PERFORMANCE MANAGEMENT POLICY 2012

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1 THE KEMNAL ACADEMIES TRUST PERFORMANCE MANAGEMENT POLICY 2012 TEACHING STAFF Effective Date 1 st September 2012 V1_ Page 1 of 26

2 CONTENTS Summary of procedure 1. General principles 2. Responsibilities of Local Governing Bodies 3. Introduction 4. Scope 5. Purpose 6. Link to Pay 7. Link to School Improvement Plan, School Self-Evaluation & School Development Planning 8. The Performance Management Cycle 9. Objective setting 10. Classroom Observation 11. Reviewing Progress Against Objectives 12. Transition to Capability 13. Appeals 14. Review of the Policy V1_ Page 2 of 26

3 Summary Activity Personnel Timescales Possible Outcome 1. Appoint Reviewer/Appraiser Headteacher 2. Set Objectives Reviewer/Appraiser Classroom Observations Review progress against objectives Headteacher/SLT Reviewer/Appraiser Before or shortly after the start of the Performance Management cycle As agreed by the Headteacher and staff Minimum of once per Performance Management Cycle Continuation of Performance Management process/ transition to Capability Procedures 5. Provide feedback Reviewer/Appraiser As required 6. Pay/progression recommendations Reviewer Minimum of four weeks prior to pay consideration meeting of Local Governing Body Pay/progression increase 7. Appeals Employee /Headteacher Within 20 working days Revision of assessment V1_ Page 3 of 26

4 1. General Principles 1.1 The Performance Management process will be treated as confidential to the employee, attendees of the review meetings, and any other persons on a required basis only, at all times. 1.2 TKAT and the Local Governing Body are committed to ensuring consistency of treatment and fairness and will abide by all relevant equality legislation. 1.3 Unless indicated otherwise, all references to teacher include the head teacher. 1.4 Where a member of staff raises a grievance during the Performance Management procedure, it may be temporarily suspended in order to deal with the grievance. Where the grievance and Performance Management cases are related it may be appropriate to deal with both issues concurrently. V1_ Page 4 of 26

5 2. Responsibilities of Local Governing Bodies 2.1 The Kemnal Academies Trust (TKAT, the Trust, the Company), Company Number , whose Registered Office is at Kemnal Technology College, Sevenoaks Way, Sidcup Kent DA14 5AA is the legal employer of all staff employed to work in the TKAT Academies and Operations Executive (OE). 2.2 References in this document to the LGB of an Academy shall be taken also as referring to the Chief Operations Officer of the TKAT OE. 2.3 In accordance with the School Standards and Framework Act 1998 and the Scheme of Delegation (the Scheme) between the TKAT Board of Directors and the Local Governing Body (LGB) of each Academy, the LGB has powers to appoint and dismiss staff. However, there are responsibilities associated with these powers and this procedure sets out these responsibilities with a recommended procedure for exercising them legally and fairly in respect of Performance Management. V1_ Page 5 of 26

6 3. Introduction 3.1 Revised appraisal arrangements come into force with effect from 1 September 2012, and set out the principles that apply to teachers. They are set out in the Education (School Teachers Appraisal) (England) Regulations 2012 (the Appraisal Regulations) which replace the Education (School Teacher Performance Management) (England) Regulations 2006 (the 2006 Regulations). 3.2 Schools must stay within the legal framework set out in the Appraisal Regulations and in other relevant legislation that affects all employers (for example legislation on equality, employment protection and data protection) Some of the key features of the new regulations include: Local Governing bodies will have to have a written appraisal policy for their teachers TKAT will have to appoint an adviser to assist the Chair of Governors with appraising the head teacher Ensure that objectives are set for each teacher at the school Ensure that the performance of each teacher is appraised annually Objectives will have to be set for each teacher which contribute to improving the education of pupils Schools will have to establish an annual appraisal process for teachers Teachers will have to be given a written appraisal report which sets out: an assessment of their performance an assessment of their training and development needs where relevant, a recommendation on pay progression The main changes are that under the new regulations: Each year, teachers performance will be assessed against the relevant standards, against their objectives and against their role in the school, so that leaders can make sure that their teachers performance continues to meet expectations. The three hour limit on formal classroom observation will disappear allowing Local Governing Bodies to make their own decisions about the amount of formal observation that is appropriate for their teachers. New arrangements for teacher appraisal, including new regulations, which remove unnecessary prescription and give schools much greater freedom to design their own appraisal policies. V1_ Page 6 of 26

