o with the agreement of the appraiser(s), amend the Appraisal Statement; or o order that a new appraisal be carried out

The appeals officer/panel can not determine: o that new objectives can be set: or o that existing objectives be revised

10. Use of Appraisal Statements 10.1 Teachers

The appraiser must give a copy of the Appraisal Statement to the appraisee and to the Head Teacher. In turn, the Head Teacher will, on request, provide a copy to:

the appraiser;

an appeals officer; or

any governors responsible for making decisions or giving advice on matters in relation to pay

Where the appraisee is eligible for pay progression under the School Teachers Pay and Conditions Document (STPCD) the appraiser will provide a recommendation on pay progression to the Head Teacher in line with provisions of the STPCD.

9

The Head Teacher will provide a copy of the annex to the Appraisal Statement detailing professional development needs to the person with whole-school responsibility for planning provision for training and development. The Appraisal Statement will be kept by the Head Teacher in a safe and secure place until at least 3 years after the next Appraisal Statement has been finalised. 10.2 Head Teacher

In the case of the Head Teacher’s performance management the appraisers will give copies of the Appraisal Statement to the Head Teacher, the Chair of the Governing Body and the chief education officer. Appraisers will also, on request, provide a copy to any governors responsible for making decisions or giving advice on matters in relation to pay. The Chair of the Governing Body will also provide, on request, a copy of the Head Teacher’s Appraisal Statement to:

any officer designated by the Chief Education Officer as being responsible for the performance of Head Teachers; or

any appeals officer The Chair of the Governing Body will provide a copy of the annex to the Appraisal Statement detailing professional development needs to the person with whole-school responsibility for planning provision for training and development. The Appraisal Statement will be kept by the Governing Body in a safe and secure place until at least 3 years after the next Appraisal Statement has been finalised. The Head Teacher will also keep a copy of the Appraisal Statement for the same period of time. Information from the Head Teacher’s Appraisal Statement may be taken into account by the Governing Body (or its committees) in matters relating to the promotion, discipline or dismissal of the Head Teacher or in relation to any discretion over pay.

11. Managing under performance

Effective line management arrangements, including the effective use of the procedures outlined in this policy, will help prevent under-performance through early identification, support and intervention. The performance management procedures set out in this policy, including the review meeting and Appraisal Statement, do not form part of any disciplinary, competency or capability procedures. However, information from the Appraisal Statement can be taken into account when making decisions about pay, promotion, dismissal, or disciplinary matters which may be triggered by other procedures.

10

Practice Review and Development Record Name:

From: To:

Objective 1: Enter objective here

Objective 2: Enter objective here

Objective 3: Enter objective here

Pla

nn

ing

What is the focus of my objectives – how do they relate to school priorities?

What is the intended impact on my practice?

What do I need to find out - what do other people already know about it?

What data and evidence will I make use of?

How will I use what I’ve found out to help me meet my objectives?

What actions and/or professional development activities am I planning?

What support will I need?

How will I work with others to achieve my objectives?

Mo

nit

ori

ng

What progress am I making in meeting my objectives?

What impact has there so far been on my practice?

How do I know - what data and evidence am I using?

How are others involved in monitoring?

Revie

win

g

How well have I met my objectives?

Are there any factors which have affected progress in meeting my objectives?

What have I found out?

What has been the impact on my practice and/or learner outcomes?

How do I know – what data and evidence am I using?

What professional development activities have I undertaken?

What support has been provided to me?

Do I need any follow up development?

Annex A1

11

Practice Review and Development Record Purpose of the Record The purpose of the Practice Review and Development (PRD) Record is to support practitioners in:

Meeting the requirements of the Appraisal Regulations to keep an up-to-date record of:

o their own assessment of their performance against their performance management

objectives

o professional development undertaken or other support provided and how this is

contributing to the achievement of objectives

o any factors which the practitioner considers are affecting performance against the

objectives

Reflecting regularly on their practice including the use of relevant data and evidence to

review their practice and identify priorities for professional development

Providing a focus for discussion during the planning, monitoring and reviewing stages of the

performance management cycle

Completing the PRD Record The following guidance will assist practitioners in completing their PRD Record during the performance management cycle. The guidance is intended to ensure the PRD Record supports the practitioner in their work without being burdensome to complete.

The PRD Record should be regularly updated – this does not need to be daily or even weekly but

at key points throughout the performance management cycle. In reflecting regularly on their practice, practitioners should use their professional judgement to decide the points at which the record is updated so that it remains relevant and up-to-date.

The template makes provision for up to 3 objectives. The template can be adapted where

additional objectives have been identified

The template is arranged to reflect the PM cycle of Planning, Monitoring and Reviewing.

Each section has a number of “prompts” designed to assist practitioners to reflect on key

aspects of their practice and professional development. Practitioners may find it helpful to

base their PRD records around answers to some or all of these prompts.

Entries should be concise but sufficiently detailed to serve as a basis for discussion.

Lengthy prose responses are not necessary and practitioners may choose to adopt a ‘bullet

point’ style approach

It is recommended that the PRD Record is maintained in electronic form as this will

facilitate easier amendment and updating

Where objectives are linked it may be more appropriate to ‘write across’ columns to avoid

making duplicate entries

12

Performance Management - Personal Reflection Teacher: _______________ Appraiser: _________ _____ Date: ___________

Issues

Teacher Comments

Appraiser’s Comments

What has gone well in your class this year?

