CHAPTER 1

1.1 INTRODUCTION

Appraisal seems to be a relevant instrument to facilitate the professional growth of

educators and school improvement. However, if the process of appraisal is to be part of

the development of educators and of schools, it needs to be part of the pattern of school

life and linked to the school’s developmental activities. It needs to be context-based

within the legal framework provided by the Department of Education (DoE). Appraisal

should be a natural progression from the staff development and school development

planning. Staff and professional strategies should enable schools and educators to gain

skills and understanding, necessary to participate in appraisal. Appraisal should be set in

the context of the objectives of the schools which will generally be expressed in a school

development plan. The school’s objectives in a particular year, should be linked with

appraisal, so that for example, professional development targets arising from appraisal,

may be related to agreed targets and tasks in the development plan. This will help to

speed up the process of facilitation of the professional growth of educators. A school

which is self-developing and self-evaluating, is likely to be one in which all educators

exchange ideas, share concerns, contribute to discussion, take part in the process of

decision-making and have individual areas of strength and weaknesses identified and

supported (Jones, 1993:10). In basic terms, the facilitation of appraisal will assist with

the setting of whole school targets and identification of professional needs.

In order for appraisal to be within the legal framework provided by the Department of

Education (DoE), it should be linked to an agreement which was reached in the

Education Labour Relations Council (Resolution 8 of 2003), to integrate the existing

programmes on quality management in education. The existing programmes are

Developmental Appraisal system (DAS), that came into being on 28 July 1998

(Resolution 4 of 1998); the performance measurement system (PMS), that was agreed to

on 10 April 2003 (Resolution 1 of 2003); and the Whole School Evaluation (WSE). In

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the light of the mentioned resolutions, Integrated Quality Management System (IQMS)

was formed.

IQMS is informed by schedule 1 of the Employment of Educators Act, No. 76 of 1998,

where the minister of education is required to determine performance standards for

educators, in terms of which their performance is to be evaluated. The Integrated Quality

Management System (IQMS) is an integrated system that consists of three programmes,

which are aimed at enhancing and monitoring performance of the education system.

These are Development Appraisal (DA); Performance Management (PM); and Whole

School Evaluation (WSE). IQMS brings all the systems dealing with development,

training and evaluation under one roof. It seems to be the relevant instrument that ensures

investment in the professional development of educators and school improvement. IQMS

promotes individual professional growth of educators and ongoing support for educators

and the school; assists schools to look for ways to continually improve; and provides for

and encourage diversity in the teaching profession (SADTU, The Educator’s Voice,

2003:3).

The success of the appraisal system as an instrument to facilitate the professional growth

of educators and school improvement, relies on three basic guiding principles. They are

as follows: democracy; transparency; and a developmental orientation. Democracy

implies that the appraisal process is conducted by a panel which should be inclusive of all

stakeholders. This principle recognises that the appraisal process is one that is

collaborative. It is a joint effort. At the same time it is inclusive. The appraisal process

cannot be done by one person. It needs to include a “panel” with the appraisee

participating within it.

Appraisal decisions cannot be arrived at by one person, but all relevant stakeholders need

to be included and all of their views need to be taken into account before a decision is

made. The guiding principles of the new appraisal system also emphasize transparency.

Transparency also prevents the appraisals being done in secretive and corrupt ways.

Transparency in the new appraisal process enables educators to be confident about being

appraised and not to fear it (Victor Mecoamere, Sowetan Education, 2004:1).

They also have the guarantee that the decisions that are made about their performance are

fair and just. The confidence of appraisees in the new appraisal process is also reinforced

by the developmental emphasis. By being developmental, it is intended to enrich

strength, develop potential and overcome weaknesses. The appraisee’s performance is

appraised in formative and supportive ways in order to facilitate further professional and

personal development and growth (ELRC, Manual for the New South African Educators,

1998:16).

1.2 PROBLEM STATEMENT

Daveyton schools lack expertise to facilitate the process of the appraisal system as

required by Resolution 8 of 2003 to integrate the existing programmes on quality

management in education. The facilitation of IQMS is guided by certain principles like

the need to ensure fairness, to minimise subjectivity through transparency and open

discussion. However, Daveyton schools lack the above mentioned principles.

1.3 AIMS AND OBJECTIVES

This research aims to suggest and describe how to utilize appraisal as an instrument to

facilitate the professional growth of educators and school improvement in Daveyton

schools.

1.4 RESEARCH QUESTIONS

• How do you conduct appraisal as an instrument to facilitate professional growth of

educators and school improvement?

4

• What problems do you encounter in facilitating professional growth of educators and

school improvement?

• Is the appraisal linked to the staff development and school improvement at your school?

• Is the appraisal system within the legal framework, provided by the Department of

Education (DoE)?

• What skills and knowledge are required from a person who should use appraisal as an

instrument to facilitate the professional development growth of educators and school

improvement?

1.5 LIMITATIONS OF THE STUDY

The research will be conducted within the field of the Human Resource Management in

Education. The researcher will restrict the study to the use of the qualitative method in

accumulation of data. This will lead to the understanding of misconceptions and

misinterpretations that surround the appraisal system in education and then suggest

alternatives regarding appraisal as an instrument to facilitate the professional growth of

teachers and school improvement.

1.6 The strength of the study

Daveyton Schools were selected for practical reasons. Practical in such that, Daveyton

area is well known to the researcher. The researcher teaches in this area, thereby,

allowing for not only easy access and low evaluation costs, but also for immediate and

honest responses from different schools taking part in the study.