7 3.3 Teachers Standards The performance of all teachers will be assessed against the new Teachers Standards which come into force on 1 September In some cases Governing Bodies and headteachers may also wish to assess teachers against other sets of standards published by the Secretary of State that are relevant to that teacher, for example the standards for Advanced Skills Teachers or Excellent Teachers The performance of QTLS teachers can be assessed against the teachers standards, other sets of standards published by the Secretary of State that are relevant, and/or other relevant professional standards. 3.4 Confidentiality The performance management process and the statements generated under it will be treated with strict confidentiality at all times. Only the appraisee s line manager or, where they have more than one, each of their line managers and the Headteacher will be provided with access to the appraisee s plan recorded in their statement. This will be done upon request and only where this is necessary to enable the line manager to discharge their line management responsibilities. Appraisees will be consulted on requests for access to statements in the context of this policy The process of gathering evidence for performance review will not compromise normal professional relationships between teachers. The Local Governing Body recognises that the appraiser will consult with and seek to secure the agreement of the appraisee before seeking information from other colleagues about the work of the appraisee. 3.5 Access to Documentation All teachers will be provided access to the school s improvement plan and school s selfevaluation form. 3.6 Retention of Statements Performance Management planning and review statements will be retained for a minimum period of six years within the Academy, and then destroyed. All aspects of the performance review process will remain confidential between the appraiser, the appraisee, the headteacher and, where relevant, members of the Local Governing Body. V1_ Page 7 of 26

8 4. SCOPE 4.1 This Performance Management policy applies to the headteacher and all teachers, employed by The Kemnal Academies Trust (TKAT), whose statutory pay and conditions of service fall under the terms of the School Teachers Pay and Conditions, with the exception of: teachers on contracts of less than one term, teachers undergoing induction (i.e. NQTs) teachers subject to formal capability procedures and who are employed at this school. 4.2 This policy does not apply to support staff within the school please see the TKAT Appraisal Policy for Support Staff 2012 V1_ Page 8 of 26

9 5. PURPOSE 5.1 Performance Management in this Academy will be a supportive and developmental process designed to ensure that all teachers have the skills and support they need to carry out their role effectively. It will help to ensure that teachers are able to continue to improve their professional practice and to develop as teachers. 5.2 This policy sets out the framework for a clear and consistent assessment of the overall performance of the headteacher and teachers and for supporting their development needs within the context of the school s improvement plan and their own professional needs. 5.3 Where teachers are eligible for pay progression, the assessment of their performance, against the agreed objectives and criteria, will be the basis on which the recommendation is made by the appraiser in accordance with the procedure laid out in the current School Teachers Pay & Conditions Document. 5.4 The Local Governing Body is committed to ensuring consistency of treatment and fairness in the operation of performance management. The Local Governing Body will monitor the operation and outcomes of performance management arrangements annually. 5.5 This Academy s performance management policy is designed to: improve teacher morale and motivation; lead to an entitlement to professional development according to identified needs; be seen by staff as enabling; encourage the development of confident and professional judgments amongst teachers; increase teachers participation in decision-making and developing a sense of control over their own work; identify the resources and facilities needed to support teachers; be manageable and not introduce bureaucratic burdens; and have regard to the necessity of achieving a work/life balance for all teachers in respect of all aspects of the performance management process. 5.6 The Local Governing Body intends, therefore, that its policy will enhance or create: the atmosphere of trust between teachers, appraisers and the head teacher a proper opportunity for teachers for professional discussion with their appraisers about their work and their professional development. V1_ Page 9 of 26

10 5.7 Development and support Performance Management is a supportive process which will be used to inform continuing professional development. The school wishes to encourage a culture in which all teachers take responsibility for improving their teaching through appropriate professional development. Professional development will be linked to school improvement priorities and to the ongoing professional development needs and priorities of individual teachers. V1_ Page 10 of 26

