1

England

UPDATEDWINTER 2013

Instructions foraction short ofstrike action

2

For more information on the Joint NUT/NASUWT Model Pay Policy,go to www.teachers.org.uk/node/18469

2

Action short of strike actioninstructionsThis guidance applies to members in all maintained schools,including community, foundation, trust, voluntary aided andcontrolled schools, and in academies.

SCHO OL PAY POLICY

APPRAISAL/PERFORMANCE MANAGEMENT

Where the school’s performance management/appraisal policy does notconform to all the provisions in the NUT/NASUWT joint checklist andclassroom observation protocol (both these documents can be found at theend of this set of instructions), the NUT, with NASUWT representatives,should make representations to the head teacher to seek to secure changes.Where these representations fail, contact should be made immediately withthe NUT for further support, advice and guidance on the implementationof the instruction.

Instruction 2: Members should not participate in anyappraisal/performance management process which does not conformto all elements of the NUT/NASUWT Joint Appraisal/PerformanceManagement Checklist and the Joint Classroom Observation Protocol.

Instruction 1: Members should not agree or participate in anyarrangements for the implementation of any pay policy for teacherswhich does not conform to all the elements of the NASUWT/NUT paypolicy checklist.

Where the employer fails to agree a policy which complies with allelements of the NASUWT/NUT checklist this should be referred to theNUT Divisional Secretary.

3

CLASSROOM OBSERVATION

Classroom observation includes observation during learning walks, pupiltracking/shadowing, departmental and subject reviews, pre-inspectionvisits, drop-ins, mock inspections and any other initiatives which involveclassroom observation.

Local authorities have a right to intervene in schools causing concern butthey do not have a statutory right to observe teachers. The instructiontherefore also covers observation as a result of local authority intervention.The NUT/NASUWT classroom observation protocol, which sets out anacceptable approach for undertaking classroom observations , can be foundat the end of this set of instructions.

Ofsted inspectionsObservations carried out by Ofsted inspectors as part of a Section 5inspection, which is a full inspection of the school, or as part of amonitoring visit by Ofsted following the school being placed in a Categoryof ‘requires improvement’ or ‘inadequate’ and Section 8 inspections whichare subject and thematic inspections of the school initiated by Ofsted, arenot covered by the instruction.

Initial Teacher TrainingThe instruction does not apply to observation by trainee teachers, providingthat the observation, the programme of observation and the focus of theobservation have been agreed with the teachers who will be observed.

Peer observationSome schools have a process of voluntary peer observation for professionaldevelopment purposes. Where a member believes that they would benefitfrom being observed by a colleague of their choice or from observing acolleague of their choice, and the outcome of the observation is simply amatter of professional discussion between two colleagues, this would notbe covered by the instruction. However, if the school has imposed thesystem of peer observation or has formalised the process and theobservations are recorded, logged and/or fed into the monitoring processthen these would be viewed as formal observations and would be coveredby the instruction.

Instruction 3: Members should not participate in any form ofmanagement-led classroom observation in any school which refuses tooperate a policy of a limit of a total of three observations for allpurposes within a total time of up to three hours per year.

4

Newly qualified teachers on inductionThe instruction does not automatically apply to newly qualified teachers intheir induction year. However, they should not be subjected to unlimitedand excessive observation. A benchmark for what would be deemedreasonable is an observation in the first four weeks in post and then oneobservation per half term in schools operating a three term year. Thismeans a total of six observations during the first year for those who areworking full time and pro rata for those working part time. Any newly-qualified teacher who is receiving more observation than this shouldcontact the NUT immediately for advice.

Capability proceduresThis instruction does not automatically apply to members on formalcapability procedures who should be offered a defined amount ofclassroom observation with structured feedback as part of the supportoffered. The amount of observation to be carried out should have beendiscussed with the member and the union caseworker who is supportingand advising them on the process. If this has not happened, or the memberhas not made contact with the NUT for advice and support, this should bedone as a matter of urgency.

Schools in an Ofsted categorySimply increasing classroom observation in response to schools being placedin an Ofsted category such as ‘inadequate’ or ‘requires improvement’ isunacceptable. It is the quality not the quantity of observation which makesa difference.

Members should refuse to conduct classroom observations of theircolleagues or those they line manage where the school has failed to adoptthe provisions of the NUT/NASUWT joint performance managementchecklist and classroom observation protocol, or where conducting theobservation would breach the terms of the instruction on the limit onobservation.

Instruction 4: Members should not carry out classroom observation inany school which refuses to accept that there will be a limit of a totalof three observations for all purposes within a total time of up tothree hours per year.

5

This instruction covers for example:

l pupils observing teachers teach and providing either written or oralfeedback on what they have observed; and

l the distribution of questionnaires to pupils which elicit comments onteachers’ performance or attitudes, the conduct of lessons, or the way inwhich teachers discharge their responsibilities.

To be effective, classroom observation should be supportive anddevelopmental and have input from a qualified professional who is able togive appropriate advice and support.

The exception is observation by Ofsted inspectors during a Section 5 orSection 8 inspection.

INSPECTION

There is no statutory requirement for teachers to participate in such mockor commissioned inspections, so members should not carry out suchactivities.

Instruction 6: Members should refuse to be observed teaching byanyone who does not have qualified teacher status (QTS).

Instruction 7: Members should not participate in mock inspectionscommissioned by the school, sponsor, provider or local authority.

Members should not undertake or co-operate with any preparationfor a Section 5 or Section 8 Ofsted inspection commissioned by theschool, sponsor, provider or local authority.

Instruction 5: Members should not organise or co-operate with anyarrangements for observation which involve pupils commenting onthe work of teachers or being involved in decision making aboutteachers’ roles, responsibilities, pay and promotion.

6

REPORTS TO PARENTS

Teachers should only produce one report per year for each of the pupilsthey teach, either in writing or using an electronic comments bank.