1.7 CLARIFICATION OF CONCEPTS

1.7.1 Appraisal

Middlewood and Lumby (1998:77) point out that appraisal is best seen as part of the

management of performance of individuals of the school or college. Swanepoel et al.

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(200:406) define appraisal as a process by means of which the job-relevant strength and

weaknesses of employees are identified, observed, measured, recorded and developed.

1.7.2 School Development Team (SDT)

According to a final agreement reached within the Education Labour Relations Council

(ELRC), the School Development Team (SDT) consists of the head of the institution,

elected members of the staff and others. The purpose of the SDT in the appraisal system

is to initiate, co-ordinate and monitor the appraisal process and ensure that training in the

developmental appraisal system occurs (Manual for New South African Educator

Developemnt Appraisal System, 1998:8).

1.7.3 Appraisal Panel

Appraisal panel is designed to ensure that there is democratic participation in the

appraisal process. The panel comprises of at least four members, a senior management

person (member of SMT), learning and head, peer educator and union representative

(optional). However, a person from outside the institution may also be part of appraisal

panel (ELRC, manual for New South African Educator Development Appraisal system,

1998:12).

1.7.4 Professional Standards

Performance standards are agreed criteria to describe how well work must be done. They

clarify the key performance areas of a job by describing what is to be done. Each

performance standard includes a number of criteria. For each of these criteria there are

four descriptors which are derived from the four point rating scale – like unacceptable,

good, outstanding or satisfies minimum expectations (ELRC, Integrated Quality

Management System, 2003:18).

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1.7.5 Professional growth of teachers

Professional growth is depicted from teachers who exchange ideas freely, contribute to

discussion, take part in the process of decision-making and have individual areas of

strength and weaknesses identified (Jones, 1993:10).

1.7.6 School Improvement (SIP)

Improvement is generally associated with the efforts of an individual institution, relying

on the professional experience of its teachers and other staff to identify a focus for

improvement for that institution. Improvement has tended to focus on change to

processes rather than directly on outcomes, and has been identified with qualitative

evaluation rather than quantitative: It can be seen that the discipline of school

effectiveness and school improvement have been “coming from” very different places

intellectually, methodologically and theoretically (Reynolds et al, 1996:144).

1.8 RESEARCH METHODOLOGY AND DESIGN

This study aims to suggest and describe on how to utilize appraisal as an instrument to

facilitate the professional growth of educators and school improvement in Daveyton

Schools. The researcher will conduct research on 40 educators from different schools in

Daveyton as well as district office (D5). Hartshorne (1993:55) points out that accurate

explanation of the above study requires an understanding of the different ways in which

people experience the world around them. The qualities of such experience can be

discovered by means of qualitative research. The researcher will use purposeful

sampling to compose the information on the understanding of educators appraisal as an

instrument to facilitate professional growth and school improvement. Schumacher and

MacMillan (1993:413) argue that purposeful sampling reduces any likelihood of

research invalidity.

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1.9 DATA COLLECTION METHODS

In the light of the qualitative nature of the proposed research, the researcher will be

guided by Withal and Jansen (1997:26), as they point out that more than one strategy of

data collection is very important in conducting a research. Questionnaires, and interview

and reviews of documents will be used. This will be done to attain a better understanding

of the participants, the problem under investigation and to increase the authenticity and

credibility of the outcomes.

1.9.1 Questions

McMillan and Schumacher (2001:257) point out that a questionnaire is relatively

economical, has the same questions for all subjects and can ensure anonymity. It can be

used as a written set of questions or statements, attitudes, opinions and beliefs because of

its confidentiality.

1.9.2 Interviews

The researcher will interview all the participants, as it is believed that the truth will

become evident through the participants’ eye contact, voices and facial expressions. The

interview technique is flexible and adaptable. It can be used with many different

problems and types of persons (McMillan and Schumacher, 2001:267). The flexibility

and adaptability of the interviews will help the researcher to conduct interviews, formally

and informally. Furthermore, the researcher will ask to see the relevant educator’s

documents such as files (SDT’s Files).

10. CONFIDENTIALITY

The researcher will be very conscious of the rights of educators and managers who will

participate in this research. The researcher will, therefore change names of all

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participants into alphabets like Miss E and schools to protect their identities. Participants

and institutions will be assured of protection and their right to sue if the outcomes of this

research can lead to character assassination.

11. OVERVIEW OF THE STUDY

• Chapter one of the study will give an introductory background of the problem under

investigation (appraisal as an instrument to facilitate the professional growth of

educators and school improvement in Daveyton Schools). It will also give a definition

of terms that are relevant to the problem.

• Chapter two will focus on the existing related literature that deals with the topic. This

will be done by looking at the viewpoints of various authors that wrote about

information related to the topic. Marshall and Rossman (1995:6) point out that literature

review provides framework for establishing the importance of the study, as well as a

benchmark for comparing the results with other findings. This chapter will concentrate

on the theoretical perspectives on appraisal as an instrument to facilitate the professional

growth of educators and school improvement.

CONCLUSION

Appraisal should be utilised as an instrument to help the individual teacher to be an

effective member of the school as an organisation and to recognise that organisational

effectiveness is a direct function of individual effectiveness. It is also important to stress

that organisational and personal development are not mutually exclusive – the

enhancement to the individual can be beneficial to the school. If it is to be successful,

appraisal should be firmly integrated into the management structures and processes of the

school. Integration into the management structure of the school ensures that appraisal is

9

kept in perspective – it is a process, a vehicle, a means to an end (West – Burnham,

1993:7).