11 6. LINK WITH PAY POLICY Where teachers are eligible for performance pay progression, the assessment of performance throughout the cycle against the performance criteria specified in the statement will be the basis on which any recommendation is made by the appraiser, in accordance with the current School Teachers Pay & Conditions Document. The Local Governing Body has agreed the pay policy of the Academy and has considered the implications of the performance management policy with respect to the arrangements relating to teachers pay in accordance with the STPCD. The Local Governing Body will ensure that decisions on pay progression are made by 31 December for headteachers and by 31 October for other teachers. Decisions on pay progression of more than one scale point, for all employees on the Leadership scale must be approved, via delegation to the Directors of Secondary Academies and Primary Academies, by the CEO of TKAT, prior to being awarded. V1_ Page 11 of 26

12 7. LINK TO SCHOOL IMPROVEMENT, SCHOOL SELF EVALUATION AND SCHOOL DEVELOPMENT PLANNING 7.1 To comply with the requirement to show how the arrangements for performance management link with those for school improvement, school self-evaluation and school development planning, the performance management process will be an important source of information as appropriate for school self-evaluation and the wider school improvement process. 7.2 All appraisers are expected to explore the alignment of appraisees objectives with the school s priorities and plans. The objectives should also reflect appraisees professional aspirations. V1_ Page 12 of 26

13 8. THE PERFORMANCE MANAGEMENT CYCLE The performance of teachers must be reviewed on an annual basis. Target setting, performance planning and reviews must be completed for all teachers by 31 October and for headteachers by 31 December. The performance management cycle in the school therefore, will run from 1 st September to 31 st October the following year. Pay progression decisions made by the relevant decision-making body will be based on the statutory criteria and guidance set out in the School Teachers Pay and Conditions Document (STPCD) and the relevant teacher standards. In line with the STPCD all pay progression recommendations must be assessed and decisions made by the LGB no later than 31 st October for teachers and 31 st December for headteachers. The relevant cycle for the purpose of such recommendations and decisions is the previous two academic years Teachers who are employed on a fixed term contract of less than one year, will have their performance managed in accordance with the principles underpinning the provisions of this policy. The length of the cycle will be determined by the duration of their contract Where a teacher starts their employment part-way through a cycle, the headteacher shall determine the length of the first cycle for that teacher, with a view to bringing his cycle into line with the cycle for other teachers as soon as possible Where a teacher transfers to a new post part-way through a cycle, the headteacher shall determine whether the cycle shall begin again and whether to change the appraiser. 8.2 Appointment of Appraisers The Local Governing Body is the appraiser for the headteacher, and to discharge this responsibility on its behalf, will appoint the Chair of Governors, supported by a senior member of TKAT OE, who has been appointed by the Local Governing Body, for that purpose The headteacher will decide who will appraise other teachers. If the headteacher is not the teacher s line manager, the head teacher may delegate the duties of an appraiser to the teacher s line manager, who has undertaken relevant training Where a teacher/headteacher is of the opinion that an appraiser is unsuitable, for professional reasons, they may submit a written request to the headteacher/local Governing Body for the appraiser to be replaced, stating their reasons. All representations will be reasonably considered. V1_ Page 13 of 26

14 9. OBJECTIVE SETTING 9.1 Objectives for each teacher will be set before, or as soon as practicable after, the start of each appraisal period. The appraiser and teacher will seek to agree the objectives but, if that is not possible, the appraiser will determine the objectives. The objectives set will be rigorous, challenging, achievable, time-bound, fair and equitable in relation to teachers with similar roles/responsibilities and experience, and will have regard to what can reasonably be expected of any teacher in that position. They shall also: take account of the teacher s professional aspirations and any relevant pay progression criteria if achieved, contribute to improving the progress of pupils at the school the headteacher s objectives will be set by the Local Governing Body in consultation with the appointed TKAT representative. 9.2 The objectives set will be achievable, fair and equitable in relation to teachers with similar roles/responsibilities and experience. In setting the objectives, the appraisers will have regard to what can reasonably be expected of teachers in the context of their roles, responsibilities and experience. 9.3 In this Academy all teachers: will not normally have more than three objectives except in exceptional circumstances will not necessarily have the same number of objectives will have a whole school objective as appropriate will have a team objective, as appropriate The Headteacher: will not normally have more than six objectives except in exceptional circumstances will have a whole school objective will have a team objective 9.4 Though Performance Management is an assessment of overall performance of teachers, objectives cannot cover the full range of a teacher s roles/responsibilities. 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 a teacher s roles/responsibilities not covered by the performance management plan have been carried out satisfactorily. V1_ Page 14 of 26