EXISTING POLICIES AND WORKING PRACTICES

All teachers and head teachers are entitled to a satisfactory work/lifebalance, which helps them to combine their work with their personalinterests outside work. They are entitled to enjoy time away from workwhich is not encroached upon by work-related activities.

Head teachers and governors have statutory and common law duties tohave regard to the health and welfare of employees. They are also requiredto have regard to the Working Time Regulations.

Head teachers have the responsibility for securing the work/life balance ofstaff. Governing Bodies have the responsibility for the head teacher’swork/life balance. This provision can be found in Section 2, Part 10,paragraphs 56.12 and 63.4 of the School Teachers’ Pay and ConditionsDocument (STPCD) 2012. It should be read in the context of paragraphs62.4-62.11 on working time. Regular review of the workload impact ofpolicies should also be a feature of good management practice.

NUT members should identify with NASUWT colleagues which existing policiesand working practices are generating excessive workload and bureaucracy.

Representatives should advise the head teacher of the policies and workingpractices identified and request that the issues identified be addressed as amatter of urgency.

If the issues have not been addressed within ten working days of the headteacher being notified, NUT members should no longer implement thosepolicies and working practices from that date.

Instruction 9: Members should refuse to implement any existingmanagement-led policies and working practices which have not beenworkload impact assessed and agreed by the NUT.

Instruction 8: Members should produce only one written reportannually to parents.

7

NEW INITIATIVES AND POLICIES

The basis of this instruction is the same as for the instruction on existinginitiatives and policies. However, in this case where a new initiative orpolicy is proposed, or about to be imposed, by the school then membersshould refuse to implement the policy until it has been workload impactassessed and been the subject of consultation and agreement by the NUTand NASUWT.

MEETINGS AND THE SCHOOL’S DIRECTED TIME CALENDAR

The calendar should set out all the activities scheduled to take place in theacademic year, for example, learning outside the classroom activities,meetings, parental consultation evenings and teacher days. Meetingsoutside session times should be held on average no more than once a week.

All activities in the calendar which fall outside school session times shouldbe within the allocation of the contractual 1,265 hours of directed time inwhich teachers, other than those on the leadership spine or ASTs, arerequired to be available for work. The school should have a directed timebudget.

The calendar is also important in the context of meeting the requirementsof equalities legislation, ensuring, for example, that those with carerresponsibilities can plan their arrangements.

These provisions are found in Section 3, Statutory Guidance, paragraph 198of the School Teachers’ Pay and Conditions Document 2012.

Instruction 11: Members should not attend any meetings outsideschool session times which are not within directed time and wherethere is no published directed time calendar for the academic yearwhich has been agreed with the NUT

Instruction 10: Members should refuse to implement any newmanagement–led working practices or policies which have not beenworkload impact assessed and the subject of consultation andagreement with the NUT.

8

If your school has not published a calendar for this academic year; or haspublished a calendar without a directed time budget or a calendar whichhas not been agreed with the NUT and NASUWT, members should notattend any meetings on the calendar which are outside school session timesuntil there has been consultation with the NUT and NASUWT and thecalendar has been agreed.

Detailed guidance on the calendar and directed time budget can be foundin Teachers Working Time and Duties: An NUT guide, available athttp://www.teachers.org.uk/node/11020.

Timetable variations which have not been requested should only be madeto the teaching timetable where there are sound reasons for doing so. Forexample, the long-term absence of a member of staff who teaches classesscheduled to take public examinations may necessitate a change oftimetable for those classes to be taught by a teacher on the staff of theschool rather than the supply teacher engaged to cover the absence, or forsome significant educational development. Variations should be very rareoccurrences.

If changes are proposed to an individual teacher’s timetable or to thetimetable of a group of teachers and no sound reasons are given for thechange, members should not accept the changes.

Members should not, in any event, accept any detrimental changes withoutconsulting with the NUT.

Where sound reasons are given, members should ensure that the changeshave been evaluated to identify the impact on their workload and workinghours.

LESSON PLANS

Lesson planning is an essential contributor to effective teaching andlearning and is, therefore, a key element of professional practice.

Instruction 13: Members should not submit lesson plans to membersof the senior management team or anyone acting on behalf of thesenior management team.

Instruction 12: Members should refuse to agree to timetable changeswhere no sound educational reasons have been given for the change.

9

Planning is most properly regarded as a means to an end (i.e. effectiveteaching and learning) and not as an end in itself.

Teachers are accountable for supporting pupils’ progress and achievementthrough their use of suitable approaches to teaching and learning, not forthe particular manner in which learning activities and experiences areplanned. Consequently, the principal purpose of any lesson plan, whetherindividual lesson plans or weekly planning, is to support the professionalpractice of teachers rather than to serve as a means by which they can beheld to account for their work.

The current Ofsted Inspection Handbook requires only that inspectors assessthe degree to which ‘leaders and managers ensure that the curriculum iseffectively planned and taught’ (p.44).

As the performance of teachers with regard to teaching and learning iscentral to evaluation of the effectiveness of their professional practice, ittherefore follows that any considerations in relation to teachers’ planningof teaching and learning should be reviewed in the context ofarrangements for performance management/appraisal.

Members should also note that Ofsted has made clear that inspectors donot routinely scrutinise teachers’ individual lesson plans. (Ofsted, ‘Schoolsand Inspection’; December 2010).

Members should therefore be confident that their refusal to comply withinstructions of this nature as a result of lawful industrial action is in no wayinconsistent with their commitment to maintaining the highest possiblestandards of practice and conduct, and to ensuring that meeting thelearning needs of pupils continues to represent their key professionalpriority.

Members should therefore make their own professional judgementregarding the nature of their planning of lessons.

EMAIL CORRESPONDENCE

Instruction 14: Members should send and respond to work-relatedemails only during directed time.