The idea that every teacher should have his or her work appraised in the future, is good

news for all stakeholders. Expressions of interest in this approach have come from a

number of different quarters. Schools are now in the process to introduce appraisal as an

instrument to facilitate the professional growth of teachers and school improvement. This

is evident as the Department of Education (DOE) in consultation with the educator unions

has shown an enormous support to implement appraisal system. The department’s

commitment to appraisal is depicted from resolution 4 of 1998, resolution 1 of 2003 and

resolution 8 of 2003. The latter integrates the existing programmes on quality

management in education. However, it seems as if Daveyton Schools lack skills and

knowledge to use appraisal as an instrument to facilitate the professional growth of

educators and school improvement. This problem of lack of skills and knowledge is also

attributed to the Department of Education. The latter does not provide formal training to

teachers, and, Daveyton teachers are no exceptions.

CHAPTER 2

LITERATURE REVIEW

2.1 INTRODUCTION

This chapter will be based on the theoretical perspectives in using appraisal to facilitate

the professional growth of educators and school improvement, the overview of the

legislative and relationship between the professional growth and school improvement,

appraisal in the context of school management, and identification of potential

professional development.

According to Marshal and Rossman (1995:6), literature review provides framework for

establishing the importance of the study, as well as a benchmark for comparing the results

with other findings. Poster and Poster (1983), in Middlewood and Lumby (1998:80), also

suggest that no single system of appraisal can ever achieve all the potential benefits. This

implies that different theoretical perspectives in using appraisal as an instrument to

facilitate the professional growth of teachers and school improvement, will help the

researcher, to compare other systems of appraisal. On the other hand, if appraisal is

expected to yield positive results, it should help to maintain a happy workforce by its

significant contribution to the areas related to human resources management – like

recognition of individual performance, retrenchment decisions, remuneration decisions

(pay rises), promotions, and disciplinary decisions (Du Toit and Motlatla, 2000:455).

However, in order to fulfil the expectations of the abovementioned areas related to human

resource management, socio-economic and socio-political factors play a significant role

to make appraisal a success. It implies that the Department of Education should provide

funding that will be distributed to all the provinces as a conditional grant specifically for

school evaluation activities and for supporting schools in their efforts to implement the

recommendation of evaluation reports; set up an appropriate national body to oversee the

development, administration and periodic review of the National policy on Whole-school

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Evaluation i.e. policy, guidelines and instruments, in response to changing circumstances;

be responsible for developing and implementing a policy for evaluating provincial and

district performance in contributing to the implementation of the Whole-School

evaluating policy and the support given to improving performance in schools; be

responsible for overseeing the training, accredition and registration of supervisors; and to

create systems for monitoring the quality of Whole-School evaluating and the work of the

supervisors (Government Gazette Vol. 433, 2001:9).

2.2 THEORITICAL PERSPECTIVES OF USING APPRAISAL AS AN

INSTRUMENT

The purpose of appraisal is to help every educator to keep growing and learning through

professional development. There is an established procedure which has been drawn up

through negotiation between the Department of Education (DoE) and teacher unions. In

order for the process of appraisal to facilitate the professional growth of teachers and

school improvement, it should be planned according to Resolution Number 4 of 1998.

This implies that the agreed overall nature of the appraisal system that was piloted be

maintained. This also entails “guiding principles” to be implemented is one that is

“developmental” in nature only and will be conducted with all levels of personnel within

education, in and outside schools, excluding education therapists and psychologists. It

was agreed that appraisal will be tied to the nature of job description of the specific level

of post to which a person may be attached

In terms of the ELRC resolution, the new developmental appraisal system was expected

to be implemented by 1999, with all structural and other arrangements being put in place

within 1998. The effectiveness of the system was expected to be monitored throughout

the implementation process. However, misunderstanding between the Department of

Education (DoE) and educator Unions delayed the implementation process. According to

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ELRC resolution No. 8 of 2003, the principles of the developmental appraisal system, are

as follows:

• The process of appraisal should be open, transparent and developmental.

• The appraisal of educators is in essence a developmental process which depends upon

continuous support. It is designed and intended to entrench strengths, develop potential

and overcome weaknesses.

• The process of appraisal should always involve relevant academic and management

staff.

• The appraisal should be all inclusive of all stakeholders, and its members should be

trained to conduct the process of appraisal.

• Educators should be informed of all aspects of appraisal process, so they can take the

initiative to conduct the process of appraisal.

• Prompt feedback by way of discussions and written communication to those who are

being appraised should be one of the indispensable elements of appraisal

• The appraisee has the right to have access to and responds to the appraisal report. The

audi alteram partem rule should apply.

• The instruments for the appraisal should have appropriate criteria to appraise the nature

and level of the work performed (ELRC, Manual for the New South African Educators,

1998:16).

13

In order for the school to use appraisal to facilitate the professional growth of educators

and school improvement, there should be a School Development Team (SDT) and

appraisal panels. The head of the institution must take the initiative to convene a staff

meeting to establish a Staff Developmental Team (SDT). They should consist of the

head of the institution, elected members of staff and others. Members of the SDT should

enjoy the confidence and support of the staff.

As such, the establishment of the SDT should be discussed openly in both staff meetings

and meetings of the School Governing Body (SGB). The purpose of the SDT in appraisal

is to initiate, co-ordinate and monitor the appraisal process and to ensure that training in

the developmental appraisal system occurs. It is also incumbent upon the SDT to

facilitate ongoing professional support (ELRC, Manual for New South African

Educators, 1998:28).