15 9.5 Objectives may be revised if circumstances change Revision of Plans There may be occasions when it is necessary to review what has been agreed in the planning statement during the performance cycle. For example: Where the appraisee s post and/or responsibilities have changed If there have been difficulties accessing agreed support Where the appraisee/appraiser has been on maternity or long term sickness absence Where there are concerns about an appraisee's performance or Where reasonable adjustments required under the provision of the Equality Act 2010 need to be made Where this is the case, either party can request a meeting as provided for above. Any proposed changes to the objectives, arrangements for classroom observation, evidence and arrangements for its collection, performance criteria or support available to the review in the review statement must be recorded as a written addition to the statement. Both parties should sign to say the changes are an accurate reflection of what was agreed The right of appeal applies to the revision of a statement, see paragraph 14. V1_ Page 15 of 26

16 10. CLASSROOM OBSERVATION 10.1 This Academy believes that observation of classroom practice and other responsibilities is important both as a way of assessing teachers performance in order to identify any particular strengths and areas for development they may have and for gaining useful information which can inform school improvement more generally. All observations will be carried out in a supportive way and written feedback will always be provided following the observation Teachers performance will be regularly observed but the amount and type of classroom observation will depend on the individual circumstances of the teacher and should reflect, and be proportionate to, the needs of the individual. This would not normally exceed a total of 3 hours over 3 separate occasions i.e. once a term Classroom observations will only be undertaken by persons with qualified teacher status. In addition, classroom observation will only be undertaken by those who have had adequate training and the appropriate professional skills to undertake observation and to provide constructive oral and written feedback and support, in the context of professional dialogue between colleagues Teachers (including the headteacher) who have responsibilities outside the classroom should also expect to have their performance of those responsibilities observed and assessed in line with their job description The Local Governing Body and the Academy are 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 will take account of particular circumstances which may affect performance on the day of observations 10.6 The head teacher of the school will consult staff on the pattern of classroom observation which teachers can expect annually. The head teacher will seek agreement with the teachers and their recognised organisations on these arrangements. V1_ Page 16 of 26

17 10.7 There will be a reasonable amount of time between classroom observations, irrespective of the purpose of those observations. The arrangements for classroom observation will: include the amount of observation; specify its primary purpose; specify any particular aspects of the teacher s performance which will be assessed; specify the duration of the observation; specify when the observation will take place, giving 5 working days notice; and specify who will conduct the observation. where possible, be agreed at the initial performance planning/target setting meeting 10.8 In keeping with the Academy Governing Body s commitment to supportive and developmental classroom observation, those being observed will be notified of their observation conducted for the purposes of performance management or for the evaluation standards of teaching and learning (or for both purposes) at least five working days in advance Where evidence emerges about the appraisee s teaching performance which gives rise to concern during the cycle, classroom observations may be arranged in addition to those recorded at the beginning of the cycle subject to a revision meeting being held Information gathered during the observation will be used, as appropriate, for a variety of purposes including informing school self-evaluation and school improvement strategies In keeping with the commitment to supportive and developmental classroom observation the appraiser and appraisee will seek to agree as far in advance as is practicable a suitable lesson to observe that reflects the targets Oral feedback from classroom observation for the purposes of performance management will be given as soon as possible after the observation and no later than the end of the following working day. It will be given during directed time in a suitable, private environment Written feedback will be provided within five working days of the observation taking place, including the date on which the observation took place, the lesson observed and the length of the observation. If issues emerged from an observation that were not part of the focus of the observation as recorded in the planning and review statement these should also be covered in the written feedback and the appropriate action taken in accordance with the regulations and guidance. The teacher has the right to append written comments V1_ Page 17 of 26