What has gone well with your wider roles this year?

Which school issues are you confident about?

Which school issues are you confident about?

Regarding the SIP how will you be able to support the key actions within the plan and make improvements in your practice that raises standards for learners?

Annex A2

13

Progress made on areas for development from last lesson observations?

Where do you see yourself in one and three years time? What leadership areas may you need / wish to develop? How would this support the school in raising standards?

UPS only – How are you making a wider contribution to the effectiveness of the school?

14

Annex B

Exemplar Form

Performance Management December 2012

Teacher: _______________________ Appraiser: ____________________ Date of meeting: Objectives 2011 - 12 Areas of particular strength Areas for development Objectives 2012 – 13 Focus of lesson observation Development, training and support Teacher’s comments Signed: _______________________ (Teacher) ____________________ (Date) __________________________ (Headteacher) ____________________ (Date)

15

ANNEX C1

Teaching Observation and Classroom Protocols

As outlined by Welsh Government

“Classroom observation is a key element of school improvement strategies to raise standards and improve learner outcomes through the development of high quality teaching and learning. As such, observation needs to be considered as an entitlement for practitioners and form an integral part of their professional development activities.”

The Governing Body is committed to ensuring that classroom 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

respect the confidentiality of the information gained There will be no observations in addition to those agreed for performance management purposes in the planning meeting other than in the following circumstances:

during an Estyn Inspection

by Estyn in circumstances where an inspection report categorises a school as requiring significant improvement or special measures

where staff voluntarily initiate developmental peer observations

a teacher becoming subject to capability procedures

drop-in observations undertaken by the Head Teacher or other leaders with responsibility for teaching and learning standards

For teachers, a minimum of one full lesson observation will be carried out per year by the appraiser, possibly supplemented by any further observation of a whole or part lesson, which is agreed to be useful for developmental purposes. Observations will generally be carried out by the appraiser, but it may include observation undertaken by others who have appropriate professional expertise, usually a member of the senior leadership team. Such occurrences will be agreed in advance with the teacher, and included in the planning statement.

Information arising from these lesson observations can be used to support general school self -evaluation, helping to identify general whole school improvement priorities. Observations for performance management purposes can only be carried out by a person holding Qualified Teacher Status. Observation should take place during lessons and activities that have been agreed in advance with notice of at least 5 school days. Verbal feedback should be given as soon as possible after the observation, and no later than by the end of the next school day. A short, written record of the observation should also be provided noting the focus of the observation, what was learnt from the observation, the feedback given and any subsequent action points. The record of the observation should be given to the teacher within 5 school days of the observation and the teacher should record any comments that they may have on the record of observation. A copy should be retained by the appraiser, Head Teacher and teacher. Neither pupils nor governors will undertake observations for performance management purposes.

16

Annex C2

Guidance on sector-leading practice November 2010

17

Guidance on sector-leading practice If a provider gains an ‘excellent’ judgement for at least one of the two overall judgements, then the inspection team will have identified examples of sector-leading practice at the provider that warrant wider dissemination. Inspection teams will discuss this possibility during team meetings, when sector-leading practice will have been a key consideration in reaching any such judgement. Where there is ‘sector-leading practice’, the reporting inspector will invite the provider to prepare a written case study of no more than 600 words, accompanied by any relevant illustrative material if appropriate, describing the excellent practice. The Reporting Inspector will provide a proforma to help providers to prepare their case study. The case study should describe the context and background of the excellent practice, the exact nature of the strategy or activity and what the impact has been on outcomes for the learners. The case study must be one that can be held up as an example of sector-leading practice for the scrutiny of other providers in the same or other sectors. The case study should be sent to Estyn within four weeks of the end of the on-site part of the inspection. The case study should be accompanied by a letter or email showing that it has been approved for use by the inspectorate and signed off by the senior leader of the provider. Guidance on what ‘sector-leading practice’ means: 1. ‘Sector-leading’ means that the quality of the provision is at the forefront of the sector. So,

inspectors need to ask themselves if the practice they have seen is among the best they have observed in the sector.

2. ‘Sector-leading’ also means that the provider should use such practice to offer leadership

to the sector so that the practice can be influential as an exemplar of work that is of high quality. It is difficult for provision to be leading the sector if the sector knows nothing about it. So, inspectors need to ask whether the provider has already shared the practice they have seen with others, in networks of professional practice, both internally and externally.

3. ‘Sector-leading practice’ is innovative and cutting edge work that pushes at the boundaries, but it

does not have to be unique. If it is being shared with others and emulated then clearly it will not be unique .‘Sector-leading practice’ must be highly effective, and the effectiveness should be seen in terms of its clear impact on learners’ progress and achievement.

4. There is no pre-set quota on the number or proportion of ‘excellent’ judgements inspectors

can make. 5. When considering a judgement of ‘excellent’, inspectors need to make sure that there are

‘many strengths’ before moving to a consideration of ‘sector-leading practice’. 6. ‘Sector-leading practice’ on its own – without ‘many strengths’ – should not secure an

‘excellent’ judgement. 7. What constitutes excellence and sector-leading practice may change as the inspection

cycle moves on and providers improve.