In order for appraisal to facilitate the professional growth of educators and school

improvement, there should be an appraisal panel. It comprises the appraisee, a peer

nominated by the appraisee, a senior management person and union rep (optional). All

the names of the panels nominated by educators should be written and placed in a notice

board, so that it could be seen by all educators. The SDT must ensure that the same few

people do not appear on many panels. They should ensure a wide membership so that

some educators do not spend most of their time appraising others-and not doing their own

teaching.

Once the appraisal panels have been decided, the SDT needs to work out an appraisal

schedule. It should be as follows:

• One announced visit

• One announced visit

• Discussion, reports

• Follow-up development work.

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The process should start at the beginning of each year, and will take place in two cycles

over the whole year (ELRC, Manual for the New South African Educators, 1998:20).

2.3 THE OVERVIEW OF THE LEGISLATIVE AND RELATIONSHIP BETWEEN

THE PROFESSIONAL DEVELOPMENT OF TEACHERS AND SCHOOL

IMPROVEMENT

West-Burnham (1993:3) points out that the first reference to teacher appraisal in a DES

document occurs in the White Paper Teaching Quality (1983). However, the ambiguity

of the reference was to confuse the debate on appraisal for several years. The White

Paper, referred to the ‘formal assessment’ of teacher’s work. This implies that teachers

are observed in practice. Their strengths and weaknesses are identified in the classroom

situation. The formal report of the outcomes of the assessment is presented to that

particular teacher. Scores could be used in this particular assessment (formal

assessment). In the case where there are weaknesses, the teacher is developed. On the

other hand, strengths are consolidated. The concept of assessment proved a stumbling

block to an open and bi-lateral debate on the issue. Assessment was perceived as an alien

concept and prejudicial to the concept of professionalism.

West-Burnham further explains that the White Paper Better Schools (1985) shifted the

emphasis by arguing for the ‘regular and formal appraisal of the performance of teachers’

and established a link with professional support and development – mitigating the notion

of measuring performance.

However, both the White Papers suffered from considerable conceptual ambiguity about

the nature and purposes of appraisal. It emerged as a control and sanction approach

rather than a professional model. The tension was between accountability and

development with the emphasis on the former. In 1985 Sir Keith Joseph shifted the

emphasis towards development in the context of school improvement.

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A continuous and systematic process intended to help individual teachers with their

professional development and career planning, and to help ensure that the in-service

training and development of teachers matches the complementary needs of individual

teachers and the schools. This is from the report of the ACAS Independent Panel (1986)

in (West-Burnham, 1993:3). The report implies that appraisal should be used as an

instrument to facilitate the professional development of teachers and school improvement,

and Daveyton teachers are no exceptions.

2.3.1 Protocol within the context of an integrated quality management system

According to an agreement which was reached in the Education Labour Relations

Council (Resolution 8 of 2003), the protocol on how to conduct appraisal was laid out.

This is a set of step-by-step processes and procedures, which are to be followed in any

instance. Where an educator is observed in practice, it is as follows:

• Process A: Internal appraisals and evaluations

Step 1

The Regional/District/Area Manager and the principal should facilitate the establishment

of Quality Management structures i.e. School Development Team (SDT) and

Development Support Group (DSG) in the school and its implementation.

Step 2

Self-evaluation by individual educators should take place before any lesson observation

of educators in practice.

Step 3

Lesson observation of educators in practice is for purposes of Developmental Appraisal

(DA), performance Measurement (PM) and External Whole School Evaluation (WSE).

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The principals, the School Management Team and the Staff Development Team, in

consultation with staff members, develop an implementation for all QM programmes

including DA, PM and WSE (external) lesson observation of educators in practice as

required by these two processes. This implementation plan must be reflected in the

school composite timetable well in advance of implementation.

Step 4

The DSG observes the lesson using the prescribed instrument and discuss the outcomes

of the lesson observation with the educator observed/appraised. The appraisee may

request copies of the lesson observation records.

Step 5

The DSG will make the information on lesson observation available to the SDT for

planning School Improvement Plan (SIP) (Resolution No. 8 of 2003 Integrated Quality

Management System, 2003:8).

• Process B: External evaluation for Whole School Evaluation (WSE)

Resolution( No.8 2003:8) points out steps for external evaluations for Whole School

Evaluation (WSE). They are as follows:

Step 1

The WSE team draws an external evaluation plan and informs the Regional/District/Area

Office. The WSE team leader consults with the Principal, SMT and SDT of the school.

Schools to be informed timeously (at least 4 weeks in advance – excluding recess) of the

dates of a forthcoming visit for the purpose of conducting the external WSE.

17

Step 2

The team leader should request the Regional/District/Area Manager to provide advocacy

and training when need arises. The Regional/District/Area office should make the

necessary arrangements with the school principal to do so. The WSE team leader to

inform the principal of documentation required before the visit, including assessment

reports learner profiles, learning programmes, timetables, school policies, DA and PM

documentation. The School Management should also inform parents, educators and

learners of the forthcoming evaluation, and its purpose.

Step 3

Pre-evaluation visit by team leader to the school, to meet with SMT and SDT and:

• Collect documentation

• Finalise arrangements for on site visit

• Confirm the appointment of a school based WSE co-ordinator (should be a member of

SDT, does not need to be the principal) in accordance with WSE policy.

