IAPS heads appraisal guidance Appraisal Guidance.pdf · IAPS heads appraisal guidance August 2016 IAPS Education Committee . IAPS HEADS APPRAISAL GUIDANCE IAPS has been approached

IAPS heads appraisal guidance August 2016 IAPS Education Committee

IAPS HEADS APPRAISAL GUIDANCE

IAPS has been approached by Heads and Governors for guidance on

appraisal/performance management review and whilst we have not intended to

dictate procedure, we have put together documentation based on best practice in

our schools.

WHY APPRAISAL?

Governors have a duty as employers to ensure that the Head is performing well

and a fair system of performance management promotes accountability. The Head

is responsible for performance management of staff in school and it is only right

that s/he should be subject to a process at least as rigorous as that which is

undertaken by other staff.

It is important to establish that appraisal is not the same as competency or

disciplinary procedures. Appraisal should be an even-handed and fair process

that monitors and supports the Head’s work, providing plenty of opportunity to

appreciate achievements and strengths.

Some schools link appraisal to salary and performance targets are set with

salary levels in mind. This is a matter for individual schools and their contracts.

INTRODUCTION

The appraisal process (otherwise known as Performance Management Review

or Development Review) provides a mechanism for Governors to ensure that the

Head is working effectively, receiving appropriate support and continuing to

engage in professional development.

In order that the Head’s appraisal can be a meaningful part of the whole school

appraisal scheme and support whole school improvement, the following

documentation must be in place:

Contract and job description

Appraisal policy statement

Agreed aims of the school and development plan

CPD programme (and budget)

Procedure for appeal according to complaints procedures

Appraisal is the focal point of a cyclical performance management system which

ensures the tracking of agreed performance targets. A full Head’s appraisal should

be undertaken by an objective third party and full, formal appraisal is an involved,

time-consuming process so most schools find themselves unable to make this

happen every year. In this case, a less formal, interim appraisal should be

undertaken by a Governor or two Governors together between full appraisals.

If a school has committed itself contractually to follow state school procedures

according to ‘the burgundy book’, then schools should follow the model policy:

“Teacher appraisal and capability”, published by the DfE in May 2012. See link:

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/2825

98/Teach er_appraisal_and_capability.pdf

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https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/282598/Teacher_appraisal_and_capability.pdf



These requirements do not apply to independent schools. However, IAPS expects schools

to follow an appropriately systematic and professional procedure.

In the maintained sector, “the head teacher will be appraised by the Governing Body,

supported by a suitably skilled and/or experienced external adviser who has been appointed

by the Governing Body for that purpose…the task of appraising the head teacher, including

the setting of objectives, will be delegated to a sub-group” (from the revised DfE

arrangements for teacher appraisal, introduced September, 2012).

This IAPS guidance proposes an approach which incorporates three types of appraisal:

1. New Head’s appraisal, undertaken around the end of the first year in post

(Appendix A)

2. Interim, short appraisal or review meeting undertaken by Governors

(Appendix C)

3. Full performance management review (360 degree appraisal) by an external

appraiser (Appendix B).

This is best practice and schools will need to decide how frequently it is

appropriate and realistic to achieve, e.g. a two or three year cycle.

APPOINTING AN EXTERNAL APPRAISER

IAPS can provide a list of experienced appraisers for schools.

Governors will need to agree the appraiser with the Head, preferably an objective appraiser

who fully understands the complex role and time demands of the Head, and will need to

agree fees and expenses, timing, methodology, reporting back and confidentiality issues

with the appraiser.

PREPARATION

Interim, short appraisal can be conducted by a Governor and comprises a formal review and

update relating back to the previous, full appraisal and any inspection findings and notable

developments since then. The appraiser will discuss progress against targets and evidence

of progress (see Appendix C). The Head and Governors will agree a date, process and

timescale for this kind of short appraisal well in advance. By its nature, it will be lighter of

touch and limited in scope.

The New Heads and full appraisal process requires more preparation. The Chair of

Governors (or Proprietor) will agree the appointment of an appraiser with the Head. It

should be clear from the outset how appraisal is to be structured, who will be involved, the

timescale, how confidentiality is to be safeguarded and the nature of reporting back to the

governing body (see Appendix B).

In all cases, the appraiser needs to establish a respectful working relationship with the

appraisee so that there can be rigorous evaluation of performance, recognising strengths as

well as areas for development. Preliminary research will include the school website,

previous inspection reports and the school’s self evaluation paperwork.

The following aspects of the Head’s work should be explored:

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• Leadership and relationships, administration and management

• Strategic development of the school; how the Head supports the school’s aims.

Vision. Discipline. Quality-assuring the full educational package including extra-

curricular aspects of school.

• Planning and policies, including accountability and financial awareness

• Deployment of staff and management of resources. Maintaining and developing

academic standards.

• Marketing, communication and consultation

• Professional and personal development

Targets will come out of the analysis of these areas and it might be that appraisal focuses on

3 areas of current interest generated by the development plan, recent developments in the

school and/or an inspection report.

THE FINAL REPORT

Feedback will be constructive, incorporating areas of success together with frank advice and

encouragement in a balanced and supportive manner. The appraiser will discuss his/her

draft findings in full and any notes will be destroyed upon the publication of the final report,

once agreed with the Head.

The report will provide an assessment of the Head’s performance and training and

development needs. Performance must be assessed against relevant standards (see

Appendix D ii Teaching Standards). It is important to record and celebrate the achievements

and strengths of the Head which might be overlooked otherwise.

Objectives will support the school development plan and will be Specific, Measurable,

Achievable, Realistic and Time-bound. Where agreement is not possible, the appraiser will

determine the objectives.

The Head will be provided time to discuss the outcomes of appraisal. This will include

between 3 and 5 targets and support any strategies identified by the appraisal, any points of

accuracy and the final report in its entirety.

IAPS recommends that Governors ensure that heads habitually attend continuing

professional development (CPD) events including Annual Conference and the New Heads

and Experienced Heads courses which are designed to support the professional

development of prep school heads. We urge Governors to ensure that the CPD budget

includes provision for the Head’s training.

For other guidance and details of training courses, please refer to the IAPS website: iaps.uk

The Chair of Governors/Proprietor will see the final, full report. It is important that other

governors appreciate the confidential nature of the report and only discuss edited highlights.

In some cases, it is agreed at the outset that documentation will not be shared beyond the

Head and one or two Governors. The Chairman will usually present a summary to the

Governing Body at the end of the process.

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http://www.iaps.org.uk/

Only two copies of the final report will be retained, both of which will be signed off by the

appraiser and appraisee. One will be kept in the Head’s personnel file and the other kept by

the Head.

The appraisal document will include appreciation of the Head’s achievements and will end

with a short list of targets, agreed with the appraisee. There will be a timescale for the

achievement of actions connected to these aims and success indicators will be clarified.

These will be reviewed at the beginning of the next appraisal cycle.

UNDER-PERFORMANCE/CAPABILITY PROCEDURE

If there are serious concerns about the performance of a Head which the appraisal process

has not been able to address, then notice can be given of a formal capability meeting and

capability procedures will be invoked separately.

DISCIPLINARY PROCEDURE

If the appraisee refuses to agree the final appraisal statement and targets, the complaints

procedure will be implemented by the Head. It is to be hoped that the wording of

documentation can be agreed informally. However, Governors can choose to follow

disciplinary procedures in the very unlikely event that conflict is not resolved.

SUMMARY

• Governors/Proprietor clarify the process (and agree selection of appraiser if an

outside consultant is to be employed for this purpose).

• Set dates for appraisal meetings and timeline (should not take more than

approximately four weeks)

• Conduct meetings and collect evidence as agreed

• Full discussion of appraisal outcomes and draft document with appraisee

• Final appraisal document agreed by appraiser and Head and signed off

• Reporting back and discussion of edited highlights as previously agreed

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APPENDICES

Appendix A

Guidance for New Head’s Appraisal

Where several formats are provided select only one:

A) An overview of appraisal for New Heads

A1i) Cover letter to a questionnaire

A2i) Questionnaire for stakeholders

A2iia) Questionnaire for parents (tick box format)

A2iib) Questionnaire for parents (text format)

A2iiia) Questionnaire for children (tick box format only)

A2iva) Questionnaire for staff (tick box format)

A2ivb) Questionnaire for staff (text format)

A2va) Questionnaire for Governors (text format only)

A3) Pre-appraisal form for new Heads

A4) Guidance notes for appraisers

A5) Guidance for the final report for new Heads

Appendix B

Guidance for full appraisal of the Head

Where several formats are provided select only one:

B) An overview of the full appraisal

B1) Cover letter to a questionnaire

B2ia) Questionnaire for parents (tick box format)

B2ib) Questionnaire for parents (text format)

B2iia) Questionnaire for staff (tick box format)

B2iib) Questionnaire for staff (text format)

B2iii) Questionnaire for Governors

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B3) Pre-appraisal form for full appraisal

B4) Guidance notes for appraisers

B5) Guidance for the final report, full appraisal

Appendix C

Guidance for an interim, short appraisal of the Head, conducted by a Governor.

C1) Pre-appraisal form for an interim appraisal

C2) Discussion guidance notes for appraisers/governors undertaking an interim or short

appraisal

C3) Template for interim appraisal report

Appendix D

Other useful background documents

D1) An outline of key qualities, competencies and skills for headship

D2i) Teachers’ Standards

D2ii) Information about Teachers’ Standards

D3) National Standards of Excellence for Headteachers

D4) Heads Appraisal (Government Document) Effectively Managing Headteacher

Performance

Updated July 2016

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Appendix A

APPRAISAL OF THE HEAD WHO IS NEW TO POST

This document is to be used alongside the main guidance document

New heads might feel particularly vulnerable when their appraisal falls at the end of the first

year of service. Governors and the appraiser will need to be especially sensitive to this.

THE FIRST APPRAISAL

The Proprietor/Governors should bear in mind that, for a New Head, the first appraisal is a

nerve-wracking time, particularly since the school will have been through recent changes

and a sense of upheaval relating to the establishment of a New Head. It is most unlikely that

all stakeholders will have adapted to this change and the Head might need plenty of

reassurance through the process.


IAPS can provide a list of experienced appraisers for schools. Contact 01926 461513

Governors will need to agree the appraiser with the Head and will need to negotiate with the

appraiser fees and expenses, a timescale, methodology, reporting back and confidentiality

issues.