10

Emails can be a very efficient and effective way of exchanging informationbetween staff in schools. However, of increasing concern to members iswhen this is abused and emails are used to hold teachers to account, havingrequirements that they should be read and answered in a specific time andbeing sent during the evenings on weekdays, at weekends and duringholiday periods either with the expectation of a response during thosetimes or to put pressure on teachers.

This instruction therefore confines the sending and responding to emails todirected time. Members should neither respond to, nor send, emails outsidethat time.

PLANNING, PREPARATION AND ASSESSMENT(PPA) TIME

All teachers, including head teachers who are timetabled to teach, shouldhave guaranteed time within school sessions to plan and prepare for theirlessons and to assess pupils’ work.

The time must be a minimum of 10 per cent of their timetabled teachingtime and the time should be clearly marked on the timetable. The use ofthis time is determined by the individual teacher and it is guaranteed. Itcannot be used for any other activity, including cover.

This provision can be found in Section 2, Part 10, paragraphs 63.5 to 63.8 ofthe School Teachers’ Pay and Conditions Document (STPCD) 2012.

Teachers’ professional duties include the requirement to plan and preparelessons and to assess pupils’ work. It is, therefore, necessary that in orderfor teachers to teach effectively, they are provided with an adequateallocation of time for planning, preparation and assessment tasks.

Guaranteed PPA time is also designed to reduce workload by enablingteachers to manage their workload more effectively and by providing timewithin the working day for teachers to carry out these activities.

Where there is a failure to guarantee 10 per cent PPA time for all teachers,union representatives should approach the head teacher and request thatthis be addressed as a matter of urgency. If the issue is not resolved, NUTrepresentatives should refer the matter to the NUT for further support.

Instruction 15: Members should ensure that they have on their timetablethe minimum of 10 per cent guaranteed PPA time.

Members will refer any failure to provide the time to the NUT.

11

It is for teachers themselves to determine the planning, preparation andassessment activities they wish to undertake in their PPA time. This enablesmembers to manage their workload more effectively by being able to planthe use of the guaranteed time available to undertake any PPA activities.

LEADERSHIP AND MANAGEMENT TIME

Teachers paid on the leadership spine, and other teachers who haveleadership and management responsibilities such as those in receipt ofTeaching and Learning Responsibility (TLR) payments, are entitled to areasonable allocation of time within school sessions to support thedischarge of their responsibilities.

This time should be distinguished on the timetable from any PPA time.

This provision can be found in Section 2, Part 10, paragraph 63.9 of theSchool Teachers’ Pay and Conditions Document (STPCD) 2012.

Those with leadership responsibilities should be undertaking work whichfocuses on, and enhances, teaching and learning. They, therefore, requiretime to support the discharge of these responsibilities to enable them tomake an effective contribution to educational standards.

Although there is no definition of what constitutes a ‘reasonable allocationof time’, the amount of time allocated must be meaningful and so, forexample, blocks of 10 or 20 minutes would not meet that definition.

The allocation of time must take into account the extent and nature of therole.

Instruction 18: Members paid on the leadership spine or in receipt of aTeaching and Learning Responsibility (TLR) payment should refuse toundertake any leadership or management responsibilities unless theyhave their contractual allocation of dedicated timetabled time tosupport the discharge of these responsibilities.

Instruction 17: Members should refuse to accept the direction of thehead teacher to undertake any other activity, including cover, in PPAtime.

Instruction 16: Members should only undertake in PPA time, planning,preparation and assessment activities which they determine areappropriate to support their timetabled lessons.

12

Equity of provision of time is important. There should be no differentiationin the amount between teachers whose responsibilities are of a similarnature.

If any member(s) does not have the required allocation of leadership andmanagement time on their timetable, they should notify the head teacherthat they will not be carrying out those responsibilities until such time as areasonable amount of time is identified and allocated. Members shouldalso contact the NUT immediately.

In too many schools, members are being given onerous responsibilities forleadership and management without the associated payment on theleadership spine or being given a TLR. Unremunerated roles include forexample curriculum co-ordinator, subject co-ordinator or head of year.

Members are commonly told that undertaking these roles ‘voluntarily’ willenhance their career progression, is good professional development or thatit will place too much pressure on the school budget if payment is made.None of these are valid reasons for denying appropriate payment.

The NUT and NASUWT believe that if these responsibilities are valued bythe school, they will attract both the entitlement to leadership andmanagement time and payment in accordance with the provisions of theSTCPD.

Members are sometimes told that they are not accountable for the area ofresponsibility they have been given and therefore do not qualify forpayment. This is not correct. Accountability can be tested easily by askingwhether, if an unfavourable inspection report of the area of responsibilitywere received, would the head teacher take full responsibility, or would theteacher be held accountable for the outcome. There is no doubt that thelatter would be the case.

To determine whether payment should be sought, members shouldconsider whether they are accountable for the particular area of work. Ifthis is the case then the matter should be pursued with the head teacher.

Instruction 19: Members should refuse to undertake leadership andmanagement activities without being paid a TLR or on the leadershipspine.

13

DEDICATED HEADSHIP TIME

Head teachers who teach are entitled to dedicated headship time duringschool sessions.

STPCD guidance on headship time refers to the problems faced by headteachers who teach more than 50 per cent of the timetable and do nothave sufficient time to lead and manage their schools in addition to theirteaching commitment. The guidance indicates that head teachers musthave time to lead their school as well as manage it, and that this willeffectively limit how much teaching a head teacher can be expected toundertake.

Dedicated headship time should be marked clearly on the timetable anddistinguished from any PPA time.

This provision can be found in Section 2, Part 9, paragraph 57.2 of theSchool Teachers’ Pay and Conditions Document (STPCD) 2012.