• Discuss the process to be followed and impress the need to maintain the normal routine

of the school.

Step 4

On the basis of documentation received, and their own priorities, the team leader and

supervisors to identify a representative cross-section of educators for observation in

practice, and communicate this to the school as soon as possible, preferably two days

prior to the external evaluation. The WSE team should consist of supervisors with

appropriate knowledge of learning areas to be evaluated (Resolution No.8: IQMS,

2003:9).

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Step 5

Observation of the educator in practice

According to Resolution No.8 (2003:9) procedure to be followed in observing the

educator in practice is as follows:

• School Management Team to introduce the WSE team to the staff, and remind them of

the purpose of the visit;

• The supervisors to confirm which educators are to be observed and finalise a timetable

for the week with the SMT and SDT;

• Evaluation of the other seven focus areas goes on simultaneously with the lesson

observations;

• Supervisors involved in observations to meet with SDT`s and appraisees to

consider/complete the pre-evaluation educator profile checklist and collect other

significant information on the individual educator, including the professional growth

plans;

• A member of the DSG with appropriate learning area knowledge to accompany the

supervisors in relevant lesson observations;

• Member of DSG and WSE supervisor to observe the lesson using the same instrument

(each completing a separate form); compare findings and discuss these with the

appraisee. The appraisee may request copies of evaluation forms.

• Confidentiality regarding the identity of the appraisee is assured in any documentation

leaving the school as part of the WSE (the name of the appraisee is recorded in the form

for DA and PM purposes only).

Step 6

The supervisor prepares a written report which must include:

• WSE evaluation of the quality of learning and teaching.

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• WSE evaluation of the quality of DA and PM process.

2.3.2 Guiding principles of the development appraisal system.

Van Deventer and Kruger (2003:211) point out that the aim of developmental appraisal is

to facilitate the personal and professional development of educators in order to improve

the quality of teaching practice and education management. Van Deventer and Kruger

(2003:211) identify the following guidelines to be taken into account when exercising the

developmental appraisal system:

• The process of appraisal should be open, transparent and developmental.

• The appraisal of educators is in essence a development process, which depends upon

continuous support. It is designed and intended to entrench strengths, develop potential

and overcome weaknesses.

• The process of appraisal should always involve relevant academic and management staff.

• The appraisal should include all stakeholders, and those involved should be trained to

conduct the process of appraisal.

• Educators should be informed of all aspects of the appraisal process, so that they can take

the initiative to conduct the process of appraisal.

• Prompt feedback by way of discussions and written communication to those who are

being appraised should be one of the indispensable elements of appraisal.

• The appraisee has the right to have access to and respond to the appraisal report. The

audi alteram partem rule should apply.

• The instruments used in the appraisal should include appropriate criteria to appraise the

nature and level of the work performed.

20

2.4 APPRAISAL IN THE CONTEXT OF SCHOOL MANAGEMENT

In order for appraisal to facilitate the professional development and school improvement

in Daveyton Schools, there should be a link with the context of school management. This

implies that appraisal is not just about personal and career development, it is about

accountability of individuals through control procedures. At the very least, appraisal is to

help the individual teacher to be an effective member of the school as an organisation and

to recognise that organisation’s effectiveness is a direct function of individual

effectiveness. It is important to stress that organisational and personal development are

not mutually exclusive – the enhancement of the individual can be beneficial to the

school (West-Burnham, 1993:7).

If appraisal is to be successful then it must be integrated into the management structures

and processes of the school. If it is not, then at worst it will become a marginal

bureaucratic routine. Integration into the management structure of the school ensures that

there is a common purpose and sense of direction. In order to consolidate appraisal in the

context of school management, West-Burnham (1993:8) identifies the following steps:

• The clarity of the school development plan is fundamental to the appraisal process. It

provides the context for review and ensures that target setting is directed towards agreed

priorities. The development plan translates the mission of the school into short and

medium term objectives which the appraisal helps to convert into targets for individual

action.

• The appraisal process acts as the bridge between where the school needs to be and where

it is and how the gap might be bridged through target setting relating to developmental

needs, prioritisation of work and deployment.

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• Effective implementation is essential to the credibility of the appraisal process and to

translate theory into practice, aspirations into actions.

• The most tangible expression of appraisal is more effective Inservice Training (INSET).

In essence; the aggregation of appraisal targets should be translated into a school’s

INSET strategy, so that there is a direct correlation between the analysis of needs and the

meeting of those needs.

• Appraisal targets will also provide senior managers with the means to manage specific

projects, to deploy staff to best effect and to make the most efficient and effective use of

resources. The translation of school values into specific individual targets are written in

such a way as to facilitate accurate assessment of the extent to which they have been

achieved.

2.4.1 The qualities of the principal and the School Management Team (SMT)

The members of the SMT must enjoy the confidence and support of the staff. They need

to be objective and sensitive to the needs of the evaluees. They should display good

communication, inter-personal and conflict resolution skills. Supervisors must take their

evaluation responsibilities seriously and be committed to the process (Collective

Agreement Number 1, 2003:2).

2.4.2 The principal’s role

Collective Agreement Number 1 (2003:2) states that the principal’s role is as follows:

• initiates the process of appraisal;

• prepares and monitor the management plan for the evaluation cycle;

• link the evaluation exercise to Developmental Appraisal System and the school

development plan;

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• monitor the effectiveness of the evaluation exercise and report appropriately;

• ensure, that evaluation reports are maintained and filed.

