Performance management
guidance
Performance management
Part C: Appraisers
An introduction to the revised Performance Management
Regulations January 2011 and the role of the appraiser
(to be implemented by 1 January 2013)
Objectives of the session
• Understand the requirements of the revised
regulations and how to implement them
effectively.
• Review the role of the performance
management process in raising standards in
your school.
• Review how performance management is
embedded in the broad context of the school’s
improvement processes.
• Review the operation of the performance
management process, including the roles and
responsibilities of those involved.
• Understand the role of the appraiser.
Recap and overview of the
revised performance
management requirements
Revised requirements
Timescale
• Revised regulations introduced January 2012.
• Move to the revised arrangements by 31 December 2012.
Revisions
• Performance management is explicitly linked to:
– professional standards and practice
– whole-school and national priorities
– learner performance data
– pay progression.
• Practitioners maintain a practice, review and development (PRD)
record.
• Greater local authority involvement in the school’s performance
management process.
• Estyn has access to the headteacher’s performance objectives.
• Performance management documents should be kept for a minimum of
three years.
Purpose of performance
management
‘Performance management helps schools to
improve by supporting and improving the work
of head teachers as individuals and leaders of
school teams. It sets a framework for teachers
and leaders to agree and review priorities and
objectives in the context of the school’s
improvement plan. It focuses attention on
making teaching and leadership more effective
to benefit pupils, teachers, and schools.’
Performance management for headteachers
(Welsh Government, 2012)
Role of performance
management in the school
improvement process
Performance management supports:
• schools to improve by supporting and improving the work
of practitioners as individuals and in teams
• teachers to meet the needs of learners and raise
standards.
Performance management demonstrates the school’s
commitment to:
• develop all practitioners effectively
• ensure job satisfaction
• high levels of expertise
• the progression of practitioners in their chosen
profession.
The appraisal cycle
The appraisal cycle
Reviewing
Self-reflection
Review meeting
Appraisal statement
Appraiser
and
appraisee
Monitoring
Informal in-year reviews
Teaching observation
Other agreed sources of
evidence appropriate to
the teacher’s role
Planning
Self-analysis
Strategic analysis
Setting objectives
Agreeing continuous
professional
development (CPD)
Roles and responsibilities
of the appraiser(s)
Roles and responsibilities in
the performance management
process
Key partners
• Governing body/relevant body.
• Headteacher.
• Appraiser(s).
• Appraisee.
• Local authority.
• Welsh Government.
Role of the appraiser(s)
• Agree and record objectives with appraisee.
• Monitor and review performance throughout the
cycle.
• Discuss and identify professional development
needs.
• Arrange the appraisal review.
• Prepare the annual appraisal statement.
• Where applicable, make a recommendation on
pay progression where the appraisee is eligible
for pay progression under the School Teachers’
Pay and Condition Document.
Responsibilities of the
appraiser(s)
Appraiser(s) carry out their responsibilities by:
• planning the appraisal cycle with the appraisee:
– setting the objectives taking account of the
performance review of the previous cycle
– discussing and identifying professional development
needs
– keeping progress under review and monitoring
performance against objectives regularly throughout
the performance management cycle (formative review)
– conducting an annual review of performance with the
appraisee (summative review including judgements)
• taking appropriate action and facilitating support when
there is underperformance
• arranging for the appraisal statement and annex to the
appraisal statement to be made available to the required
personnel.
Knowledge and understanding
Appraiser(s) need a secure understanding of:
• the context of the school
• school performance data including the All Wales Core
Data Set
• the school’s improvement priorities
• local authority and national improvement priorities
• the revised professional standards for education
practitioners in Wales
• the appraisee’s job
• the school’s training plan and related budget
• the performance management procedures.
Attributes of the appraiser(s)
Attributes that may be considered when
selecting appraisers include:
• good communication skills
• good interpersonal skills
• good skills in information-seeking and data
analysis, including the ability to understand,
interpret and analyse key performance indicators
relating to school performance
• good working relationship with the appraisee,
based on trust and respect
• sufficient time to carry out their role as appraiser
and to do justice to the process.