Head teachers with teaching loads clearly are lead practitioners in schoolsand, therefore, require PPA time to support the provision of high qualitylessons. Their leadership role for teaching and learning activities is equallyimportant and therefore they need dedicated quality time to support thedischarge of these headship responsibilities.

If a head teacher member does not have the required allocation ofdedicated headship time, then the Chair of the Governing Body should beadvised that, unless the matter is addressed and an appropriate amount oftime allocated, that the head teacher will contact the NUT.

There is no definition of the amount of time which would be consideredappropriate but the NUT and NASUWT believe that head teacher memberswould be able to identify what would be a reasonable allocation in thecontext of balancing their responsibilities.

Instruction 20: Head teacher members with 50 per cent or moretimetabled teaching commitment should refuse to undertake theirteaching commitment unless they have an allocation of dedicatedheadship time on their timetable.

14

COVER FOR ABSENCE

Members (except those employed on a contract to wholly or mainlyundertake cover) should refuse to provide cover, including being asked totake pupils into their class or group from other classes where the teacher isabsent (split-classes). Covering for teacher absence is not a good use of ateacher’s time.

Absence, triggering cover, occurs when the teacher normally responsible forteaching a particular class is absent from the classroom during the timethey have been timetabled to teach. The absence could be for a variety ofreasons, including internal and external reasons, as well as sickness. It couldbe short or long term. Members should not cover for any absence.

GAINED TIME

During the year, teachers may be released from some of their timetabledteaching commitments as a result of pupils being on study or examinationleave. Such time is known as gained time. During gained time, teachers areonly required to undertake activities from the list below:

l developing/revising departmental/subject curriculum materials, schemesof work, lessons plans and policies in preparation for the new academicyear. This may include identifying appropriate materials for use by supplystaff and/or cover supervisors;

l assisting colleagues in appropriate planned team teaching activities;

l taking groups of pupils to provide additional learning support;

l supporting selected pupils with coursework;

l undertaking planned activities with pupils transferring between yeargroups or from primary schools;

l where the school has a policy for all staff to release them for continuingprofessional development (CPD) during school sessions, gained time maybe used.

Instruction 22: Where teachers are released from timetabled teachingcommitments as a result of pupils being on study or examinationleave, members should refuse to undertake any activities during thattime other than in Section 4 paragraphs 76-77 of the School Teachers’Pay and Conditions Document (STPCD) 2012.

Instruction 21: Members should refuse to cover for absence.

15

This provision can be found in Section 4, paragraphs 76-77 of the SchoolTeachers’ Pay and Conditions Document (STPCD) 2012.

Defining the use of gained time will avoid teachers being directed toundertake activities during this time which do not require the skills andabilities of qualified teachers and to enable them to focus on tasks whichenhance teaching and learning.

Members should not accept direction to undertake any activities in gainedtime other than those contained in the list above.

LUNCHTIME SUPERVISION

Teachers are entitled to a daily break of a reasonable length eitherbetween school sessions or between the hours of 12 noon and 2.00pm.

This provision is found in Section 2, Part 10, paragraph 63.3 of the SchoolTeachers’ Pay and Conditions Document (STPCD) 2012.

Members should not undertake any supervision of pupils during the lunchbreak, unless they have entered into a second contract outside the SchoolTeachers’ Pay and Conditions Document provisions to do so. The NUT doesnot recommend that members enter into such contracts.

Whilst the NUT and NASUWT do not recommend that members carry outvoluntary, extra-curricular activities during the lunch break, this instructiondoes not preclude these continuing. (See the section on voluntary activitiesat the end of this guidance.)

INVIGILATION OF EXAMINATIONS

No teacher, primary or secondary, is required to invigilate any publicexaminations. This includes GCSEs, A levels and Key Stage 2 SATs.

This provision is found in Section 2, Part 10, paragraph 63.11 of the SchoolTeachers’ Pay and Conditions Document STPCD 2012.

Exam invigilation is not a productive use of teachers’ time.

Save for the activities specified in the instruction below, invigilation ofexaminations does not require the skills and abilities of a qualified teacher.

Instruction 24: Members should refuse to invigilate any publicexamination, including GCSEs and SATs.

Instruction 23: Members should refuse to undertake supervision ofpupils during the lunch break.

16

The exceptions are:

l controlled assessments in secondary schools;

l foundation stage assessments and Key Stage 1 assessments in primaryschools;

l practical or oral examinations which require the specialist teacher to bepresent.

Mock examinations are sometimes referred to as ‘trial’ examinations.

Where mocks/trials are carried out by teachers with the class or group theynormally teach during their normal timetabled time and under thearrangements for the conduct of the lesson, this instruction would notapply.

ADMINISTRATIVE AND CLERICAL TASKS

Teachers cannot be required to routinely carry out administrative andclerical tasks.

Tasks do not have to be done on a daily basis to be routine. Many tasks aredone only once a year, such as collating reports. This would still be classedas routine and therefore should not be done by teachers.

This provision can be found in Section 2, Part 10, paragraphs 63.12 and63.13 in the School Teachers’ Pay and Conditions Document (STCPD) 2012.

There is a dual purpose to this provision. Firstly, it is to reduce workload byremoving from teachers tasks which do not require a teacher’squalifications, skills and abilities. Secondly, it is to free teachers to focus onteaching and learning.

The tasks in Annex 4 of the STPCD are listed below. They are illustrative andnot exhaustive. Members should identify any additional tasks they shouldnot be undertaking by applying the test of whether they require thequalifications, skills and abilities of qualified teachers.

Instruction 26: Members should refuse to undertake administrativeand clerical tasks as exemplified in Annex 4 of the School Teachers’Pay and Conditions Document (STPCD) 2012.

Instruction 25: Members should refuse to undertake the invigilationof any ‘mock’ examinations where the school reorganises thetimetable to replicate the external examination process.

17

ANNEX 4 – Administrative and clerical tasks1. Collecting money from pupils and parents.