2.4.3 Links with discipline

Appraisal should clearly separate from disciplinary procedure. These separate

procedures should be used where the school teacher’s continuing employment or any

other form of disciplinary offence is an issue (Circular No 12, 1991:68). According to

Jones (1993:110), ineffective teaching where it exists, should normally be handled by

everyday management. The appraisal process and the ongoing dialogue it engenders,

could provide effective remedy, if used supportively. If the educator’s performance

comes into question, separate disciplinary or incompetence procedure may be used.

2.4.4 Time spent on appraisal

Everard (1998:157) points out that one of the most persistent objections by principals, to

formal appraisal, is the investment of time that is necessary to do it properly. It is

difficult to do justice in under an hour to the assessment of work by a colleague,

especially when it is necessary to choose carefully the words to be used to convey

information feedback. On the other hand, there is danger that if schools feel that the time

pressures brought about the appraisal are excessive, then appraisal will be reduced to

fairly meaningless and superficial exercises. In some schools, time has already been

made in the reviewing and planning for school development planning, which may provide

a useful starting point for the introduction of appraisal. This could be achieved by

blocking timetables, adding to the length of the school day, using auxiliary help-finance

from the school budget, using time twice e.g. during the departmental reviews or

curriculum discussion times, and using information sharing meetings.

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2.5 IDENTIFYING POTENTIAL PROFESSIONAL DEVELOPMENT AND SCHOOL

IMPROVEMENT

Horne and Brown (1997:116) state that appraisal should be an extremely effective

mechanism for identifying individual needs for professional development. These

individual needs can then be incorporated into an overall staff development programme

and linked with departmental or whole school planning. Appraisal can often also unlock

previously untapped potential in all staff. Staff is the largest most comprehensive

resource that a school has. There is often a lot of hidden potential for school

improvement. It is essential to harness those ideas (and the expertise highlighted during

the appraisal process) to benefit both the school and the individual, and by extension, the

pupils.

2.5.1 Building leadership capacity for school improvement

Professor Alma Harris, a professor of Educational leadership at the University of

Warwick, Coventry, UK, is a leading researcher in the area of middle management. Her

most recent work has focused upon school leadership and management. She writes

extensively on leadership, teacher development and school improvement. She points out

that one cannot improve a school unless she/he builds its internal capacity to manage and

sustain change (Gauteng Department of Education, Cutting Edge Seminar 1, 2004:5).

She also emphasizes that not all schools are the same. According to professor Alma

Harris, schools are enormously diverse. There is no set of guidelines that will deal with

all schools. Schools improvement from within is what is important. There is no such

thing as uniformity of performance. She also points out that people assumes that if you

are a highly effective school, then each teacher is highly effective. This is not he case. In

the light of this statement, appraisal seems to be an answer to facilitate a professional

development of educators and school improvement. Appraisal implies that all

24

stakeholders is involved in facilitating professional development of teachers and school

improvement (Gauteng Department of Education Cutting Edge Seminar 1, 2004:5).

2.5.2 The importance of appraisal programmes

Van Deventer and Kruger (2003:210) suggest that staff appraisal is an essential part of

effective staff management. According to them its importance can be summed up as

follows: Appraisal programmes must be designed to

• help educators to identify ways of enhancing their professional skills and performance

• assist in planning the in-service development of educators, both individually and

collectively

• be a positive process, intended to raise the quality of education in schools by providing

educators with improved job satisfaction.

An appraisal system which is used appropriately can credit educators for creativity and

innovation for motivation and determination. An appraisal system can also help

educators to develop sound relationships with pupils. A good form of appraisal can give

a full and rich description of each educator so, that professional development is organised

on an informed basis in the school and so that the goals of the school can be achieved.

An appraisal system that is sensitive and transparently carried out, and regarded by all

member of the school as a sensible and necessary way in which to develop good practices

and support innovation, will have positive effects in the school.

2.5.3 Setting up staff development teams (SDTS)

It is important to note that the developmental appraisal system currently in use is

democratic, accountable and transparent. As such, it is crucial to ensure that the ways in

which the appraisal panels are set up, and the ways in which they operate, also reflect

these principles (Van Deventer and Kruger, 2003:212).

25

2.5.3.1 Compilation of the SDT

According to Deventer and Kruger (2003:212) SDTS should be constituted as follows:

• Head of an institution e.g. school principal and/or district manager.

• Elected educators, who are democratically elected, irrespective of the post level.

• A chairperson, whom the SDT will democratically elect in its first meeting.

This means that the head of the institution is not necessarily the chairperson.

The staff in an institution will decide on the number of SDT members, guided by factors

such as the number of educators. It should be borne in mind that it is easier to co-

ordinate a smaller SDT. In one person schools, the educator can be an SDT on his own,

but would require strong support from the circuit/district office.

2.5.3.2 Criteria for setting up School Development Teams

The principal must convene a staff meeting to establish an SDT. The SDT should

consist of the head of the Institution (principal), elected members of the staff, to forms

the SDT. Members of the SDT should enjoy the confidence and support of the staff.

The establishment of the SDT should be openly discussed in staff meetings.

2.5.3.3 Purpose of setting SDT

The SDT will initiate, co-ordinate and monitor the appraisal process in institutions and

ensure that training in the developmental appraisal system occurs. the SDT must also

facilitate ongoing professional support (Van Deventer and Kruger 2003:212).

2.5.3.4 The role and the responsibilities of the SDT

• Ensures that all educators are trained on the procedures and processes of appraisal.

26

• Co-ordinate activities pertaining to staff development.