Usually, the appraiser will spend at least two days at school, with additional contact,

correspondence and note-making between times.

The appraiser needs to establish a good working relationship with the Head.

FOCUS AREAS

Since a Head’s work is so wide-ranging it is not possible to cover all aspects, the self-

appraisal form and communication with governors will form the basis for establishing focus

areas for the appraisal.

Governors should give the Head an opportunity to comment on governance and

relationships, particularly between senior leadership staff: the Head, the Bursar and the

Proprietor/Chair of Governors.

CORRESPONDENCE INVOLVING SCHOOL OFFICE STAFF

Questionnaires will need to be prepared, with cover letters/emails. School office staff will be

asked to support the posting of these (with pre-paid return envelopes direct to the appraiser)

to staff, parents and governors as necessary.

QUESTIONNAIRES

A range of representatives from each group of stakeholders can be selected (e.g. by the

SMT) or chosen at random.

See Appendices (A2)

INTERVIEWS

The Head, Chair of Governors and pupils are interviewed in person and some staff and

parents (e.g. SMT, Chair of the Parents’ Association) might be interviewed, perhaps in

following-up questionnaires, perhaps by telephone.

OBSERVATIONS

The appraiser will wish to see the Head in context and therefore might observe some

teaching, a meeting, a prospective parents meeting or other activity, to suit the focus of

appraisal.

Notes from these observations will be used as evidence in the appraisal report.

EVIDENCE

Alongside collated questionnaire responses and notes from the above, the appraiser might

refer to a range of evidence including inspection reports, previous appraisals, school

publications and website, the school development plan, etc.

UPDATES

A new Head might need plenty of updates so that s/he is aware of the progress of the

appraisal and the kinds of issues that arise.

As a starting point for discussion, the following list of ‘handover’ issues, based on a

document by the GSA, might be of interest and governors will want to know that the new

Head has an awareness of all listed items and has them in hand:

HANDOVER NOTES

GENERAL STRATEGIC ISSUES

• The school calendar

• The current timetable/curricular arrangements (for all sections of the school)

• Academic strength and feed into senior school/s. Scholarship record

• Prospectuses

• Communications/newsletters to parents

• School strategic plan, related School development plan (where appropriate) and

progress reports

• Heads reports to Governors

• Tracking and exam results

• Staff deployment analysis

• The whole school ICT Action Plan

• Any INSET programme for the year

• Parent Curriculum Handbook

• School policies

• Financial information relating to the school

• Staff Handbook/s and policies regarding in school and out of school activities

• Health and Safety

• Marketing development plan

• Child protection

• Regulatory requirements

EDUCATIONAL MATTERS

• Pre-Prep/Junior/Senior liaison

• Allocation of resources

• Performance indicators

• Curriculum analysis and balance

• Departmental matters – key issues

• Assessment/Recording and reporting arrangements

• Homework

• Extra-curricular programme

• Community links

• Education for Social Responsibility

STAFF MATTERS

• The management team including composition/roles (SLT, SMT)

• Bursar and reporting lines

• Clerk to Governors

• Teaching loads/contact ratio

• Management Allowance distribution

• INSET

• Appraisal

• Meetings/communications channels

• Health and Safety for staff

• Appointment procedures including safer recruitment

• Pay Scales

• Departmental budgets

• Disciplinary & Grievance Procedures

ADMINISTRATION AND FINANCE

• Division of work in office

• Computer/manual records/files

• Security

• Cleaning

• Catering

• Estates management, maintenance

• Entry procedures (including SEN screening arrangements)

• References (staff and pupils)

• Scholarship procedures

• School accounts/budgets

• Allowances

• Fees, Bursaries, Assisted Places, Scholarships, Special Events Funding

• Emergencies/building maintenance

• Reprographics

• Use of budget and any Head’s discretionary allowance

• Crisis Management

PUPIL/PASTORAL MATTERS

• Daily routine

• Form organisation

• Assembly

• Uniforms

• Pupil Monitoring arrangements (academic, pastoral, medical)

• Reports

• Sickness procedures

• Expeditions/trips

• Support systems - external and internal

• Assemblies, spiritual life of the school, SMSC

• Processing examination results

• Sanctions and Rewards

• House system

• Prefects/ School Council/Pupil Voice

RELATIONSHIPS

• Parents' evenings

• Friends

• Alumni

• Feeder schools’ liaison and liaison with schools which pupils go on to

• Mentor and peer support, coaching

• Games/Sports Clubs

• Complaints

• IAPS links and District information

• Local schools groups

MISCELLANEOUS

• Magazine and Newsletter, other publications

• Speech Day, other events

Appraisers of heads who are new to post will want to explore how effectively the Head has

established key relationships with governors, the Bursar, the staff room, the parent body and

pupils. The Head might wish to use appraisal as a way to highlight some of these and clarify

expectations.

Appendix A1i

COVER LETTER/EMAIL TO QUESTIONNAIRE

Versions for Governors, parents and members of staff (teaching and support staff)

Dear

Head’s Appraisal

The Governors of xxxxx School have enlisted the services of ………………………….

An educational consultant/recently retired Head, to assist us with the important task of

carrying out …………………’s appraisal.

It is important that we form a full picture of the Head’s performance and we very much value

your input into the process.

We would be very grateful if you felt able to participate by completing the enclosed

questionnaire and returning it to ………………………………… by ………….. in the envelope

provided. The contents of the questionnaire will be entirely confidential to (name of

appraiser)…………………………………. and yourself and no observations or comments will

be directly attributable.

The information gathered will prove most helpful and we hope that you will feel able to

contribute to this important process.

Thank you in advance for your help.

Appendix A2i

QUESTIONNAIRES FOR STAKEHOLDERS, NEW HEADS

CONFIDENTIAL

Appraisal of: Date:

Please respond to each question and feel free to add further comments at the end. Your

comments might be quoted but will not be attributable.

What were your first impressions of the new Head?

Have these impressions changed across the first year of the headship? (If so, in what ways?)

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How available is the Head and how responsive?

How well do you feel that the Head knows the children and you?

Comment on the Head’s communication skills.

Comment on the Head’s effectiveness with examples where possible.

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Appendix A2iia QUESTIONNAIRE FOR PARENTS Your child’s year group: Date:

please tick disagree strongly disagree

strongly agree

agree

My child enjoys school

The school keeps my child safe

My child is making progress at school

The school keeps me informed of my child’s progress

The school expects my child to work hard and do his/her best

The school makes sure that my child is prepared for the future (eg changing school/year group)

There is a good range of activities and trips for my child to take part in

The school treats my child fairly and with respect

The school meets the educational needs of my child

The school provides additional support where applicable

The Head is accessible if I/we need to see him/her

The Head deals effectively with any unacceptable behaviour

The Head takes account of my suggestions or concerns

The Head leads the school effectively

The Head manages the school effectively

Overall I am happy with my child’s experience at this school

If you wish to explain any responses or if there is anything else you feel relevant please mention that below:

Appendix A2iib

QUESTIONNAIRE FOR PARENTS

These headings are for you to consider. You need not respond to all of them if you do not wish to do so. Please add any other reflections at the end.

Please complete this questionnaire without consulting with, or reporting to, others, so that the reactions are entirely individual.

1. The first contacts Please comment on your first contacts with the Head on your visits to the school before your son/daughter became a pupil.

2. The Head’s contacts with Parents Please comment on availability knowledge of parents presence and presentations on public occasions.

3. The pupils How well does the Head know his/her pupils? How does he/she show concern for their welfare? How does he/she support them in their activities?

4. Discipline Please comment on his/her standards of discipline as you see them and on the pupils’ view of this aspect. How well are crises dealt with? How well does the Head communicate to parents about them?

5. Academic Standards Please comment on the Head’s part in maintaining academic standards, creating an effective learning environment and initiating and carrying through necessary academic change.

6. The Head’s relations with his /her Staff Please comment as far as you are able on his/her relations with and support of Staff, on the quality of appointments, and his/her management of staff performance.

7. The Head’s vision and future planning Please comment on how well s/he communicates to parents any plans or visions for the future of the school and how decisive he/she is in carrying through plans.

8. The Head’s administration Please comment on the efficiency of his/her administration and his/her reaction to any enquiries or problems.

9. General What is the opinion of the Head amongst the wider community outside school? To what extent is the school’s current standing related to the Head’s work?

10. Any other comments on his/her strengths or weaknesses

Name………………………………………………...(optional)

Signed………………………………………………..

Date…………………………………………………..

Appendix A2iiia Children’s questionnaire

Which year group are you in? Please tick the boxes Thank you.

I don’t know

Yes, I strongly

agree

Yes, I agree

I disagree

No, I strongly disagree

I enjoy school

My school keeps me safe

My school deals well with bullying

Children behave well in school

Children from all backgrounds get on well

I am proud of my school

I like school visits and trips

Our Head treats us fairly

I often see our Head around school

I can see our Head if I want to speak to him/her

The Head knows who I am

The work I do in school is interesting

I know where to go or who to ask for help in school

I get good information about my progress in school

I get help if I don’t understand something

My school has a good reputation

What do you like most about your school? (You can write more than one thing). If you left the school tomorrow what is one memory that you would take with you?

Appendix A2iva

Staff Questionnaire Please indicate your role(s):

Teacher / Support staff (teaching) / Support staff (other) / Middle leadership role / Senior Leadership role. Thank you

Agree strongly

Agree Disagree Disagree strongly

I don’t know/na

I am proud to be a member of staff at this school

I am clear of my role in the school

The head has a clear vision for the school

I am well informed about the plans for the school

I am well informed of current school matters

The school makes provision for my professional development

The head shows an interest in me as a person

The head shows an interest in my role in the school

The head contributes positively to staff morale

The head recognises my achievements

The head is supportive if I have difficulties with parents

The head is supportive if I have difficulties with pupils

The head is supportive if I have difficulties with colleagues

The head chairs meetings effectively

The head is accessible for consultation/discussion

The head communicates well

The head ensures that school policies are applied consistently

The head leads and manages the school well

If you wish to explain any responses further or add any additional comments please do so here:

Appendix A2ivb (Text format) QUESTIONNAIRE FOR STAFF

These headings are for you to consider. You need not respond to all of them if you do not wish to do so. Please add any other reflections at the end. This form is confidential to the writer and the appraiser.

Please complete this questionnaire without consulting with or reporting to other colleagues so that reactions are entirely individual.