Self-assessment for
appraisers
• The Welsh Government guidance sets out the
attributes for appraisers and states that all
appraisers should be appropriately trained to
undertake the role.
• Appraisers should conduct a self-assessment to
identify their development needs.
• Further training can be undertaken in the areas of
development identified to ensure that the role can
be conducted effectively.
Reviewing performance
The annual appraisal review
meeting
A formal opportunity to:
• recognise achievements and celebrate
successes
• discuss areas for improvement and further
professional development
and if desired:
• agree future priorities, including objectives for
the following performance management cycle.
The performance review
• The appraiser(s) and the appraisee must hold an annual
appraisal review with the object of:
– assessing the extent to which the appraisee has met
the objectives for the cycle
– determining whether there has been successful
overall performance in confirming that the appraisee
continues to meet the professional standards for
teachers
– identifying the need for additional support training and
development
– preparing the appraisal statement.
• The appraisee’s practice, review and development
(PRD) record should be taken into account when
reviewing performance.
Planning for the annual
review of performance
• Allocate adequate time for the review.
• The appraisee must be informed in writing of the
date of the review meeting at least ten school
days in advance.
• The practice, review and development (PRD)
record should be submitted to the appraiser(s) at
least five days in advance of the review meeting.
Appraisee’s self-reflection
The appraisee should consider performance
against:
• their own assessment of performance against
the objectives
• evidence of performance in the cycle
• the benefits of any professional development
undertaken
• any in-year reviews that have taken place
• any factors that affected performance
• possible objectives for the next cycle.
Documentation to be
considered
• Any relevant school performance data and
information.
• School improvement plan/area improvement plan.
• The school self-evaluation record.
• Post-Estyn inspection plan.
• The revised professional standards for education
practitioners in Wales.
• Any other relevant materials, including those from
local authority reviews.
The appraisal statement
• Written statement must be provided within
10 school days.
• Training and development needs must be
provided in an annex.
• Appraisee may add comments to the statement
within 10 days – these will form part of the
statement.
• The appraisal statement is personal and
confidential.
• A copy of the appraisal statement should be
given to the appropriate personnel.
Setting objectives
Setting the objectives
• Three objectives will normally be sufficient.
• The appraisee’s objectives should:
– contribute to improving the progress of
learners at the school
– take account of relevant evidence including
school performance information
– be focused on key expectations and
developmental priorities on which
evidence-based judgements can be made
– be recorded in the statement of objectives.
Objectives need to be:
• clear – offering no possibility of ambiguity or
confusion about the intended outcome
• concise – using as few words as possible to
convey the intention
• measurable – expressed in such a way that
criteria can be agreed which will demonstrate
whether or not the objective has been achieved
• challenging – sufficiently challenging, taking
into account the circumstances of the school, to
bring about significant improvement
• developmental – supporting the improvement of
the school and the appraisee.
Identifying professional
development needs
Professional development should:
• support the appraisee in enhancing skills and
knowledge
• support agreed objectives
• develop strengths
• address areas for personal development or
professional growth
• identify opportunities to share good practice.
Monitoring performance
Monitoring performance
• Monitoring procedures should:
– be discussed and agreed at the planning
meetings
– include a variety of methods.
• Progress should be monitored throughout the
year.
• Sufficient appropriate evidence should be
gathered to ensure secure judgements.
• The appraisee must keep an up-to-date practice,
review and development (PRD) record.
Monitoring progress
There may be a variety of monitoring methods used to
gather sufficient appropriate evidence in order to ensure
secure judgements are made. The evidence can be
gathered from various sources including:
• in-year meetings between the appraiser(s) and appraisee
• the appraisee’s practice, review and development (PRD)
record
• school improvement plan
• school performance data and information
• the school’s ongoing self-evaluation process
• teaching observation (where appropriate).
Teaching observations
• Nature, purpose and focus agreed between the appraiser
and the appraisee prior to observation.
