Performance management guidance. Performance management Part B: headteachers’ performance...

Performance management guidance

Performance managementPart B: headteachers’

performance management

Implementing the revised performance management regulations

January 2011 for the performance management of headteachers

(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 performance management for the headteacher in raising standards.

• Review how the headteacher’s performance management is embedded in the broad context of the school’s improvement processes.

• Review the operation of the headteacher’s performance management process, including the roles and responsibilities of those involved.

Recap and overview of the revised performance

management requirements

Revised requirementsTimescale• 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.• The Chief Education Officer (CEO) must receive a copy of the appraisal

statement.• 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 processPerformance 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’scommitment to:• develop all practitioners effectively • ensure job satisfaction• high levels of expertise • the progression of practitioners in their chosen

profession.

The appraisal cycle

• The headteacher will determine the timing of the appraisal cycle for every teacher.

• The governing body must determine the appraisal cycle for the headteacher.

• The length of the appraisal cycle will normally be one year.

The appraisal cycle

Reviewing PlanningSelf-reflection Appraiser Self-analysisReview meeting and Strategic analysisAppraisal statement appraisee Setting objectives

Agreeing continuous professional

development (CPD) Monitoring

Informal in-year reviews Teaching observation Other agreed sources of evidence appropriate to the teacher’s role

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.)

Roles and responsibilities

Roles and responsibilities in the performance management

processKey partners• Governing body/relevant body.• Headteacher.• Appraisal panel. • Local authority.• Welsh Government.

Governing body/relevant body responsibilities for the

headteacher’s performance management

The governing body/relevant body must:• appoint an appraisal panel to:

– review the headteacher’s performance management through an appraisal panel

– agree objectives for the headteacher

– agree an annual appraisal statement

– regularly monitor the performance of the headteacher• include the local authority nominated person(s) in the headteacher’s

appraisal panel and performance management process• ensure that the headteacher’s performance management process is

carried out in line with the statutory requirements.

Role of the headteacher in their own performance management process

• Discuss and agree objectives with appraisers.

• Agree monitoring arrangements.

• Participate in monitoring and review arrangements including:

– reviewing their own performance using the leadership standards as a backdrop

– maintaining their practice, review and development (PRD) record

– attend informal in-year performance review discussions

– suggesting objectives for the next cycle

– considering the appraisal statement.

• Discuss and identify professional development needs.

Responsibilities of the headteacher

• Discuss setting of objectives with the appraisal panel 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 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.


A. In what way does the appraisee (headteacher):• discuss setting of objectives with appraisers (appraisal

panel) 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 anup-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?



Role of appraisal panel (governors and local authority

nominee(s))The appraisal panel must:• agree and record objectives with the headteacher• monitor and review performance throughout the cycle• discuss and identify the headteacher’s professional

development needs• prepare the annual appraisal statement• provide a copy of the appraisal statement to the

headteacher, the chair of the governing body and the Chief Education Officer (CEO)

• provide a copy of the headteacher’s appraisal statement, on request, to governors involved in matters relating to pay, promotion, discipline or dismissal of the headteacher.

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 full appraisal statement and annex to the appraisal statement to be made available to the required personnel.

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.

Appointing the appraisal panel

• At least two governors must be appointed by the governing body.

• One or two nominees must be appointed by the local authority.

• Additionally, where the appraisal is of a headteacher of a school which has a religious character, the diocesan authority may appoint an appraiser.

• Where the time a headteacher spends teaching amounts to a significant proportion of their role, then consideration should be given to the inclusion of an appraiser with qualified teacher status (QTS).

• No governor may be appointed as an appraiser of the headteacher if they are a teacher or other member of staff at the school.

The local authority nominee(s)

The local authority will:• nominate one or two representatives who would

normally have knowledge of the school, the role of the headteacher and of the relevant local authority and national priorities

• where appropriate, give specific consideration to the inclusion of an appraiser with qualified teacher status (QTS)

• consult with the headteacher on who will be appointed as their nominees to the appraisal panel.


A. In what way do 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?



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.

Planning for the annual review of performance

• Allocate adequate time for the review.• The headteacher must be informed in writing of

the date of the review meeting at least 10 school days in advance.

• The practice, review and development (PRD) record must be submitted to appraisers at least five days in advance of the review meeting.

Managing the review process

• Identify a chair for the appraisal panel.• Determine how records will be kept and the

appraisal statement written.• Identify data and appropriate evidence to be used

in keeping with the regulations.• Decide how the objectives from the previous cycle

are taken into account.• The headteacher should undertake self-reflection

prior to the meeting.• Agree monitoring and review arrangements.

Headteacher self-reflectionThe headteacher 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.• The school self-evaluation record.• Post-Estyn inspection plan.• The Leadership Standards. • Any other relevant materials, including those

from local authority reviews.

Consideration should also be given to:

• reviewing, discussing and confirming the headteacher’s essential tasks, objectives and standards

• recognising strengths and achievements and taking into consideration factors outside their control

• confirming action agreed during informal in-year reviews• identifying areas for development and how these will be

met• recognising professional development needs• agreeing clear objectives and completing an individual

plan for the year ahead.

Making judgementsThe appraisal panel and the headteacher must:

• judge the extent to which the objectives have been met

• judge whether or not there has been successful overall performance

• confirm that the headteacher continues to meet the relevant professional standards for headteachers

• judge the need for support training and development.

Setting objectives

Setting the objectives

• Three objectives will normally be sufficient.• The headteacher’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.

Headteacher’s objectives

Taken as a whole, they must relate to:• school leadership and management• the headteacher’s job description• any relevant pay progression criteria• any relevant whole-school or team objectives

specified in the school improvement plan• the Leadership Standards• any national priorities for school improvement

set by the Minister for Education and Skills.

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 headteacher in enhancing skills and

knowledge• support agreed objectives• develop strengths• address areas for personal development or

professional growth.

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 headteacher must keep an up-to-date

practice, review and development (PRD) record.

Monitoring progressThere 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 appraisal panel and the headteacher

• the headteacher’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 for headteachers

• 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).

• Outcome of observation, including feedback, should be recorded – headteacher should be given the 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.

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 headteachers play• a commitment to the performance and welfare of staff• an atmosphere of trust between the headteacher and the

appraisal panel, 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.

And finally . . .

‘Performance management focuses attention on making teaching and leadership more effective to benefit pupils, teachers and schools.’

Performance management for headteachers

(Welsh Government, 2012)

Performance management guidance. Performance management Part B: headteachers’ performance...

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