1. Your personal relations with the Head (His/her support, availability, encouragement and appreciation.)

2. The Head’s attitude towards your area(s) of work in the school (His/her willingness to confer and consult and his/her ability to appreciate problems and demands related to your work.)

3. The Head’s deployment and development of staff (His/her ability to ensure commitment, to manage staff performance, to promote professional development, to deal with staff difficulties, to support and motivate staff.)

4. The Head’s administrative and organisational ability (His/her ability to organise and administer, to communicate orally and in writing with pupils, parents and others, to consult and negotiate, to chair meetings.)

5. The Head’s management skills (His/her ability to make decisions, his/her judgement, planning, ability to manage change, ability to delegate and use of time.)

6. The Head’s leadership skills (His/her ability to motivate and inspire staff and students, his/her ability to create and lead a team, academic leadership, setting of high standards, leadership of the spiritual and moral life of the school, support of the arts, sport, music and other extra-curricular aspects.)

7. The Head’s future planning (How well s/he consults over future plans for the school, how well s/he communicates his plans and visions for the future of the school, and how decisive s/he is in carrying through plans.)

8. The Pupils (How well does s/he know the pupils? Does s/he create an effective learning environment for them? How does s/he show concern for their welfare? How does s/he support them in their activities? Is s/he a fair and strong disciplinarian?)

9. General

(What is the opinion of the Head amongst the community outside the school? To what extent is the school’s current standing related to the Head’s work?)

10. Any other comments Name: ……………………………………

Signed: ………………………....................

Date: ………………………...................

Appendix A2va

QUESTIONNAIRE FOR GOVERNORS


Please complete this questionnaire without consulting other people so that the reactions are entirely individual.

1. The Head’s general performance What are your personal perceptions of his/her overall performance?

2. The Head’s relations with the Governing Body How well do you feel that s/he works with the Chairman and with other governors? How well does he communicate with and advise the governing body?

3. The Head’s management in relation to the governing body Does s/he present issues clearly at Governors’ meetings? Has s/he provided effective oversight of the Bursar with respect to the financial management of the school? Has s/he put in place a clear development plan?

4. The Head’s administrative and communication skills How strong is his/her ability to organise and administer, and communicate to staff, parents and pupils? Does s/he work well with the senior academic and support staff?

5. The Head’s management skills How strong do you feel is his/her ability in decision-making, his judgement, planning, ability to manage change, ability to delegate and balance of use of time?

6. The Head’s leadership skills How strong do you feel is his/her ability to motivate and inspire staff and students, ability to create and lead a team, academic leadership, setting of high standards, leadership of the spiritual and moral life of the school and attention to the full range of school activities, including music, sport, the arts and other extra-curricular aspects?

7. The Head’s future planning Please comment on how effectively s/he consults over future plans for the school, how well these plans and visions for the future of the school are communicated, and how decisive s/he is in carrying through plans.

8. The Pupils

How well do you feel that s/he knows the pupils? Does s/he create an effective learning environment for them? How does s/he show concern for their welfare? How does s/he support them in their activities? Is s/he a good disciplinarian?

9. General What is the opinion of the Head amongst the wider community outside the school? To what extent is the school’s current standing related to the Head’s work?

10. Additional comments Please add any other comments on his/her strengths and weaknesses.

Name: ……………………………………......

Signed: ………………………...................

Date: ………………………………….......

Appendix A3

PRE-APPRAISAL FORM, NEW HEAD

With grateful thanks to the Society of Heads

The purpose of this part of your appraisal is to encourage you to review all aspects of your work, analysing your performance and your relationships with the people with whom you work.

Please feel free to write as fully as you like.

Preamble

Has headship been as you expected? Were there any surprises (positive or negative) for you?

Your main tasks as Head

Make a list of the main tasks you do in descending order of priority. You may like to use the categories: a) very important - must be done by the Head; b) important - should probably be done by the Head but could be delegated or shared if necessary; c) not as important as previous tasks - could probably be delegated; d) not important - but you value and like doing them.

Time management How do you rate your management of time? (Are you getting a good “return” upon your investment of time? Are you able to create the time to do all the things you want to – including getting around the School? Do you manage to strike a healthy balance between school and home?) Are there any specific measures you could take to improve your management of time?

In a typical week, try and estimate the percentage of your working time that is spent on:

a) pupils b) staff c) prospective parents d) current parents e) attending meetings f) PR/marketing/promoting school g) admin h) correspondence i) strategic planning j) getting around the school k) finance/bursarial issues

How would you like to adjust the way you allocate your time? Is there any specific way in which anyone else could assist you with your time management?

Which elements of your work give you greatest pleasure/most satisfaction?

Which elements of your work do you find give you least pleasure/satisfaction?

What do you think you do best? Is there any specific training (or support) you would like to have to improve your performance in less good areas?

Your main achievements

What have been your main achievements

a) over the first term

b) over the first year Have you experienced any particular failures, barriers or obstacles? If so, what have you learned from them?

Your key relationships with staff and governors, pupils and parents. How would you assess your professional relationships with

a) governors

b) senior colleagues including the Bursar

c) other staff

d) pupils

e) parents

f) feeder schools/pre-prep

g) alumni

h) other bodies (eg meetings of local Heads, the local community)

Are there any specific key relationships you have as Head that are not going quite as well as you would like? How might you improve these?

How do you give recognition and encouragement to your teaching and support staff? What do you believe works best?

General

How do you assess your contribution to marketing and PR? Provide examples.

How do you assess your contribution to pastoral care and discipline? Provide examples.

How do you assess your contribution to academic affairs? Provide examples.

How do you assess your overall support for extra-curricular activities? Provide examples (sports, performing arts, creative arts, clubs).

Your future aims (you should refer to the school’s strategic plan in this section)

What in particular are you hoping to achieve

a) over the next year?

b) over the next 2-5 years? Are you enjoying your job as much as you expected to? If not, how could your enjoyment of your work be enhanced?

Rest, relaxation and family life during term time

a) How do you manage to create quality time with the family? b) How do you manage to stay relaxed, refreshed and healthy?

How much time during the school holidays do you spend working typically – in school and at home? Please comment on the ideal that you are working to.

Additional issues Please mention professional development and training needs.

Any other matters that you wish to discuss in your appraisal interview?

Appendix A4

GUIDANCE NOTES FOR APPRAISERS, NEW HEAD

This guidance is to be taken alongside Appendix C : Appraisal of a New Head

THE ROLE OF APPRAISER

The Appraiser will need to establish a good working relationship with the Head so that both

can speak openly and candidly. The process requires courage and openness which can

only come through trust and confidentiality. This must be established at the outset.

MEETINGS

The Appraiser will have conversations with the Head based around the pre-appraisal prompt

sheet and that discussion will provide the basis for target-setting and prioritisation of issues.

Discussions in themselves are extremely valuable because some Heads have few

opportunities to speak openly and with candour about their work and a new head might feel

especially vulnerable. The appraiser will be sensitive to this and will want to ensure that the

process is properly understood, that the appraisee is kept up to date and that meetings take

place in a suitably relaxed environment, with plenty of time to explore issues, whether or not

those issues are ultimately written up in the appraisal document.

THE FINAL REPORT (See Appendix C vi)



draft findings in full with the Head so that there are no surprises in the final document.

The report will provide an assessment of the Head’s performance and training and














Governing Body at the end of the process. The appraiser does well to ensure that the

Governors are fully aware of the sensitivities of this situation.



the Head.

Targets will be reviewed at the beginning of the next appraisal cycle.

COLLECTING EVIDENCE

Interviews with staff, pupils and Governors must be dealt with diplomatically. Staff might be

especially sensitive to confidentiality in completing questionnaires and opening up in

interviews. It should be borne in mind that new Heads, especially, are subject to public and

staffroom judgements that can change and develop over time as the Head settles in to post.

Appraisers will take care not to ask leading questions and not to fuel extreme views when

interviewing stakeholders, and will use neutral language. It is for the appraiser to take an

objective view and to pick out from the body of evidence those themes, trends and issues

which are genuine and current.

The appraiser should provide updates and an outline of findings to the appraisee in such a

way as to keep the Head informed of likely outcomes so that there are no big surprises at

the final discussion meeting and certainly no surprises for the appraisee in the draft

document.



has not been able to address, then Governors will be informed so that these matters can be

dealt with separately.

The Head will have a right of appeal to the governing body and therefore a number of

Governors should remain completely outside the appraisal process so that they can provide

an objective view in case of disagreement.

PROCESS, SUMMARY

• Governors/Proprietor clarify the appraisal process (and agree selection of appraiser).


approximately four weeks): the appraiser and appraisee to agree these.

• Conduct meetings and collect evidence as agreed.

• Full discussion of appraisal outcomes and draft document with the appraisee, in

confidence.

• Final appraisal document agreed by appraiser and Head and signed off. Other

contributing paperwork is destroyed and only the final documents are to be kept: one

copy for the appraise and one for the Governors. Whether the full report is shared

with the whole governing body should be discussed with the appraise and the

Governors’ copy should be kept in a place which maintains confidentiality (i.e. not in

a main school personnel file).

• Reporting back to governing body/proprietor and discussion of edited highlights as

agreed.

Appendix A5

APPRAISAL, FINAL DOCUMENTATION, NEW HEAD

THE FINAL REPORT

The appraiser will discuss his/her draft findings in full and any notes will be destroyed upon

the publication of the final report, once agreed with the Head.

The report might be organised according to sub-headings in the school’s development plan

or reflecting the NPQH framework of standards or based on the Teachers’ Standards.

The Head will be afforded time to discuss the outcomes, targets and support strategies

identified by the appraisal, any points of accuracy and the final report in its entirety.


governors appreciate the confidential nature of the report and discuss edited highlights.



the Head.


with a short list of four or five appraisal targets, agreed by the appraisee. There will be a

timescale for the achievement of actions connected to these aims and success indicators will

be clarified. These will be reviewed at the beginning of the next appraisal cycle.

Appendix B

360 degree performance review (full appraisal) THE

FULL APPRAISAL

The Proprietor/Governors should bear in mind that the Head might need plenty of

reassurance through the process.


IAPS can provide a list of experienced appraisers for schools. Contact 01926 461513

It is worth considering the possibility of using the IAPS-assigned Mentor as appraiser.

Governors will need to agree the appraiser with the Head and will need to negotiate with the

appraiser fees and expenses, a timescale, methodology, reporting back programme and

confidentiality issues.