2. Investigating a pupil’s absence.

3. Bulk photocopying.

4. Typing or making word-processed versions of manuscript material andproducing revisions of such versions.

5. Word-processing, copying and distributing bulk communications,including standard letters, to parents and pupils.

6. Producing class lists on the basis of information provided by teachers.

7. Keeping and filing records, including records based on data suppliedby teachers.

8. Preparing, setting up and taking down classroom displays inaccordance with decisions taken by teachers.

9. Producing analyses of attendance figures.

10. Producing analyses of examination results.

11. Collating pupil reports.

12. Administration of work experience (but not selecting placements andsupporting pupils by advice or visits).

13. Administration of public and internal examinations.

14. Administration of cover for absent teachers.

15. Ordering, setting up and maintaining ICT equipment and software.

16. Ordering supplies and equipment.

17. Cataloguing, preparing, issuing and maintaining materials andequipment and stocktaking the same.

18. Taking verbatim notes or producing formal minutes of meetings.

19. Co-ordinating and submitting bids (for funding, school status and thelike) using contributions by teachers and others.

20. Transferring manual data about pupils not covered by the above intocomputerised school management systems.

21. Managing the data in school management systems.

18

19

VOLUNTARY ACTIVITIES OUTSIDE SCHOOL SESSIONSThe action short of strike action is designed specifically to tackle the issuesof excessive teacher workload and defend pay and conditions of service in amanner which achieves these aims using strategies which are pupil, parentand public-friendly.

Therefore, where members have volunteered freely to undertakeextracurricular activities and have not been placed under pressure to do so,the action short of strike action instructions are not intended to preventthese from continuing.

Extracurricular activities include school teams, music/drama productions andclubs.

Where members have made a professional judgement and havevolunteered freely to provide extra support for certain pupils outside schoolsessions, these can also continue.

However, where any of the above activities have been imposed on amember, then the action short of strike action instructions enable themember to withdraw from these activities. In these circumstances, membersshould inform the head teacher in writing in sufficient time before the nextactivity is scheduled to take place so that any notification that the activitywill no longer take place, to pupils and parents which may be necessary canbe given.

20

Performance management/appraisal checklistPerformance management/appraisal policies acceptable to the NUT and NASUWTwill have all of the following key features.

l A clear statement that the performance management/appraisal process isdevelopmental and supportive and intended to foster professional dialoguebetween colleagues.

l A clear timeline for the completion of the performance management/appraisalprocess in the annual cycle.

l No requirement to schedule formal meetings to review performance during thecycle.

l A designated appraiser who should normally have line managementresponsibilities for the teacher whose performance they are reviewing and whoconducts all aspects of the review, including pay recommendations, for teacherswho are eligible.

l Provisions stating what should be included in the planning statement.

l A right of appeal.

l Pay progression for eligible teachers as a result of the performance management/appraisal review where teachers have met or made significant progress towardsmeeting their objectives. The performance management/appraisal reviewstatement at the end of the cycle must be the only source of evidence teachersrequire to support pay progression. The policy should enable teachers to submitadditional evidence if they choose but they cannot be requested or directed tosubmit additional evidence or penalised if they choose not to do so.

England

21

l Clear statements that:

the Teachers’ Standards will be used to inform the setting of the teacher’sperformance management/appraisal objectives;

the Teachers’ Standards will not be used as a checklist against which theteacher’s performance is assessed;

assessment against the Teachers’ Standards will start from the premise thatall teachers are meeting the Teachers’ Standards and they will be assessedas meeting the standards unless clear, compelling written evidence to thecontrary is provided.

l No more than three objectives will be set for any teacher.

l The teacher’s objectives are the focus for the performance management/appraisalreview.

l A clear distinction is made between performance management/appraisal andcapability procedures with an informal stage before formal capability. If a teacher’sperformance is causing serious concern, the policy must state that a meetingwith the teacher will be called to consider the evidence of serious concern. Inaddition, where the case for serious concern is made the policy must state thatan appropriate period of support will be provided, at the end of which will be afurther meeting to review progress. If the teacher is still experiencing difficultiesthen consideration may need to be given as to whether formal capabilityprocedures should begin.

l The content of the performance management/appraisal review statement mustbe drawn up in discussion between the appraiser and appraisee.

l All performance management activities will take place within the teacher’s directedtime, but not within a teacher’s PPA time.

l There should be a limit of a total of three observations for all purposes. Under nocircumstances shall the total time occupied by all observations exceed threehours per year and the focus and timing must be agreed in the teacher’sperformance management/appraisal planning statement.

l Performance Management Review statements are confidential to the headteacher, appraiser and the appraisee.

l The operation of the performance management/appraisal policy and process hasbeen workload impact assessed to ensure that it does not add to the workloadof anyone involved.

22

Classroom observation protocol

IntroductionThis governing body is committed to ensuring that classroom observation is developmental andsupportive and that those involved in the process will:

l carry out the role with professionalism, integrity and courtesy;

l seek to reach agreement in advance on how classroom observations are to be carried out;

l evaluate objectively;

l report accurately and fairly; and

l respect the confidentiality of the information gained.

Planning and preparing for observationIn keeping with the school governing body’s commitment to supportive and developmental classroomobservation the head teacher will:

l consult teachers on the pattern of classroom observation which they can expect annually andseek agreement with teachers and union representatives on these arrangements;

l ensure that those being observed for all purposes will be notified at least five working days inadvance;

l arrange, as far as possible, for all observations to take place at a time agreed between the teacherand the observer;

l ensure that there is a reasonable amount of time between classroom observations, irrespective ofthe purpose of those observations;

l ensure that classroom observation will be undertaken solely by persons with qualified teacherstatus (QTS) and the appropriate training and professional skills to undertake observation and toprovide constructive oral and written feedback and support, in the context of professional dialoguebetween colleagues.