• Observations for the purpose of performance
management must only be carried out by persons holding
qualified teacher status (QTS).
• Observations should take place during lessons and
activities that have been planned in advance.
• At least five school days’ notice is required.
• Minimum of one observation per year for performance
management.
• Feedback should be given as soon as is possible (usually
within five school days).
• Outcomes of observation, including feedback, should be
recorded – appraisee should be given opportunity to add
comments.
Managing underperformance
• Performance management does not form any
part of any formal disciplinary, competency or
capability procedures.
• Appraisal statements may be taken into account
by those responsible for taking decisions about
performance, pay, promotion, dismissal or
disciplinary matters.
• Effective line management, with clear
expectations and appropriate support, will assist
in identifying and addressing any areas for
improvement in performance at an early stage.
Exceptional circumstances
• Where a decision is taken to enter into a formal
competency or capability procedure, then that
procedure supersedes performance
management arrangements.
• The performance management process may be
suspended at any time.
Reflection and discussion –
self-evaluation
A. In what way do(does) the appraiser(s):
• plan the appraisal cycle with the appraisee?
• set the objectives taking account of the performance review of
the previous cycle?
• discuss and identify professional development needs?
• keep progress under review and monitor performance against
objectives regularly throughout the performance management
cycle (formative review)?
• take appropriate action and facilitate support when there is
underperformance?
• conduct an annual review of performance with the appraisee
(summative review including judgements)?
• arrange for the appraisal statement to be made available to
the required personnel?
B. How is performance management embedded in the
improvement processes of the school?
C. Are there any aspects that could be improved?
(Use prompt sheet 3 to facilitate discussion.)
Roles and responsibilities
of the appraisee
Role of the appraisee
• Discuss and agree objectives with appraiser(s).
• Participate in monitoring and review
arrangements.
• Discuss and identify professional development
needs.
Responsibilities of the appraisee
• Discuss setting of objectives with the appraiser
within context of the school, the job description
and the appropriate professional standards.
• Inform the process by identifying and providing
relevant data and evidence of performance.
• Participate in monitoring arrangements.
• Maintain an up-to-date practice, review and
development (PRD) record.
• Contribute to the annual review against
objectives and overall performance.
• Discuss and identify professional development
needs to support professional practice.
Reflection and discussion –
self-evaluation
A. In what way does the appraisee:
• discuss setting of objectives with his/her appraiser(s) within
the context of the school, the job description and the
appropriate professional standards?
• inform the process by identifying and providing relevant
data and evidence?
• participate in monitoring arrangements and maintain an
up-to-date practice, review and development (PRD) record?
• contribute to the annual review against objectives and
overall performance?
• discuss and identify professional development needs to
support professional practice?
B. How is performance management embedded in the
improvement processes of the school?
C. Are there any aspects that could be improved?
(Use prompt sheet 4 to facilitate discussion.)
The performance
management process
Best practice in performance management is characterised by:
• a commitment to the attainment and welfare of learners
• an appreciation of the crucial role that teachers play
• a commitment to the performance and welfare of staff
• an atmosphere of trust between the teacher and their
appraiser, which allows for rigorous evaluation of strengths
and identification of areas for development
• an encouragement to share good practice
• the integration of performance management into the overall
approach to leading and managing the school.
Reflection and discussion –
self-evaluation
A. In what way does the performance management process:
• support the vision of the school?
• contribute to improving the attainment and welfare of
learners?
• assist in the professional development of all staff?
• establish an atmosphere of trust between the teacher and
their appraiser, which allows for rigorous evaluation of
strengths and identification of areas for development?
• encourage the sharing of good practice?
• underpin the overall approach of leading and managing the
school?
• meet the revised statutory regulations?
B. How is performance management embedded in the
improvement processes of the school?
C. Are there any aspects that could be improved?
(Use prompt sheet 5 to facilitate discussion.)
And finally . . .
‘Performance management focuses attention on
making teaching and leadership more effective to
benefit pupils, teachers and schools.’
Performance management for teachers
(Welsh Government, 2012)