Usually, the appraiser will spend at least two days at school, with additional contact,

correspondence and note-making between times.

The appraiser needs to establish an effective working relationship with the Head to ensure

that the right balance is struck between accountability and support, as appropriate.

FOCUS AREAS

Since a Head’s work is so wide-ranging, appraisal cannot cover all aspects. The self-

appraisal form and communication with governors will form the basis for establishing focus

areas for the appraisal.

Governors should give the Head an opportunity to comment on governance and

relationships at the top, particularly between senior leadership staff: the Head, the Bursar

and the Proprietor/Chair of Governors.

CORRESPONDENCE INVOLVING SCHOOL OFFICE STAFF

Questionnaires will need to be prepared, with cover letters and school office staff will be

mustered to support the posting of these (with pre-paid return envelopes direct to the

appraiser) to staff, parents and governors as necessary.

QUESTIONNAIRES

A range of representatives from each group of stakeholders can be selected (e.g. by the

SMT) or chosen at random.

See Appendices Bii

INTERVIEWS

The Head, Chair of Governors and pupils are interviewed in person and some staff and

parents (e.g. SMT, Chair of the parents’ association) might be interviewed, perhaps in

following-up questionnaires, perhaps by telephone.

OBSERVATIONS

The appraiser will wish to see the Head in context and therefore might observe some

teaching, a meeting, a prospective parents interview or other activity, to suit the focus of

appraisal.

These observations will contribute evidence in the appraisal report.

EVIDENCE

Alongside collated questionnaire responses and notes from the above, the appraiser might

refer to a range of evidence including inspection reports, previous appraisals, school

publications and website, the strategic plan, etc.

Appendix B1

COVER LETTER TO QUESTIONNAIRE

Versions for Governors, parents and members of staff (teaching and support staff)

Dear

Head’s Appraisal

I write to let you know that we have enlisted the services of ………………………….

a recently retired Head, to assist us with the important task of carrying out …………………’s

appraisal.

It is important that we form a full picture of the Head’s performance and we very much value

your input into the process.

We would be very grateful if you felt able to participate by completing the enclosed

questionnaire and returning it to ………………………………… by ………….. in the envelope

provided. The contents of the questionnaire will be entirely confidential to (name of

appraiser)…………………………………. and yourself and no observations or comments will

be directly attributable.

The information gathered will prove most helpful and we hope that you will feel able to

contribute to this important process.

Thank you in advance for your help.

Appendix B2ia QUESTIONNAIRE FOR PARENTS Your child’s year group: Date:

disagree strongly disagree

strongly agree

agree

My child enjoys school

The school keeps my child safe

My child is making progress at school

The school keeps me informed of my child’s progress

The school expects my child to work hard and do his/her best

The school makes sure that my child is prepared for the future (eg changing school/year group)

There is a good range of activities and trips for my child to take part in

The school treats my child fairly and with respect

The school meets the educational needs of my child

The school provides additional support where applicable

The head is accessible if I/we need to see him/her

The head deals effectively with any unacceptable behaviour

The head takes account of my suggestions or concerns

The head leads the school effectively

The head manages the school effectively

Overall I am happy with my child’s experience at this school

If you wish to explain any responses or if there is anything else you feel relevant please mention that below:

Name (optional):

Appendix B2ib

QUESTIONNAIRE FOR PARENTS

These headings are for you to consider. You need not respond to all of them if you do not wish to. Please add any other reflections at the end.

Please complete this questionnaire without consulting or reporting to others so that the reactions are entirely individual.

1. The first contacts

Please comment on your first contacts with the Head on your visits to the school before your son/daughter became a pupil.

2. The Head’s contact with Parents Please comment on availability, knowledge of parents and presentations on public occasions.

3. The pupils How well does the Head know his/her pupils? How does he/she show concern for their welfare? How does he/she support them in their activities?

4. Discipline

Please comment on his/her standards of discipline as you see them and on the pupils’ view of this aspect. How well are crises dealt with? How well does the Head communicate to parents about them?

5. Academic Standards Please comment on the Head’s part in maintaining academic standards, creating an effective learning environment and initiating and carrying through necessary academic change.

6. The Head’s relations with his /her Staff Please comment as far as you are able on his/her relations with and support of Staff, on the quality of appointments, and his management of staff performance.

7. The Head’s vision and future planning Please comment on how well he/she communicates to parents any plans or visions for the future of the school and how decisive he/she is in carrying through plans.

8. The Head’s administration Please comment on the efficiency of his/her administration and his/her reaction to any enquiries or problems.

9. General What is the opinion of the Head amongst the wider community outside school? To what extent is the school’s current standing related to the Head’s work?

10. Any other comments on his/her strengths or weaknesses

Name………………………………………………....

Signed………………………………………………..

Date…………………………………………………..

Appendix B2biia

Staff Questionnaire Please indicate your role(s):

Teacher / Support staff (teaching) / Support staff (other) / Middle leadership role / Senior Leadership role. Thank you

Agree strongly

Agree Disagree Disagree strongly

I don’t know/na

I am proud to be a member of staff at this school

I am clear of my role in the school

The head has a clear vision for the school

I am well informed about the plans for the school

I am well informed of current school matters

The school makes provision for my professional development

The head shows an interest in me as a person

The head shows an interest in my role in the school

The head contributes positively to staff morale

The head recognises my achievements

The head is supportive if I have difficulties with parents

The head is supportive if I have difficulties with pupils

The head is supportive if I have difficulties with colleagues

The head chairs meetings effectively

The head is accessible for consultation/discussion

The head communicates well

The head ensures that school policies are applied consistently

The head leads and manages the school well

If you wish to explain any responses further or add any additional comments please do so here:

Appendix B2iib (Text format) QUESTIONNAIRE FOR STAFF

These headings are for you to consider. You need not respond to all of them if you do not wish to do so. Please add any other reflections at the end. This form is confidential to the writer and the appraiser.

Please complete this questionnaire without consulting with or reporting to other colleagues so that reactions are entirely individual.

1. Your personal relations with the Head (His/her support, availability, encouragement and appreciation.)

2. The Head’s attitude towards your area(s) of work in the school (His/her willingness to confer and consult and his/her ability to appreciate problems and demands related to your work.)

3. The Head’s deployment and development of staff (His/her ability to ensure commitment, to manage staff performance, to promote professional development, to deal with staff difficulties, to support and motivate staff.)

4. The Head’s administrative and organisational ability (His/her ability to organise and administer, to communicate orally and in writing with pupils, parents and others, to consult and negotiate, to chair meetings.)

5. The Head’s management skills (His/her ability to make decisions, his/her judgement, planning, ability to manage change, ability to delegate and use of time.)

6. The Head’s leadership skills (His/her ability to motivate and inspire staff and students, his/her ability to create and lead a team, academic leadership, setting of high standards, leadership of the spiritual and moral life of the school, support of the arts, sport, music and other extra-curricular aspects.)

7. The Head’s future planning (How well s/he consults over future plans for the school, how well s/he communicates his plans and visions for the future of the school, and how decisive s/he is in carrying through plans.)

8. The Pupils (How well does s/he know the pupils? Does s/he create an effective learning environment for them? How does s/he show concern for their welfare? How does s/he support them in their activities? Is s/he a fair and strong disciplinarian?)

9. General

(What is the opinion of the Head amongst the community outside the school? To what extent is the school’s current standing related to the Head’s work?)

10. Any other comments Name: ……………………………………

Signed: ………………………....................

Date: ………………………...................

Appendix B2iii

QUESTIONNAIRE FOR GOVERNORS


Please complete this questionnaire without consulting other people so that the reactions are entirely individual.

1. The Head’s general performance What are your personal perceptions of his/her overall performance?

2. The Head’s relations with the Governing Body

How well do you feel that s/he works with the Chairman and with other Governors? How well does he communicate with and advise the Governing Body?

3. The Head’s management in relation to the governing body

Does s/he present issues clearly at Governors’ meetings? Has s/he provided effective oversight of the Bursar with respect to the financial management of the school? Has the strategic plan advanced under his/her leadership?

4. The Head’s administrative and communication skills How strong is his/her ability to organise and administer, and communicate to staff, parents and pupils? Does s/he work well with the senior academic and support staff?

5. The Head’s management skills How strong do you feel is his/her ability in decision-making, his/her judgement, planning, ability to manage change, ability to delegate and balance of use of time?

6. The Head’s leadership skills How strong do you feel is his/her ability to motivate and inspire staff and students, ability to create and lead a team, academic leadership, setting of high standards, leadership of the spiritual and moral life of the school and attention to the full range of school activities, including music, sport, the arts and other extra-curricular aspects?

7. The Head’s future planning

Please comment on how effectively s/he consults over future plans for the school, how well these plans and visions for the future of the school are communicated, and how decisive s/he is in carrying through plans.

8. The Pupils How well do you feel that s/he knows the pupils? Does s/he create an effective learning environment for them? How does s/he show concern for their welfare? How does s/he support them in their activities? Is s/he a good disciplinarian?

9. General What is the opinion of the Head amongst the wider community outside the school? To what extent is the school’s current standing related to the Head’s work?

10. Additional comments Please add any other comments on his/her strengths and weaknesses.

Name: ……………………………………......

Signed: ………………………...................

Date: ………………………………….......

Appendix B3

PRE-APPRAISAL FORM

Head's Self-Appraisal – Prompts to get you thinking

The purpose of this part of your appraisal is to encourage you to look at all aspects of your work and

analyse your performance. This is intended as a prompt: make any additions you like.

1 What do you consider to be your most important personal contribution to the School?

2 What do you consider to be your main functions as Head?

3 Would you (could you?) put them in order of priority?

4 Which are the most/least time-consuming?

5 Which areas would you like to give more time to?

6 In terms of time management, how do you set your priorities, or do the expectations of others

determine your priorities?

7 Which areas do you enjoy/dislike most?

8 Where do you look for your own guidance? Have you a mentor?

9 In your time at the School, what has given you the greatest pleasure, and what has been the

greatest frustration?

10 What would you still like to achieve? What are your long-term plans for yourself, and for the

School? What do you see as the likely obstacles to overcome?

11 Do you enjoy managing/leading a team?

12 What are your strongest skills/gifts/traits?

13 What part of your job causes you most pain or upset and how do you handle that?

14 If I were to ask your colleagues what they see as your strengths, how do you think they would

reply? - and if we ask them what they consider to be your weaknesses?