18 on the feedback document. No written notes in addition to the written feedback will be kept In addition to formal observation, head teachers or other leaders with responsibility for teaching standards may drop in in order to evaluate the standards of teaching and to check that high standards of professional performance are established and maintained. The length and frequency of drop in observations will vary depending on specific circumstances. V1_ Page 18 of 26

19 11. REVIEWING PROGRESS AGAINST OBJECTIVES A minimum of one interim review and planning meeting will take place per annual cycle. Planning and review meetings will be scheduled as far in advance as possible. There will be at least five working days notice prior to any planning meetings. For teachers in part-time employment, notice of planning and review meetings should be reasonable and conform to the intention of the policy with respect to teachers in full-time employment. Planning and review meetings will take place within the timetabled school day. Lunch breaks and PPA time will not be used for this purpose. Where some of the five annual professional days are used for performance management planning and meetings, the use of the days will not be at the expense of other important activities, such as professional development. Each teacher's performance will be formally assessed in respect of each appraisal period. In assessing the performance of the head teacher, the Local Governing Body must consult with the appointed TKAT representative Feedback Teachers/headteachers will receive constructive feedback on their performance throughout the year and as soon as practicable after observation has taken place or other evidence has come to light. Feedback will highlight particular areas of strength as well as any areas that need attention. Where there are concerns about any aspects of the teacher s performance the appraiser and the Headteacher will give 5 working days notice to arrange to meet the teacher formally, along with their Trade Union Representative or workplace colleague, to: give clear feedback to the teacher about the nature and seriousness of the concerns; give the teacher the opportunity to comment and discuss the concerns; agree any support (e.g. coaching, mentoring, structured observations), that will be provided to help address those specific concerns; make clear how, and by when, the appraiser will review progress (it may be appropriate to revise objectives, and it will be necessary to allow sufficient time for improvement. The amount of time is up to the school but should reflect the seriousness of the concerns) and should be no less than 6 working weeks. explain the implications and process if no or insufficient improvement is made When progress is reviewed, if the appraiser is satisfied that the teacher has made, or is making, sufficient improvement, the Performance Management process will continue as normal, with any remaining issues continuing to be addressed through that process. V1_ Page 19 of 26

20 If the teacher is under-performing and not making satisfactory progress towards their objectives, the Performance Management process will be used as the informal step before transition to capability. Under-performance can be addressed at any point during the appraisal cycle The teacher needs to be given clear guidance and support to help them reach their appraisal objectives within a workable timeframe of up to six weeks At the end of the cycle, assessment of performance against an objective will be on the basis of the performance criteria set at the beginning of the cycle. Good progress towards the achievement of a challenging objective, even if the performance criteria have not been met in full, will be assessed favourably This assessment is the end point to the annual appraisal process, but performance and development priorities will be reviewed and addressed on a regular basis throughout the year in interim meetings which will take place The Performance Management cycle is annual, but on occasions it may be appropriate to set objectives that will cover a period over more than one cycle. In such cases, the basis on which the progress being made towards meeting the performance criteria for the objective will be assessed at the end of the first cycle and will be recorded in the planning and review statement at the beginning of the cycle The teacher will receive as soon as practicable following the end of each appraisal period and have the opportunity to comment in writing on - a written appraisal report, by 31 October. The appraisal report will include: details of the teacher s objectives for the appraisal period in question; an assessment of the teacher s performance of their role and responsibilities against their objectives and the relevant standards; an assessment of the teacher s training and development needs and identification of any action that should be taken to address them; a recommendation on pay where that is relevant evaluation against job description the teachers own comments V1_ Page 20 of 26

21 The assessment of performance and of training and development needs will inform the planning process for the following appraisal period On occasions it may be appropriate to set objectives which cover a period of more than one performance management cycle. In such cases, the basis on which progress is made towards meeting the objective will be assessed at the end of the first cycle and will be recorded in the planning and review statement at the beginning of the next cycle The head teacher will notify any teacher who has not been recommended for pay progression of the date when the Governing Body meets to consider pay recommendations. Such a notification will take place at least four weeks in advance of the meeting, thus enabling the teacher to make a representation to the head teacher before the final decision of the Governing Body. V1_ Page 21 of 26