• Links appraisal with School Improvement Plan (SIP).

• Together with the SMT, develops the School Development Plan (SDP) based on

information gathered during appraisals.

• Ensures, records of the appraisal are maintained.

• Facilitates and gives guidance on how Development Support Group have to be formed.

• Complete the necessary documentation for performance measurement (for pay or grade

progression), signs off on these to ensure fairness and accuracy and submits the

necessary documentation in good time to the principal.

• Liases with the external WSE team and SMT to co-ordinate and manage the clinical

external WSE process (collective agreement No. 8, 2003:12).

Victor Mecoamere, Sowetan Education (2004:1) suggests that appraisal in a form

Integrated Quality Management System, seems to be the preferred way forward for all

parties in the implementation and maintenance of quality in learning as well as the overall

schooling environment. It is the name for the combination of the whole school

evaluation and development appraisal systems, and also potentially positive compromise

that was preceded by an imparse between teacher unions and the national Education

Department almost three years ago. Initially, the provincial education departments had

sought to implement the whole school evaluation system, separate from the

developmental appraisal system which led to near violent protests. I rate union affiliates

charged then that whole school evaluation, unlike developmental appraisal, pinpointed

teachers flaws and fault and the schools’ needs but did not offer solutions like retraining

for teachers, and called for a combination of the two systems. It was only late last year

when both the teacher unions and the education authorities agreed to Integrated Quality

Management System (IQMS).

27

Sadly IQMS is yet to be implemented. More sadly still, payment based on performance

is one of the permutations that play a part in the negotiations regarding public workers’

salary increases.

According to the committee’s leaders, professor Wally Morrow and Michael Samuel, if

the recommendations of the committee’s probe into the establishment of a national

framework for teacher education are approved by Education Minister Naledi Pondor, the

framework would be implemented as early as November. Marrow and Samuel’s team,

which had been working since April 2003 announced that the framework sought to

mainly improve the quality of the education system and to “retrieve the word ‘teacher’

and relocate it in the heart of the education system. With the retrieval and relocation, the

word ‘teacher’, which has been overtaken by the word ‘educator’, would apply in all the

education bands, including Further Education Training (FET), Early Childhood

Development (ECD) and even at tertiary education level, to also recover the idea that

teaching is a profession, and to raise the public profile of the profession (Victor

Mecoamere, Sowetan Education, 2004:1).

The framework also seeks to introduce a qualifications framework, an integrated system

of professional education of teachers a system of continuous professional development of

teachers, introduce support structures that would include teacher education and

development and uphold the right to education for all. To achieve these, the framework

seeks to look at ways and means of creating easier access to university education and

professional development programmes for all teachers, aimed at improving their

qualifications, capabilities and competitiveness and effectiveness, thus qualifying them

for matching salaries and positions or roles (Victor Mexoamere,Sowetan Education,

2004:1).

However, in order for IQMS to be a success, South African Council for Educators

(SACE)- the regulator body that it is compulsory for all professional teachers to belong

28

to- should play a role in the actual and continuing professional education and

development system of teachers. SACE should have to:

• Become a part of the compilation and management of a national register of teachers’

educational and professional development programmes;

• Endorse the activities of these teachers’ education and professional development points –

linked to the National Qualification Framework (NQF).

• Maintain a register of endorsed teachers’ educational and professional development

activities and NQF – linked points; and

• Even oversee collaborative activities between and among schools to boost the educational

and professional development of teachers that are registered with SACE through

seminars or workshops.

2.6 CONCLUSION

Literature provides previous studies and their results (Marshall and Rossman, 1995:6). A

thorough study and comparison of previous studies, methods and techniques, will

empower the researcher with, the knowledge on how to use appraisal as an instrument to

facilitate the professional growth of educators and school improvement. On the other

hand, in order to make appraisal a success, all stakeholders, - like unions, South African

council for educators, and school Governing Bodies should play significant role.

However, initially, the provincial department had sought to implement the whole school

evaluation system, separate from the developmental appraisal system, which led to near

violent protests. Irate union affiliates charged then that whole school evaluation, unlike

developmental appraisal, pinpointed teacher flaws and faults and the schools needs but

did not offer solutions like retraining for teachers, and called for a combination of two

systems. It was only late last year when both he teacher unions and the education

29

authorities agreed to something that is now known as the Integrated Quality Management

System (IQMS). This means that once IQMS is implement, the Government will be able

to measure schools and teacher’s performance levels, flaws, faults and needs, and then

introduce appropriate measures aimed at improving the different situations. Even

payment that is commensurate to teacher’s performance could be brought into the picture.

CHAPTER 3

3.1 RESEARCH METHODOLOGY

3.2 INTRODUCTION

The purpose of this study is to understand how appraisal could be used as an instrument

to facilitate the professional growth of teachers and school improvement. According to

Hartshorne (1993:55), accurate descriptions of this kind require an understanding of the

different ways in which people experience the world around them. In this regard, Mouly,

in Cohen and Manion (1995:40) points out that research is best conceived as the process

of arriving at dependable solutions to problems through the planned research, design,

sampling method, data collection and data analysis.

3.3 RESEARCH DESIGN

Qualitative approach will be applied. It admits that the analysis as human activities is

subjective to analysis of human behaviour as unbiased as possible (Vockell, 1995:192).

However, a minor element of the quantitative research mode will also be adopted. The

study will include ethnographic, phenomenology, and historical strategy because of the

nature of the research approach used in the research design.