15 And if I were to ask people close to you what they see as your strengths, how do you think they

would reply? - and if we ask them what they consider to be your weaknesses?

16 Can you review your activity in the world of education and IAPS, away from the School? How does

this fit into your overall plan?

17 What is your next major objective?

18 What could the Governors do to help you to do your job more effectively?

19 What are your training needs?

Headteacher’s Professional Development Review/Appraisal

Complete Section A and return to Appraiser electronically by ...........................

Appraiser received (date)……………………………………

(Appraiser completes Section B)

Section A – Personal Details to be completed prior to the appraisal interview

1: Full Name:

2: Job Title and

date of

appointment

3: Continuing professional development and training

List training or activities directly relevant to your position undertaken or ongoing in the last 12 months.


Briefly describe how this training has helped you in your work in general. How do you know?

5: Review of Role and Responsibilities (see job description)

Are there any aspects of your published job description that you would like to review? Please give brief

reasons.

6: Role and Responsibilities – self-review

1. Briefly list the elements of your job that you perform well. How do you know?

2. What aspects of your job do you feel that you could do even better?

3. What factors do you feel stop you from performing at a higher level?

4. How are you currently addressing these factors?

5. How can the Governors help you to address these factors?

7: 360 degree review

Which colleagues would you like the appraiser to consult regarding your review? Say how you feel you have

made a positive difference to their work. The appraiser will contact each, using the form provided to record

outcomes.

Colleague and their position How you have made a difference to their work.

1

2

3

8: Career and other professional aspirations

Briefly state your career aims and objectives.

9: Outcomes of self-review: areas for development

Suggest up to three specific professional areas that you wish to develop. These should be directly related to

aspects of your agreed job description and also relate to the key priorities as outlined in the school’s

Development Plan. State how you might approach these.

Area for development Your approach

1

2

3

The appraiser will arrange a time to discuss Section A and review goals set in the previous year. You will

then agree goals for the year ahead. The appraiser then completes Section B.

Section B – to be completed after the appraisal interview

10: Goals in previous calendar year

(For completion by appraiser)

Goals were fully achieved / mostly achieved / partly achieved / largely not achieved (delete as appropriate).

Comment:

11: Brief summary of meeting

Appraisal interview held…………………………….. (Date)

12: Agreed developmental targets, intended outcomes, and timescale

(Goals will be shared with the relevant Governors’ Committees, where appropriate)

Target 1:

Expected outcome (benefits to the individual and to the school):

Method of fulfilment (e.g. observation, visit, training, mentoring, visit, etc.):

Agreed timescale:

Support required and approximate costs if known (time, fees, material, etc.):

Target 2:



Agreed timescale:


Target 3



Agreed timescale:


Target 4:



Agreed timescale:


13: Agreed progress review and date(s)

Review is recommended within six months, but each agreed goal may require a different timescale for

review. The dates for review(s) may reflect this and should be agreed and recorded below.

14: Additional comments

Appendix B4

DISCUSSION GUIDANCE NOTES FOR APPRAISERS

This guidance is to be taken alongside the general advice for full appraisal of the Head

(section B).


The appraiser will need to establish a good working relationship with the Head so that both

can speak openly and candidly. The process requires courage and openness which can

only come through trust and confidentiality. This must be established at the outset.

MEETINGS

The appraiser will have conversations with the Head based around the pre-appraisal prompt



opportunities to speak openly and with candour about their work. The appraiser will be

sensitive to this and will want to ensure that the process is properly understood by the Head

and Governors, that the appraisee is kept up to date and that meetings take place in a

suitably relaxed environment, with plenty of time to explore issues, whether or not those

issues are ultimately written up in the appraisal document.

THE FINAL REPORT



draft findings in full with the Head so that there are no surprises in the final document.

The report will provide an assessment of the Head’s performance as well as training and











Governors appreciate the confidential nature of the report and only discuss edited highlights.



Governing Body at the end of the process. The appraiser should aim to ensure that the

Governors are fully aware of the sensitivities of this situation.



the Head.

Targets will be reviewed at the beginning of the next appraisal cycle.

COLLECTING EVIDENCE

Interviews with staff, pupils and governors must be dealt with diplomatically. Staff might be

especially sensitive to confidentiality in completing questionnaires and opening up in

interviews.

Appraisers will take care not to ask leading questions and not to fuel extreme views when

interviewing stakeholders, and will use neutral language. It is for the appraiser to take an

objective view and to pick out from the body of evidence those themes, trends and issues

which are genuine and current.

The appraiser should provide updates and an outline of findings to the appraisee in such a

way as to keep the Head informed of likely outcomes so that there are no big surprises at

the final discussion meeting or the draft document.



has not been able to address, then Governors will be informed so that these matters can be

dealt with separately as part of capability or disciplinary procedures.


governors should remain completely outside the appraisal process so that they can provide


PROCESS, SUMMARY




• Conduct meetings and collect evidence through questionnaires as agreed.

• Full discussion of appraisal outcomes and draft document with the appraisee, in

confidence.



copy for the appraisee and one for the Governors. Whether the full report is shared

with the whole governing body should be discussed with the appraisee and the

Governors’ copy should be kept in a place which protects confidentiality.


agreed.

Appendix B5 APPRAISAL

DOCUMENT THE FINAL

REPORT

The appraiser will discuss his/her draft findings in full and any notes will be destroyed upon

the publication of the final report, once agreed with the Head.

The report might be organised according to sub-headings in the school’s development plan

or reflecting the NPQH framework of standards or based on the Teachers’ Standards.

The Head will be afforded time to discuss the outcomes, targets and support strategies

identified by the appraisal, any points of accuracy and the final report in its entirety.


governors appreciate the confidential nature of the report and discuss edited highlights.



the Head.


with a short list of four or five appraisal targets, agreed by the appraisee. There will be a

timescale for the achievement of actions connected to these aims and success indicators will

be clarified. These will be reviewed at the beginning of the next appraisal cycle.

Appendix C1

Head’s Pre Appraisal for an Interim Appraisal

Complete Section A and return to Appraising Governor electronically by ...........................

Governor received (date)……………………………………

(Governor completes Section B)

1: Full Name:

2: Job Title and outline of responsibilities (refer to job description):


List training or activities directly relevant to your position undertaken or ongoing in the last 12 months.

Title Provider Nature of course


Briefly describe how this training has helped you in your work in general. How do you know?

5: Review of Role and Responsibilities (see job description)

Are there any aspects of your published job description that you would like to review? Please give brief reasons.

Section A – Personal Details to be completed prior to the appraisal interview

6: Role and Responsibilities – self-review

1. Briefly list the elements of your job that you perform well. How do you know?

2. What aspects of your job that you feel you could do even better?

3. What factors do you feel stop you from performing at a higher level?

4. How are you currently addressing these factors?

5. How can the Governors help you to address these factors?

7: 360 degree review

Which colleagues would you like the appraiser to consult regarding your review? Give three and say briefly, after consultation with them, how you feel you have made a positive difference to their work. The appraiser will contact each, using the form provided to record outcomes.

Colleague and their position How you have made a difference to their work.

1

2

3

8: Career and other professional aspirations

Briefly state your career aims and objectives.

9: Outcomes of self-review: areas for development

Suggest up to three specific professional areas that you wish to develop. These should be directly related to aspects of your agreed job description and also relate to the key priorities as outlined in the school’s strategic plan. State how you might approach these and time scale (include success indicators)

Area for development Your approach

1

2

3

The appraiser will arrange a time to discuss Section A and review goals set in the previous year. You will then agree goals for the year ahead. The appraiser then completes Section B.

11: Brief summary of meeting

Appraisal interview held…………………………….. (Date)

Section B – to be completed after the appraisal interview

10: Goals in previous calendar year

(For completion by appraiser)

Goals were fully achieved / mostly achieved / partly achieved / largely not achieved (delete as appropriate).

Comment:

12: Agreed developmental targets, intended outcomes, and timescale

(Goals are shared with the relevant Governors’ Committees, where appropriate)

Target 1: Expected outcome (benefits to the individual and to the school):


Agreed timescale:




Agreed timescale:




Agreed timescale:


14: Additional comments

Signatures:

Date……………….………Head………………….………………

Date………………….……Appraiser………………….………………

13: Agreed progress review and date(s)

Review is recommended within six months, but each agreed goal may require a different timescale for review. The dates for review(s) may reflect this and should be agreed and recorded below.

Form to record interviews. Contents remain confidential to the appraiser. Results are fed back anonymously at the appraisal meeting without attributing to individuals.

Name of colleague interviewed

Date of interview

What does the Head do well?

What could the Head do even better?

Appendix C2

DISCUSSION GUIDANCE NOTE FOR APPRAISERS (Governors Undertaking An Interim Appraisal)

The appraisal of a Head is potentially sensitive and requires diplomacy. On the one hand, a

Governor/appraiser is holding the Head to account and on the other hand, s/he is supporting

and appreciating the work of the Head.

PREPARATION

Interim, short appraisal can be conducted by a Governor and comprises a formal review and

update relating back to the previous, full appraisal and any inspection findings and notable

developments since then. The appraiser will discuss progress against any previous targets

and will expect demonstrable evidence of progress.

By its nature, this kind of appraisal will be light of touch and limited in scope.


The Governor/appraiser will need to establish a good working relationship with the Head so

that both can speak openly and candidly. The process requires courage and openness

which can only come through trust and confidentiality. This must be established at the

outset. The importance of confidentiality for the Head cannot be over emphasised.

MEETINGS

The appraiser will have conversations with the Head based around the pre-appraisal prompt



opportunities to speak openly and with candour about their work. The appraiser will be

sensitive to this and will want to ensure that meetings take place in a suitably relaxed

environment, with plenty of time to explore issues, whether or not those issues are ultimately

written up in the appraisal document.

THE FINAL REPORT



draft findings in full with the Head.

The report will provide an assessment of the Head’s performance and will include training

and development needs. Performance must be assessed against relevant standards (see

Appendix D ii Teaching Standards and Appendix Dii Guidance on Heads Qualities). It is

important to record and celebrate the achievements and strengths of the Head which might

be overlooked otherwise.



determine objectives.

When and if colleagues are interviewed as part of the appraisal process, such interviews will

avoid leading questions and remain objective.

The Head will be provided time to discuss with the appraiser the outcomes of appraisal. This

will include between 3 and 5 targets and support any strategies identified by the appraisal,

any points of accuracy and the final report in its entirety.