22 12. TRAINING & DEVELOPMENT The Academy s CPD programme will be informed by the training and development needs identified as part of the appraisal process. The LGB will ensure in the budget planning that, as far as possible, resources are made available in the school budget for appropriate training, and support agreed for appraisees, maintaining access on an equitable basis. An account of the training and development needs of teachers including the instances where it did not prove possible to provide any agreed CPD, will form a part of the head teacher s annual report to the LGB about the operation of the performance management process within the Academy. With regard to the provision of CPD in the case of competing demands on the Academy budget, a decision on relative priority will be taken with regard to the extent to which: (a) (b) the training and support will help the Academy to achieve its priorities; and the CPD identified is essential for an appraisee to meet their objectives. Where it has not been possible for teachers to fully meet their performance criteria because the support recorded in the planning statement has not been provided, this will be recognised in the review meeting. V1_ Page 22 of 26

23 13. TRANSITION TO CAPABILITY 13.1 If the appraiser is not satisfied with progress made during the informal period as set out above, a recommendation will be made to the Headteacher/LGB that a transition to capability should occur and the teacher/headteacher will be notified in writing that the performance management system will no longer apply and that their performance will be managed under the capability procedure, and they will be invited to a formal capability meeting The capability procedures will be conducted in accordance with the TKAT Capability Policy V1_ Page 23 of 26

24 14. APPEALS 14.1 At specified points in the performance management process teachers and headteachers have a right of appeal against any of the entries in their planning and review statements Where an appraisee wishes to appeal on the basis of more than one entry this would constitute one appeal hearing The arrangements for appeals are outlined as follows: The teacher receives a written copy of their performance management planning and review statement following moderation by the headteacher (where applicable). If the teacher or headteacher is not satisfied with any entry, they should seek to resolve this by discussing the matter informally with their appraiser or in the case of the headteacher the chair of the performance panel within ten working days of the decision Where this is not possible, or where the teacher/headteacher continues to be dissatisfied, they may follow a formal appeal process: The teacher/headteacher should set down in writing the grounds for questioning the entry in their planning/review statement and send it to the Headteacher or in cases where the headteacher is appealing, the Chair of Governors, within ten working days of the notification of the entry being appealed against or the outcome of the discussion referred to above. An appeal will be considered by: Where the Headteacher is appealing, any appeal will be considered by a panel of 3 governors who were not part of the original performance management panel. Where a headteacher is the appraiser for the teacher appealing the appeal will be considered by a panel of 3 governors. Where the Headteacher has delegated the responsibility for a teacher performance management in its entirety to the teacher s line manager, the headteacher will consider any appeal. V1_ Page 24 of 26

25 An appeal will normally be heard within 20 working days of the receipt of the written appeal notification. At the appeal the person appealing or their representative will present their representations. The panel of Governors or Headteacher may ask the employee relevant questions. The person who made the entry on the planning/review statement will explain the case/evidence for the entry. The employee and their representative and the appeal panel may ask the person who made the entry on the planning/review statement relevant questions. The decision of the appeal panel will be given in writing, and where the appeal is rejected will include a note of the evidence considered and the reasons for the decision. The decision is final and there is no recourse to the schools grievance procedure. V1_ Page 25 of 26

26 15. REVIEW OF THE POLICY 15.1 The Local Governing Body will review the performance management policy and the quality assurance processes every year. The Local Governing Body will take account of the head teacher s report in its review of the performance management policy. The policy will be revised as required to introduce any changes in regulation or statutory guidance, to ensure that it is always up to date. Due regard and assessment of the impact upon groups with a protected characteristic as defined by the Equality Act 2010 will be given in undertaking such a review and assessment TKAT will seek to agree any revisions to the policy with the recognised trade unions having regard to the results of the consultation with all teachers, and will cascade any revisions to The Local Governing Body All new teachers to the school will be briefed on the school s performance management arrangements as part of their introduction to the school. V1_ Page 26 of 26

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