England

23

Planning for observation will take place at the start of the appraisal/performance management cycleand will include details of:

l the amount of observation;

l the focus of the observation;

l the duration of the observation;

l when during the performance management/appraisal cycle the observation will take place; and

l who will conduct the observation.

In order that classroom observation is kept to a minimum, and to support efforts to deliver the school’scommitment to streamlining data collection and minimising bureaucracy and workload burdens onteachers, the information gathered will be used for multiple purposes, including informing school self-evaluation and school improvement strategies. This will enable the head teacher to discharge her/hisduty to evaluate the standards of teaching and learning and to ensure that proper standards ofprofessional performance are established and maintained.

Before any classroom observation is conducted, there will be an opportunity for the reviewer andteacher to meet within directed time in order that the context of the lesson to be observed can bediscussed.

Conducting observationThere should be a limit of a total of three observations for all purposes. Under no circumstances shallthe total time occupied by all observations exceed three hours per year and the focus and timingmust be agreed in the teacher’s performance management planning statement.

Neither pupils nor governors will undertake observations (although governors may, by specificagreement with the teacher concerned, visit a lesson to familiarise themselves with their link area).

Feedback and recordsOral feedback will be given as soon as possible after the observation and no later than the end of thefollowing working day. It will be given during directed time in a suitable, private environment. Time forpreparation and feedback for classroom observation will be made available, in addition to PPA time.

Written feedback will be provided within five working days of the observation taking place. If issuesemerged from an observation that were not part of the focus of the observation as recorded in theplanning and review statement, these should also be covered in the written feedback and theappropriate action discussed with the teacher.

The written record of feedback will include the date on which the observation took place, the lessonobserved and the length of the observation. The teacher has the right to append written commentson the feedback document. No written notes in addition to the written feedback and teacher’scomments will be kept. The reviewer will be given sufficient time within the school day to put in writtenform the conclusions agreed with the reviewee on the outcomes of the classroom observation.

Teachers will have access to all written accounts of the observation after their lessons and, if theyrequest, copies will be provided.

Classroom observation and formal capability proceduresFor teachers on a formal capability procedure an important part of the support offered to the teacherwill be a clearly defined amount of classroom observation with structured oral and written feedback.The amount of classroom observation will be discussed with the teacher and their union representativewho is supporting and advising them in the formal process.

�� %%#���+��%#!�!�'���������� ��"#!'(

������������ �� ������

*'��! �#0&�6*'����!" �$'.+'8'�6*#6�#�(#+4��64#052#4'06�#0&�%105+56'06�2#;�21.+%;��9*+%*4'%1)0+5'5�#0&�4'9#4&5�6'#%*'45�#5�*+)*.;�5-+..'&�241('55+10#.5��+5�#�-';�'.'/'06�+0�'(('%6+8'5%*11.�+/2418'/'06�

�%*11.�2#;�21.+%+'5�9*+%*�#%%14&�9+6*�6*'�2418+5+105�+0�6*+5�%*'%-.+56�9+..�*'.2�61�4'%47+6��4'6#+0#0&�/16+8#6'� 6'#%*'45�� 2418+&'� 6*'�$#5+5� (14� 5170&� (+0#0%+#.� #0&�2'45100'.� 2.#00+0)� #0&/+0+/+5'�6*'�4+5-�1(�)4+'8#0%'�#0&�&+5%4+/+0#6+10�

*'�%*'%-.+56�5'65�176�6*'�/+0+/7/�4'37+4'/'065�(14�#0�'(('%6+8'�2#;�21.+%;�#0&�+5�'06+4'.;%105+56'06�9+6*�6*'�4'8+5'&�56#67614;�2418+5+105�(14�6'#%*'45<�2#;�&7'�61�6#-'�'(('%6�(41/���'26'/$'4�����

*'����!" �#0&��! �/1&'.�5%*11.�2#;�21.+%;� +0%14214#6'5�#..�1(� 6*'�2418+5+105�1(� 6*+5%*'%-.+56�#0&�+5�%105+56'06�#0&�%1/2.+#06�9+6*�#..�56#67614;�4'37+4'/'065��

*'�27$.+%#6+10�1(�6*'��! �#0&����!" �,1+06�%*'%-.+56�&1'5�016�4'24'5'06�#0�#%%'26#0%'�1(%*#0)'5�61�6*'�6'#%*'45<�2#;�5;56'/�+0641&7%'&�14�241215'&�$;�6*'��'2#46/'06�(14��&7%#6+10�

*'����!" �#0&��! �#4'�%1//+66'&�61�5'%74+0)�#�0#6+10#.�2#;�5647%674'�+0��0).#0&�#0&"#.'5�9*+%*�#22.+'5�56#67614+.;�61�#..�/#+06#+0'&�5%*11.5�#0&�#%#&'/+'5�

������������������������������

*'� 4'8+5'&� 241%'&74'5� 10� 2#;� 241)4'55+10� &1� 016� 6#-'� '(('%6� 706+.� �'26'/$'4� �����22.+%#6+105�(14�241)4'55+10�61�6*'�!22'4��#;��%#.'�(41/��'26'/$'4�����+�'���170&����241)4'55+10�10�6*'��#+0�#0&�!22'4��#;��%#.'5�#0&�2#;�&'6'4/+0#6+105�(14�0'9�#221+06''56#-+0)�72�21565�24+14�61��'26'/$'4�����9+..�6*'4'(14'�$'�%#44+'&�176�+0�#%%14&#0%'�9+6*�6*'2418+5+105�1(�6*'�����%*11.� '#%*'45<��#;�#0&��10&+6+105��1%7/'06��� �����

�$�#�$�

24

England and Wales

Pay Awards

*'�5%*11.�+5�%1//+66'&�61�#9#4&�#�/+0+/7/�10'�2'4�%'06�2#;�72.+(6�61�#..�':+56+0)�2#;�21+065#0&�#..19#0%'5�(14�#..�6'#%*'45�(41/��'26'/$'4����#0&�61�#�)4'#6'4�#9#4&�+(�6*#6�+5�6*'176%1/'�1(�6*'��%*11.� '#%*'45<��'8+'9��1&;��� ����2#;�4'8+'9�241%'55��

�������������������������������

Performance management/appraisal of teachers

� �'4(14/#0%'�/#0#)'/'06�#224#+5#.�241%'&74'5�#6�6*'�5%*11.�9+..�12'4#6'�+0�#%%14&#0%'9+6*�6*'�,1+06����!" ��! �%*'%-.+56�

Salary determination

� *'�5%*11.�9+..�&'6'4/+0'�6*'�5#.#4;�1(�#�6'#%*'4�10�#0�#007#.�$#5+5�#0&�016+(;�6*'�6'#%*'4+0�94+6+0)�1(�6*'�5#.#4;�&'6'4/+0#6+10�$;����%61$'4�'#%*�;'#4�9+6*�'(('%6�(41/����'26'/$'41(�6*#6�;'#4�

Determining the pay of appointees/maintaining ‘pay portability’

� *'�5%*11.�+5�%1//+66'&�61�6*'�24+0%+2.'�1(�2#;�2146#$+.+6;�#0&�9+..�#22.;�6*+5�24+0%+2.'�+024#%6+%'�9*'0�/#-+0)�#..�0'9�#221+06/'065�

Determining the pay ranges for vacant teaching posts

� *'�5%*11.�9+..�016�4'564+%6�6*'�2#;�#8#+.#$.'�(14�#221+06''5�61�8#%#06�%.#55411/�6'#%*'421565��16*'4�6*#0�6*'�.19'4�.+/+6�1(�6*'��#+0��#;��#0)'�#0&�6*'�722'4�.+/+6�1(�6*'�!22'4�#;��#0)'�

Main Pay Range – pay scale

� '#%*'45�10�6*'��#+0��#;��#0)'�9+..�$'�2#+&�10�6*'�5+:�21+06�5%#.'�10�6*'��#+0��#;��#0)'#66#%*'&�

Main Pay Range – pay progression

� '#%*'45�9+..�$'�#9#4&'&�2#;�241)4'55+10�10�6*'��#+0��#;��#0)'�(1..19+0)�#�57%%'55(7.2'4(14/#0%'�/#0#)'/'06�#224#+5#.�4'8+'9�

� �'8+'95�9+..�$'�&''/'&�61�$'�57%%'55(7.�70.'55�5+)0+(+%#06�%10%'405�#$176�56#0&#4&5�1(2'4(14/#0%'�*#8'�$''0�4#+5'&�+0�94+6+0)�9+6*�6*'�6'#%*'4�&74+0)�6*'�#007#.�2'4(14/#0%'/#0#)'/'06�#224#+5#.�%;%.'�#0&�*#8'�016�$''0�57((+%+'06.;�#&&4'55'&�6*417)*�57221462418+&'&�$;�6*'�5%*11.�$;�6*'�%10%.75+10�1(�6*#6�241%'55�

� '#%*'45� +0� 6*'+4� +0&7%6+10� ;'#4� 9+..� $'� #9#4&'&� 2#;� 241)4'55+10� 10� 6*'� 57%%'55(7.%1/2.'6+10�1(�+0&7%6+10�

Moving from the Main Pay Range to the Upper Pay Range

� '#%*'45�9*1�#22.;�61�/18'�61�6*'�!22'4��#;��#0)'�(41/�21+06�5+:�1(�6*'��#+0��#;��#0)'9+..� $'� #9#4&'&� 241)4'55+10� 61� 6*#6� �#0)'� *#8+0)� 4')#4&� 61� 6*'� 691� /156� 4'%'062'4(14/#0%'�/#0#)'/'06�#224#+5#.�4'8+'95�

25

� �'8+'95�9+..�$'�&''/'&�61�$'�57%%'55(7.�70.'55�5+)0+(+%#06�%10%'405�#$176�56#0&#4&5�1(2'4(14/#0%'�*#8'�$''0�4#+5'&�+0�94+6+0)�9+6*�6*'�6'#%*'4�&74+0)�6*'�#007#.�2'4(14/#0%'/#0#)'/'06�#224#+5#.�%;%.'�#0&�*#8'�016�$''0�57((+%+'06.;�#&&4'55'&�6*417)*�57221462418+&'&�$;�6*'�5%*11.�$;�6*'�%10%.75+10�1(�6*#6�241%'55�

Upper Pay Range – pay scale

� '#%*'45�10�6*'�!22'4��#;��#0)'�9+..�$'�2#+&�10�6*'�6*4''�21+06�5%#.'�10�6*'�!22'4��#;�#0)'�#66#%*'&�

Upper Pay Range – pay progression

� '#%*'45� 9+..� $'� #9#4&'&� 2#;� 241)4'55+10� 10� 6*'� !22'4� �#;� �#0)'� (1..19+0)� 69157%%'55(7.�2'4(14/#0%'�/#0#)'/'06�#224#+5#.�4'8+'95�

� �'8+'95�9+..�$'�&''/'&�61�$'�57%%'55(7.�70.'55�5+)0+(+%#06�%10%'405�#$176�56#0&#4&5�1(2'4(14/#0%'�*#8'�$''0�4#+5'&�+0�94+6+0)�9+6*�6*'�6'#%*'4�&74+0)�6*'�#007#.�2'4(14/#0%'/#0#)'/'06�#224#+5#.�%;%.'�#0&�*#8'�016�$''0�57((+%+'06.;�#&&4'55'&�6*417)*�57221462418+&'&�$;�6*'�5%*11.�$;�6*'�%10%.75+10�1(�6*#6�241%'55�

Advanced Skills Teachers (ASTs)/Excellent Teachers (ETs)

� �:+56+0)��� 5�� 5�9+..�$'�#55+/+.#6'&�61�6*'��'#&+0)��4#%6+6+10'4��#;��#0)'�#6�#�2#;�21+0614�+0&+8+&7#.�2#;�4#0)'�9*+%*�/#+06#+05�#5�#�/+0+/7/�6*'+4�':+56+0)�2#;�'06+6.'/'065��

TLR payments

� ����#0&� ���2#;/'065�9+..�$'�#..1%#6'&�+0�#%%14&#0%'�9+6*�6*'�%4+6'4+#�#66#%*'&�

� '#%*'45�9+..�016�$'�':2'%6'&�61�70&'46#-'�2'4/#0'06�#&&+6+10#.�4'52105+$+.+6+'5�9+6*1762#;/'06�1(�#�2'4/#0'06� ����14� ���2#;/'06�

� �.'#4�%4+6'4+#�(14�6*'�#9#4&��.'8'.�#0&�&74#6+10�1(�6+/'�.+/+6'&� ���2#;/'065�9+..�$'�5'6176�� *'4'�9+..�$'� (7..�%1057.6#6+10�9+6*�70+10� 4'24'5'06#6+8'5�#0&�#)4''/'06�9+6*� 6*'���!" �#0&��! �$'(14'�6*'�&'%+5+10�+5�/#&'�61�/#-'�#0;�57%*�2#;/'06�

Appeals procedures

� '#%*'45�*#8'�6*'�4+)*6�61�/#-'�4'24'5'06#6+105�#0&�61�#22'#.�#$176�#0;�#52'%6�1(�6*'+42#;�14�2#;�241)4'55+10�+0�#%%14&#0%'�9+6*�#0�#22'#.5�241%'&74'�9+6*+0�6*'�21.+%;�9*+%*/''65��#5�#�/+0+/7/��6*'�56#67614;�4'37+4'/'065�10�&+5276'5�4'51.76+10�

Monitoring and review of the policy

� *'�21.+%;�9+..�$'�/10+614'&�#0&�4'8+'9'&�$;�6*'�4'.'8#06�$1&;�+0�%10,70%6+10�9+6*�70+104'24'5'06#6+8'5�10�#0�#007#.�$#5+5���0�#007#.�94+66'0�4'2146�10�6*'�12'4#6+10�1(�6*'�2#;21.+%;�� 4'%14&+0)� 2#;� &'%+5+105� 6#-'0� #0&� '37#.+6;� +/2#%6�� 9+..� $'� 2418+&'&� 61� 70+104'24'5'06#6+8'5�

26

�������������� �������������������������

E&W generally Inner London Outer London Fringe Area

Main Pay Scale� ����� ����� ����� �

��� ����� � �� ���

��� � ����� ��� ��

� ����� ���� ����� ����

� ���� �� � � � ����

���� ��� ���� ����

Upper Pay Scale� ����� ������ ����� ����

����� ��� ����� ���

��� ������ ���� �����

*'�5#.#4;�8#.7'5�%106#+0'&�+0�6*'�#$18'�2#;�5%#.'5�4'(.'%6�6*'����� ����2#;�5%#.'5����2#;#9#4&�+5�2'0&+0)�

������������������$���������������

�'(14'�#9#4&+0)�#� ����14� ���2#;/'06��6*'�5%*11.�/756�$'�5#6+5(+'&�6*#6�6*'�6'#%*'4<5�&76+'5+0%.7&'�#�5+)0+(+%#06�4'52105+$+.+6;�6*#6�+5�016�4'37+4'&�1(�#..�%.#55411/�6'#%*'45�#0&�6*#6�

�#� +5�(1%75'&�10�6'#%*+0)�#0&�.'#40+0)�

�$� 4'37+4'5�6*'�':'4%+5'�1(�#�6'#%*'4<5�241('55+10#.�5-+..5�#0&�,7&)'/'06�

�%� 4'37+4'5�6*'�6'#%*'4�61�.'#&��/#0#)'�#0&�&'8'.12�#�57$,'%6�14�%744+%7.7/�#4'#��14�61�.'#&#0&�/#0#)'�272+.�&'8'.12/'06�#%4155�6*'�%744+%7.7/�

�&� *#5�#0�+/2#%6�10�6*'�'&7%#6+10#.�241)4'55�1(�272+.5�16*'4�6*#0�6*'�6'#%*'4<5�#55+)0'&%.#55'5�14�)41725�1(�272+.5��#0&

�'� +081.8'5�.'#&+0)��&'8'.12+0)�#0&�'0*#0%+0)�6*'�6'#%*+0)�24#%6+%'�1(�16*'4�56#((�

�0� #&&+6+10�� $'(14'� #9#4&+0)� #� ����� 6*'� 5%*11.� /756� $'� 5#6+5(+'&� 6*#6� 6*'� 5+)0+(+%#064'52105+$+.+6;�4'('44'&�61�#$18'�+0%.7&'5�.+0'�/#0#)'/'06�4'52105+$+.+6;�(14�#�5+)0+(+%#06�07/$'41(�2'12.'��

***�$�')*(�%&��)"��$�)'(&!�#��(!%$ ***�(��� �&'�%&��)"

27

28

NOTES

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

29

NOTES

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

30

NOTES

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

31

NOTES

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

..............................................................................................................................................................................................

Designed and published by The Strategy and Communications Department of The National Union of Teachers – www.teachers.org.ukOrigination by Paragraphics – www.paragraphics.co.uk Printed by College Hill Press – www.collegehillpress.co.uk – 9117/11/13

www.teachers.org.uk

twitter.com/NUTonline

follow us onfacebook.com/nut.campaigns