Head and one or two Governors. The Chairman will usually present a brief summary to the

Governing Body at the end of the process.



the Head.

Targets will be reviewed at the beginning of the next appraisal cycle. UNDER-

PERFORMANCE/CAPABILITY PROCEDURE


has not been able to address, then notice can be given of a formal capability meeting and

capability procedures will be invoked separately.

The appraisal documentation and report should not be used as evidence in those

procedures.


governors should remain completely outside the appraisal process so that they can provide


PROCESS




• Conduct meetings and collect evidence as agreed. The appraiser should provide

updates and an outline of findings in such a way as to inform the Head of likely

outcomes so that there are no big surprises at the final discussion meeting.

• Full discussion of appraisal outcomes and draft document with appraisee, in

confidence.



copy for the appraisee and one for the Governors. Whether the full report is shared

with the whole governing body should be discussed with the appraisee and the

Governors’ copy should be kept in a place which maintains confidentiality (i.e. not in

a main school personnel file).


agreed

Appendix Ci provides a pre-appraisal form for use in this kind of performance management

review.

Appendix C3

Summative Head’s Interim Appraisal Report For Governors

Name of Head:……………………………………………… Name of Appraiser:……………………………………

Date:…………………………………………………………

Date of next appraisal: …………………………………………..

Note of process and evidence base:

Note of appraisal discussion:

Agreed targets and training:

Appendix D1

Guidance on heads’ qualities (refer to National College and NPQH documentation).

The Society of Heads uses the following grid of key competencies and skills for school leadership. Our thanks to the Society of Heads for sharing materials.

SCHOOL LEADERSHIP - Key Competencies and Skills

1. Vision & Personal Qualities

Vision - Create a shared vision of success

Ethos – Articulate a clear ethos, provide example and model its values

Openness - Create climate of openness and life-long learning; lead a school culture that secures co-operation and commitment

Emotional Intelligence - High level of interpersonal skills and emotional intelligence (EQ)

Teamwork - Develop effective distributed leadership

Integrity - Build mutual trust; inspire and reciprocate loyalty

Values - Demonstrate moral courage

Influence - Be calming, authoritative figures in crisis situations – able to maintain a balanced perspective under pressure

Drive - Confront poor performance by staff and take timely and decisive action to help them to recover their position

Humility – Value others, appreciate own fallibilities/uniqueness, respect contribution

Individuality – Effective use of the unique characteristics and attributes of the individual leader

2. Strategy, Finance, Decision Taking & Communication

Strategy - Develop clear, strategic plans to realise the vision and achieve the aims

Finance – Strategic financial skills to build a strong school ensure its continuing

success; increase pupil numbers where appropriate

People - Recruit, retain and develop an excellent team

Communication - High level of communication and presentational skills

Organisation/Group – Support and enable the group to achieve and develop its mission

Value - Ensure the school gives value for money

Budgeting - Effective budgeting including monitoring management accounts

Marketing - Recognise and anticipate shifts in the market-place, government, economics and political environment and develop positive responses to these changes

Profile & Networking - Raise the profile of the school in the community; establish valuable links and networks with external organisations

3. Developing People

Personal Development - Develop the highest standards of pastoral care, spiritual, moral, social and cultural development of all the school’s people

Leadership - Continually develop their own leadership and that of all staff and pupils; develop future leaders

Openness - Develop an ‘open’ culture among staff, parents & pupils that encourages the free exchange of ideas, skills, knowledge & expertise

Technology - Ensure the effective use of technology and other resources to develop people

Coaching & Mentoring - Have high level coaching skills; set challenging targets for people and support them to achieve them

Relationships – Model, develop and maintain excellent relationships, attitudes and behaviour among all members of the school community

4. Provision, Improvement & Innovation

Planning - Develop and implement excellent school improvement planning

Innovation – Lead change and develop a ‘change’ culture of reflection, evaluation and improvement

Culture – Develop a culture that is not risk averse, but encourages creative thinking, open-mindedness, out-performance, raising the bar

Provision - Lead the development of excellent co-curricular / enhancement provision

Inspiration - Lead a culture in which pupils are inspired and motivated to develop skills, talents and attributes beyond the classroom

Eco/Environmental – Ensure the school develops responsible ecological and environmental procedures and practices

Risk – Weigh and manage risk effectively

Decision Taking – Have good analytical skills, clarity of thought, good judgement, manage creativity and be decisive

5. Learning, Teaching and Achievement

Learning - Actively pursue excellence; devise and establish processes for ensuring

that improvements in pupil learning are constantly monitored and maintained

Targets - Set and monitor school/team goals/objectives to improve pupil learning and achievement

Inclusiveness - Ensure that the school provides effectively for all its people

Love of Learning - Show enthusiasm for learning and initiate a love of learning

Monitoring - Develop and implement effective tracking and measuring of pupil performance and progress, leading to clear and effective plans for improvement

Teaching - Analyse and articulate the teaching process and set clear expectations

Technology – Develop best use of technology and other tools to enhance learning and teaching

Achievement – Implement systems to measure the effectiveness of teaching and learning with regard to less tangible aspects such as personal development as well as academic performance.

Teachers’ Standards

Teachers make the education of their pupils their first concern, and are accountable for achieving the highest possible standards in work and conduct. Teachers act with honesty and integrity; have strong subject knowledge, keep their knowledge and skills as teachers up-to-date and are self-critical; forge positive professional relationships; and work with parents in the best interests of their pupils.

A teacher must:

establish a safe and stimulating environment for pupils, rooted in

mutual respect set goals that stretch and challenge pupils of all backgrounds, abilities

and dispositions demonstrate consistently the positive attitudes, values and behaviour

which are expected of pupils.

be accountable for pupils’ attainment, progress and outcomes be aware of pupils’ capabilities and their prior knowledge, and plan

teaching to build on these guide pupils to reflect on the progress they have made and their

emerging needs demonstrate knowledge and understanding of how pupils learn and

how this impacts on teaching encourage pupils to take a responsible and conscientious attitude to

their own work and study.

know and understand how to assess the relevant subject and curriculum areas, including statutory assessment requirements

make use of formative and summative assessment to secure pupils’ progress

use relevant data to monitor progress, set targets, and plan subsequent lessons

give pupils regular feedback, both orally and through accurate marking, and encourage pupils to respond to the feedback.

have clear rules and routines for behaviour in classrooms, and take

responsibility for promoting good and courteous behaviour both in classrooms and around the school, in accordance with the school’s behaviour policy

have high expectations of behaviour, and establish a framework for discipline with a range of strategies, using praise, sanctions and rewards consistently and fairly

manage classes effectively, using approaches which are appropriate to pupils’ needs in order to involve and motivate them

maintain good relationships with pupils, exercise appropriate authority, and act decisively when necessary.

have a secure knowledge of the relevant subject(s) and curriculum areas, foster and maintain pupils’ interest in the subject, and address misunderstandings

demonstrate a critical understanding of developments in the subject and curriculum areas, and promote the value of scholarship

demonstrate an understanding of and take responsibility for promoting high standards of literacy, articulacy and the correct use of standard English, whatever the teacher’s specialist subject

if teaching early reading, demonstrate a clear understanding of systematic synthetic phonics

if teaching early mathematics, demonstrate a clear understanding of appropriate teaching strategies.

impart knowledge and develop understanding through effective use

of lesson time promote a love of learning and children’s intellectual curiosity set homework and plan other out-of-class activities to consolidate

and extend the knowledge and understanding pupils have acquired reflect systematically on the effectiveness of lessons and approaches

to teaching contribute to the design and provision of an engaging curriculum

within the relevant subject area(s).

know when and how to differentiate appropriately, using approaches

which enable pupils to be taught effectively have a secure understanding of how a range of factors can inhibit

pupils’ ability to learn, and how best to overcome these demonstrate an awareness of the physical, social and intellectual

development of children, and know how to adapt teaching to support pupils’ education at different stages of development

have a clear understanding of the needs of all pupils, including those with special educational needs; those of high ability; those with English as an additional language; those with disabilities; and be able to use and evaluate distinctive teaching approaches to engage and support them.

make a positive contribution to the wider life and ethos of the school develop effective professional relationships with colleagues, knowing

how and when to draw on advice and specialist support deploy support staff effectively take responsibility for improving teaching through appropriate

professional development, responding to advice and feedback from colleagues

communicate effectively with parents with regard to pupils’ achievements and well-being.

A teacher is expected to demonstrate consistently high standards of personal and professional conduct. The following statements define the behaviour and attitudes which set the required standard for conduct throughout a teacher’s career.

Teachers uphold public trust in the profession and maintain high

standards of ethics and behaviour, within and outside school, by: o treating pupils with dignity, building relationships rooted in mutual

respect, and at all times observing proper boundaries appropriate to a teacher’s professional position

o having regard for the need to safeguard pupils’ well-being, in accordance with statutory provisions

o showing tolerance of and respect for the rights of others o not undermining fundamental British values, including democracy,

the rule of law, individual liberty and mutual respect, and tolerance of those with different faiths and beliefs

o ensuring that personal beliefs are not expressed in ways which exploit pupils’ vulnerability or might lead them to break the law.

Teachers must have proper and professional regard for the ethos, policies and practices of the school in which they teach, and maintain high standards in their own attendance and punctuality.

Teachers must have an understanding of, and always act within, the

statutory frameworks which set out their professional duties and responsibilities.

The Teachers’ Standards can be found on the GOV.UK website: https://www.gov.uk/government/publications/teachers-standards

8 Fulfil wider professional responsibilities 3 Demonstrate good subject and curriculum knowledge

PREAMBLE

PART ONE: TEACHING 6 Make accurate and productive use of assessment

PART TWO: PERSONAL AND PROFESSIONAL CONDUCT

1 Set high expectations which inspire, motivate and challenge pupils

7 Manage behaviour effectively to ensure a good and safe learning environment

2 Promote good progress and outcomes by pupils

4 Plan and teach well structured lessons

5 Adapt teaching to respond to the strengths and needs of all pupils

http://www.gov.uk/government/publications/teachers-standards

http://www.gov.uk/government/publications/teachers-standards

Teachers’ Standards Guidance for school leaders, school staff

and governing bodies

July 2011(introduction updated June 2013)

Contents

Summary 3

Introduction, legal standing and interpretation 5

Presentation of the standards 7

Progression and professional development 7

Date of introduction of the standards 8

Note on terminology used/glossary 9

Teachers’ Standards 10

Preamble 10

Part One: Teaching 10

Part Two: Personal and professional conduct 14

2

Summary About the standards

These are the Teachers’ Standards for use in schools in England from September 2012. The

standards define the minimum level of practice expected of trainees and teachers from the

point of being awarded qualified teacher status (QTS).