3.3.1 Ethnography

McMillan and Schumacher (2001:36) state that as a process, ethnography involves

prolonged field, typically employing observation and casual interviews with participants

of a shared group activity and collecting group artefacts. A documentary style is

employed, focusing on the details of everyday life and revealing the observation skills of

the inquirer. This implies that the informants’ point of view is produced through

extensive, closely edited quotations to representative remarks. The final product is a

31

comprehensive, holistic narrative description and interpretation which integrates all

aspects of group life and illustrates its complexity.

3.3.2 Phenomenology

Phenomenology is both a philosophy of science and a mode of inquiry. A

phenomenological study describes the meaning of a lived experience. The researcher

puts aside all prejudgements and collects data on how individuals make out of particular

experience or situation (McMillon and Schumacher, 2001:36). According to Cohen and

Manion (1995:29); phenomenology is the theoretical point of view that advocates the

study of direct experience taken at face value. This implies that phenomenology allows

phenomena to be examined as they surface. Phenomenological enquiry is seeking to

understand phenomena in context, and specific settings in a naturalistic and humanistic

manner. Phenomenology allows the researcher to examine and interpret meaning raised

by the respondents in context.

3.3.3 Historical Studies

According to Schumacher and McMillan (1993:447) the research for facts requires

locating both primary and secondary sources. Historical studies allow the researcher to

study the minutes of staff meetings, School Development Teams (SDTS), internal

circulars, log books and Instruction books.

3.4 SAMPLING

Sampling refers to selecting a set of subjects that represent the large population (Charles,

1995:28). The researcher will conduct research from 10 Daveyton Schools and district

office (D5).

32

The population of this study comprises educators and SMTs from 19 primary schools in

Daveyton and district officials from D5. The sample was drawn from 10 primary

schools. It consists of three SMT members and two educators from each school and five

district officials from D5. The total number of respondents is 50. In order to maintain

representativeness, schools from both formal and informal settlements were randomly

selected. The researcher adhered to Ary et al (1990:170), who states that sampling

enables the researcher to study a portion of the population than entire population.

In order to maintain equity, the sample is inclusive and representative with regard to:

gender, age and work experience. Both female and male respondents were part of this

study, and young and old educators in terms of their age groups were involved in the

study. The sample comprises 25 female and 25 male educators.

Table 3.3.1 and 3.3.2 summarise the gender and age group of respondents in this

study.

TABLE 3.3.1 Gender of respondents

GENDER NUMBER %

MALE 25 50

FEMALE 25 50

TOTAL 50 100%

TABLE 3.3.2 Age of respondents

AGE NUMBER %

20-29 15 30

30-39 20 40

40-49 10 20

50+ 5 10

TOTAL 50 100%

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3.4 DATA COLLECTION PROCEDURES AND TECHNIQUES

Interviews, observations and the study of documents will be used as research instruments

in this study.

3.5.1 Interviews

McMillan and Schumacher (2001:42) points out that in-depth interview is often

characterized by a conversation with a goal. In the light of the above statement, inter-

views will be conducted after contact time (14h00-15h00). During this time, there is little

disturbance, because learners would have left. During the interview, the researcher will

encourage the respondents to talk in detail about areas of interest. In-depth interviews

typically last an hour or more (McMillan and Schumacher, 2001:42). However, the

researcher will guide the respondents to adhere to the topic in order to save time. At the

end of the interview session, the researcher will thank the respondents for their co-

operation.

3.5.2 Observations

Participant observation is an interactive technique of “participating” to some degree, in

naturally occurring situations over an extended time and writing extensive field notes to

describe what occurs. Since the context of the observation is important, the researcher

will be careful to document his or her role in the situation and what effect that may have

on the findings. Most field workers remain a respectful distance from the informants-

cultivating empathy but not sympathy, rapport but not friendship, familiarity but never

“going native” (Schwandt, 1997 in McMillan and Schumacher, 2001:41).

34

The researcher aims to observe how the School Development Team SDT facilitate the

professional growth of teachers and school improvement. Most of the observation will

take place at the school where the researcher is an educator.

3.5.3 Documents

McMillan and Schumacher (2001:42) point out that documents are records of past events

that are written or printed; instruction books, log books, time registers, anecdotal notes,

letters, diaries, minutes of meetings, school policies and other official documents. With

the permission of the principal or district official, the researcher will read through the

mentioned documents.

3.6 DATA ANALYSIS

Data analysis refers to the way in which the researcher moves from a description of what

is the case to an explanation of why is the case the case (Hitchcock and Huhges,

1995:295). Creswell (1998:140) mentions three strategies that can be used to analyse

data. It is as follow:

• A general review of all information in the form of jotting down notes in the margins of

text.

• Develop codes or categories and to sort text or visual images into categories.

• Make preliminary of data and determine how frequently codes appear in the database.

3.7 CONCLUSION

The aim of this chapter is to outline the scientific approach that was applied in the study

of the problem. The researcher has used the constant comparative methods of analysing

data which combines inductive category coding with simultaneous comparison of all units

(Maykut and Morehouse, 1995:134). Furthermore, the research approach that the study

35

adopted is qualitative. This concept has been explained and the reasons for resorting to

this approach has been stated. The researcher has also stated that the study adopted both

the ethnographic as well as the phenomenological research design. The researcher has

also indicated how the sample was drawn from the targeted population and the

composition of the sample has also been stated. Furthermore, the research instruments

have been selected and an interview schedule has been provided for this purpose. The

researcher also indicated how collected data will be presented and interpreted.