The Teachers’ Standards are used to assess all trainees working towards QTS, and all those

completing their statutory induction period. They are also used to assess the performance of all

teachers with QTS who are subject to The Education (School Teachers’ Appraisal) (England)

Regulations 2012, and may additionally be used to assess the performance of teachers who are

subject to these regulations and who hold qualified teacher learning and skills (QTLS) status.

The standards were introduced following the recommendations in the reports of the

independent Review of Teachers’ Standards, chaired by Sally Coates. These reports are available

from GOV.UK.

Expiry or review date

These standards will apply until further notice.

What legislation do the standards refer to?

Schedule 2 of The Education (School Teachers’ Qualifications) (England) Regulations 2003

The Education (School Teachers’ Appraisal) (England) Regulations 2012

Who are the standards for?

The Teachers’ Standards apply to:

trainees working towards QTS;

all teachers completing their statutory induction period (newly qualified teachers

[NQTs]); and

teachers in maintained schools, including maintained special schools, who are

covered by the 2012 appraisal regulations.

The National College for Teaching and Leadership (NCTL) will use Part Two of the Teachers’

Standards, which relates to personal and professional conduct, when assessing cases of serious

misconduct, regardless of the education sector in which the teacher works.

3

https://www.gov.uk/government/collections/teachers-standards

http://www.legislation.gov.uk/uksi/2003/1662/schedule/2/made

http://www.legislation.gov.uk/uksi/2003/1662/schedule/2/made

http://www.legislation.gov.uk/uksi/2012/115/contents/made

What documents do the standards replace?

These standards replaced the standards for qualified teacher status (QTS) and the core

professional standards, published by the former Training and Development Agency for Schools

(TDA); and the General Teaching Council for England’s Code of Conduct and Practice for

Registered Teachers.

4

Introduction, legal standing and interpretation

1. The Teachers’ Standards published by the Secretary of State for Education

introduced some significant changes in terms of structure, content and application.

This document is designed to assist those who will be using the standards to

understand those changes and to implement the standards effectively.

2. The Teachers’ Standards contained in this document came into effect on

1 September 2012, though the Teaching Agency (now the National College for Teaching

and Leadership) has used the conduct elements since 1 April 2012 as a reference point

when considering whether a teacher’s conduct has fallen significantly short of the

standard of behaviour expected of a teacher. They replaced the standards for qualified

teacher status (QTS) and the core professional standards previously published by the

Training and Development

Agency for Schools (TDA),1 as well as the General Teaching Council for England’s

Code of Conduct and Practice for Registered Teachers.

3. The standards apply to the vast majority of teachers regardless of their

career stage. The Teachers’ Standards apply to: trainees working towards QTS;

all teachers completing their statutory induction period; and those covered by the

new performance appraisal arrangements (subject to the exception described in

para. 4 below). Part Two of the Teachers’ Standards, which relates to professional

and personal conduct, is used to assess cases of serious misconduct, regardless

of the sector in which the teacher works.

4. Since 1 April 2012, teachers with qualified teacher learning and skills (QTLS)

status have been able to teach in schools as fully qualified teachers. This change

was made to give schools greater access to experienced teachers of vocational

subjects, as recommended in Professor Alison Wolf’s Review of Vocational

Education. Headteachers have the freedom to decide the standards against which

they assess the performance of QTLS holders. They can assess QTLS holders’

performance against the Teachers’ Standards, against any other set of standards

relating to teacher performance issued by the Secretary of State, against any

other professional standards that are relevant to their performance, or against any

combination of those three. Before, or as soon as practicable after the start of

each appraisal period, QTLS teachers (like other teachers) must be informed of

the standards against which their performance in that appraisal period will be

assessed.

1 The standards for qualified teacher status and the core professional standards are available from The National

Archives.

5

http://webarchive.nationalarchives.gov.uk/20111218081624/tda.gov.uk/teacher/developing-career/professional-standards-guidance.aspx



5. The standards define the minimum level of practice expected of trainees and

teachers from the point of being awarded QTS. The standards set out in this

document constitute the ‘specified standards’ within the meaning given to that

phrase in Schedule 2 of The Education (School Teachers’ Qualifications)

(England) Regulations 20032.

6. The standards need to be applied as appropriate to the role and context within

which a trainee or teacher is practising. Providers of initial teacher training (ITT)

should assess trainees against the standards in a way that is consistent with what

could reasonably be expected of a trainee teacher prior to the award of QTS.

Providers need to ensure that their programmes are designed and delivered in

such a way as to allow all trainees to meet these standards, as set out in the Secretary

of State’s Initial Teacher Training (ITT) Criteria3.

7. Similarly, headteachers (or appraisers) should assess teachers’ performance

against the standards to a level that is consistent with what should reasonably be

expected of a teacher in the relevant role and at the relevant stage of their career

(whether they are a newly qualified teacher (NQT), a mid-career teacher, or a

more experienced practitioner). The professional judgement of headteachers and

appraisers is therefore central to appraisal against these standards.

8. The standards replaced the previous core professional standards, and are used to

assess an NQT’s performance at the end of their induction period in employment.

The standards themselves do not specify any new or different elements to the

expectations placed on NQTs beyond those required for the award of QTS. The

decision about whether an NQT has met the standards to a satisfactory level at

the end of their first year of full employment therefore needs to be made on the

basis of what should reasonably be expected of an NQT working in the relevant

setting and circumstances, within the framework set out by the standards. That

judgement should reflect the expectation that NQTs have effectively consolidated

their training, and are demonstrating their ability to meet the standards

consistently over a sustained period in their practice.

9. Following the period of induction, the standards continue to define the level of

practice at which all qualified teachers are expected to perform. Teachers’

performance is assessed against the standards as part of the new appraisal

arrangements in maintained schools.

2

Schedule 2 of The Education (School Teachers’ Qualifications) (England) Regulations 2003 is available from legislation.gov.uk. 3

The Initial Teacher Training (ITT) Criteria are available from GOV.UK.

6

http://www.legislation.gov.uk/uksi/2003/1662/contents/made

https://www.gov.uk/government/collections/initial-teacher-training

Presentation of the standards

10. This document is presented in three parts, which together constitute the Teachers’

Standards: the Preamble, Part One and Part Two.

11. The Preamble summarises the values and behaviour that all teachers must

demonstrate throughout their careers. Part One comprises the Standards for

Teaching; Part Two comprises the Standards for Personal and Professional

Conduct.

12. In order to meet the standards, a trainee or teacher will need to demonstrate that

their practice is consistent with the definition set out in the Preamble, and that

they have met the standards in both Part One and Part Two of this document.

13. The standards are presented as separate headings, numbered from 1 to 8 in Part

One, each of which is accompanied by a number of bulleted subheadings. The

bullets, which are an integral part of the standards, are designed to amplify the

scope of each heading. The bulleted subheadings should not be interpreted as

separate standards in their own right, but should be used by those assessing

trainees and teachers to track progress against the standard, to determine areas

where additional development might need to be observed, or to identify areas

where a trainee or teacher is already demonstrating excellent practice relevant to

that standard.

Progression and professional development

14. The standards have been designed to set out a basic framework within which all

teachers should operate from the point of initial qualification. Appropriate self-

evaluation, reflection and professional development activity is critical to improving

teachers’ practice at all career stages. The standards set out clearly the key areas

in which a teacher should be able to assess his or her own practice, and receive

feedback from colleagues. As their careers progress, teachers will be expected to

extend the depth and breadth of knowledge, skill and understanding that they

demonstrate in meeting the standards, as is judged to be appropriate to the role

they are fulfilling and the context in which they are working.

7

Date of introduction of the standards

15. The revised standards came into effect on 1 September 2012, on which date they

became the ‘specified standards’ as defined in Schedule 2 of The Education

(School Teachers’ Qualifications) (England) Regulations 2003. The Regulations

require that in order to be recommended for the award of QTS, in most cases4 a

person must meet the specified standards that are in place at the time of

assessment. Providers of initial teacher training need to ensure that all trainees

who complete their training after 1 September 2012 are assessed against the standards

that are in place as at the time of assessment, in accordance with the Regulations.

16. NQTs who qualified under the previous standards but started induction on or after

1 September 2012, or had started but not completed induction by 1 September

2012, need to be assessed against the Teachers’ Standards at the end of their

induction.

17. Existing teachers who have already passed induction will be expected to use the

Teachers’ Standards instead of the previous core standards for appraisal,

identifying professional development, and other related purposes.

18. When considering new cases of serious misconduct received from 1 April 2012,

the National College for Teaching and Leadership (formerly the Teaching Agency),

acting on behalf of the Secretary of State, must have regard to the personal and

professional conduct aspects of the Teachers’ Standards document instead of the

General Teaching Council for England’s (GTCE) Code of Conduct and Practice for

Registered Teachers. The National College for Teaching and Leadership is still

able to refer to the GTCE’s Code of Conduct for any partially completed cases it

received from the GTCE at the point of its abolition.

4 For some categories QTS can be awarded without undertaking ITT in England and meeting the QTS standards.

Those exempt from meeting the QTS standards are individuals who have already successfully completed ITT or are

recognised as teachers in another UK country and EEA nationals who are recognised as teachers in another EEA

member state. Qualified further education teachers who have qualified teacher learning and skills (QTLS) status may

also be exempt from meeting the Teachers’ Standards.

8

Note on terminology used/glossary

Specific terminology used in the standards should be interpreted as having the following

meaning:

‘Fundamental British values’ is taken from the definition of extremism as

articulated in the new Prevent Strategy, which was launched in June 2011. It

includes ‘democracy, the rule of law, individual liberty and mutual respect and

tolerance of different faiths and beliefs’.

‘Parents’ is intended to include carers, guardians and other adults acting in loco

parentis.

‘Pupils’ is used throughout the standards, but should be taken to include

references to children of all ages who are taught by qualified teachers, including

those in the Early Years Foundation Stage, and those in post-16 education.

‘School’ means whatever educational setting the standards are applied in. The

standards are required to be used by teachers in maintained schools and non-

maintained special schools. Use of the standards in academies and free schools

depends on the specific establishment arrangements of those schools.

Independent schools are not required to use the standards, but may do so if they

wish.

‘Special educational needs’, as defined by the Department for Education’s

Special Educational Needs Code of Practice (2001), refers to children who have a

learning difficulty. This means that they either: have a significantly greater difficulty

in learning than the majority of children of the same age; or have a disability which

prevents or hinders them from making use of educational facilities of a kind

generally provided for children of the same age in schools within the area of the

local education authority.

‘Statutory frameworks’ includes all legal requirements, including but not limited

to the requirement to promote equal opportunities and to provide reasonable

adjustments for those with disabilities, as provided for in the Equality Act 2010.

The term also covers the professional duties of teachers as set out in the statutory

School Teachers’ Pay and Conditions Document.

9


Preamble

Teachers make the education of their pupils their first concern, and are accountable for

achieving the highest possible standards in work and conduct. Teachers act with honesty and

integrity; have strong subject knowledge, keep their knowledge and skills as teachers up-to-date

and are self-critical; forge positive professional relationships; and work with parents in the best

interests of their pupils.

Part One: Teaching A teacher must:

1. Set high expectations which inspire, motivate and challenge pupils

establish a safe and stimulating environment for pupils, rooted in mutual

respect

set goals that stretch and challenge pupils of all backgrounds, abilities and

dispositions

demonstrate consistently the positive attitudes, values and behaviour which

are expected of pupils.

2. Promote good progress and outcomes by pupils

be accountable for pupils’ attainment, progress and outcomes

be aware of pupils’ capabilities and their prior knowledge, and plan teaching

to build on these

guide pupils to reflect on the progress they have made and their emerging

needs

demonstrate knowledge and understanding of how pupils learn and how

this impacts on teaching

encourage pupils to take a responsible and conscientious attitude to their

own work and study.

10

3. Demonstrate good subject and curriculum knowledge

have a secure knowledge of the relevant subject(s) and curriculum areas,

foster and maintain pupils’ interest in the subject, and address

misunderstandings

demonstrate a critical understanding of developments in the subject and

curriculum areas, and promote the value of scholarship

demonstrate an understanding of and take responsibility for promoting high

standards of literacy, articulacy and the correct use of standard English,

whatever the teacher’s specialist subject

if teaching early reading, demonstrate a clear understanding of systematic

synthetic phonics

if teaching early mathematics, demonstrate a clear understanding of

appropriate teaching strategies.

4. Plan and teach well structured lessons

impart knowledge and develop understanding through effective use of

lesson time

promote a love of learning and children’s intellectual curiosity

set homework and plan other out-of-class activities to consolidate and

extend the knowledge and understanding pupils have acquired

reflect systematically on the effectiveness of lessons and approaches to

teaching

contribute to the design and provision of an engaging curriculum within the

relevant subject area(s).

5. Adapt teaching to respond to the strengths and needs of all pupils

know when and how to differentiate appropriately, using approaches which

enable pupils to be taught effectively

have a secure understanding of how a range of factors can inhibit pupils’

ability to learn, and how best to overcome these

demonstrate an awareness of the physical, social and intellectual

development of children, and know how to adapt teaching to support pupils’

education at different stages of development

11

have a clear understanding of the needs of all pupils, including those with

special educational needs; those of high ability; those with English as an

additional language; those with disabilities; and be able to use and evaluate

distinctive teaching approaches to engage and support them.

6. Make accurate and productive use of assessment

know and understand how to assess the relevant subject and curriculum

areas, including statutory assessment requirements

make use of formative and summative assessment to secure pupils’

progress

use relevant data to monitor progress, set targets, and plan subsequent

lessons

give pupils regular feedback, both orally and through accurate marking, and

encourage pupils to respond to the feedback.

7. Manage behaviour effectively to ensure a good and safe learning

environment

have clear rules and routines for behaviour in classrooms, and take

responsibility for promoting good and courteous behaviour both in

classrooms and around the school, in accordance with the school’s

behaviour policy

have high expectations of behaviour, and establish a framework for

discipline with a range of strategies, using praise, sanctions and rewards

consistently and fairly

manage classes effectively, using approaches which are appropriate to

pupils’ needs in order to involve and motivate them

maintain good relationships with pupils, exercise appropriate authority, and

act decisively when necessary.

12

8. Fulfil wider professional responsibilities

make a positive contribution to the wider life and ethos of the school

develop effective professional relationships with colleagues, knowing how

and when to draw on advice and specialist support

deploy support staff effectively

take responsibility for improving teaching through appropriate professional

development, responding to advice and feedback from colleagues

communicate effectively with parents with regard to pupils’ achievements

and well-being.

13

Part Two: Personal and professional conduct

A teacher is expected to demonstrate consistently high standards of personal and professional

conduct. The following statements define the behaviour and attitudes which set the required

standard for conduct throughout a teacher’s career.

Teachers uphold public trust in the profession and maintain high standards of

ethics and behaviour, within and outside school, by:

treating pupils with dignity, building relationships rooted in mutual respect,

and at all times observing proper boundaries appropriate to a teacher’s

professional position

having regard for the need to safeguard pupils’ well-being, in accordance

with statutory provisions

showing tolerance of and respect for the rights of others

not undermining fundamental British values, including democracy, the rule

of law, individual liberty and mutual respect, and tolerance of those with

different faiths and beliefs

ensuring that personal beliefs are not expressed in ways which exploit

pupils’ vulnerability or might lead them to break the law.

Teachers must have proper and professional regard for the ethos, policies and

practices of the school in which they teach, and maintain high standards in their

own attendance and punctuality.

Teachers must have an understanding of, and always act within, the statutory

frameworks which set out their professional duties and responsibilities.

14

© Crown copyright 2011

You may re-use this document/publication (not including logos) free of charge in any format or

medium, under the terms of the Open Government Licence v2.0. To view this licence, visit

www.nationalarchives.gov.uk/doc/open-government-licence/version/2 or email:

[email protected].

Where we have identified any third party copyright information you will need to obtain

permission from the copyright holders concerned.

Any enquiries regarding this publication should be sent to us at:

www.education.gov.uk/contactus.

This document is available for download at www.gov.uk/government/publications.

Reference: DFE-00066-2011

15

http://www.nationalarchives.gov.uk/doc/open-government-licence/version/2

mailto:[email protected]

http://www.education.gov.uk/contactus

http://www.gov.uk/government/publications

National standards of excellence for headteachers Departmental advice for headteachers, governing boards and aspiring headteachers

January 2015

Contents

Summary 3

About this departmental advice 3

Review date 3

Who is this advice for? 3

Main point 3

National Standards of Excellence for Headteachers (2015) 4

Purpose 4

Preamble: the role of the headteacher 4

The Four Domains 5

Domain One 5

Domain Two 6

Domain Three 6

Domain Four 7

Supporting guidance 8

Who are the standards for? 8

What are the standards for? 8

What are the standards not for? 8

Using the Standards 9

Further information 11

Appraisal 11

Equalities Issues 11

National programmes to support the development of middle leaders and senior leaders

11

Teachers’ Standards 11

2

Summary

About this departmental advice

This is departmental advice from the Department for Education. This advice is non-

statutory, and has been produced for headteachers, governing bodies and aspiring

headteachers.

Review date

This advice will next be reviewed by 2020.

Who is this advice for?

This guidance is for:

Headteachers and aspiring headteachers

Governing boards

Main point

These standards replace the National Standards for Headteachers 2004.

3

National Standards of Excellence for Headteachers (2015)

Purpose

The National Standards of Excellence for Headteachers (2014) define high standards which are

applicable to all headteacher roles within a self-improving school system. These standards are

designed to inspire public confidence in headteachers, raise aspirations, secure high academic

standards in the nation’s schools, and empower the teaching profession.

The context for headteachers changes constantly. In most contexts, a headteacher has led one

school; in some settings headteachers are responsible for leading more than one school. Job titles

are various - including principal, executive, associate and co- headteacher – as are the governance

arrangements to which headteachers are accountable.

These standards are intended as guidance to underpin best practice, whatever the particular job

description of the headteacher. They are to be interpreted in the context of each individual

headteacher and school, and designed to be relevant to all headteachers, irrespective of length

of service in post.

The standards can be used to:

shape headteachers’ own practice and professional development, within and

beyond the school

inform the appraisal of headteachers

support the recruitment and appointment of headteachers

provide a framework for training middle and senior leaders, aspiring to headship.

The Teachers’ Standards (2011, as amended), including the Personal and Professional Code of

Conduct which applies to all teachers, provide a foundation upon which the standards for

headteachers are built.

Preamble: the role of the headteacher

Headteachers occupy an influential position in society and shape the teaching profession. They are

lead professionals and significant role models within the communities they serve. The values and

ambitions of headteachers determine the achievements of schools. They are accountable for the

education of current and future generations of children. Their leadership has a decisive impact on

the quality of teaching and pupils’ achievements in the

4

nation’s classrooms. Headteachers lead by example the professional conduct and practice of

teachers in a way that minimises unnecessary teacher workload and leaves room for high quality

continuous professional development for staff. They secure a climate for the exemplary behaviour

of pupils. They set standards and expectations for high academic standards within and beyond

their own schools, recognising differences and respecting cultural diversity within contemporary

Britain. Headteachers, together with those responsible for governance, are guardians of the

nation’s schools.

The Four Domains

The National Standards of Excellence for Headteachers are set out in four domains,

beginning with a Preamble. There are four ‘Excellence As Standard’ domains:

Qualities and knowledge

Pupils and staff

Systems and process

The self-improving school system

Within each domain there are six key characteristics expected of the nation’s

headteachers.

Domain One

Excellent headteachers: qualities and knowledge

Headteachers:

1. Hold and articulate clear values and moral purpose, focused on providing a world-

class education for the pupils they serve.

2. Demonstrate optimistic personal behaviour, positive relationships and attitudes

towards their pupils and staff, and towards parents, governors and members of the

local community.

3. Lead by example - with integrity, creativity, resilience, and clarity - drawing on their

own scholarship, expertise and skills, and that of those around them.

4. Sustain wide, current knowledge and understanding of education and school systems

locally, nationally and globally, and pursue continuous professional development.

5. Work with political and financial astuteness, within a clear set of principles centred on

the school’s vision, ably translating local and national policy into the school’s context.

6. Communicate compellingly the school’s vision and drive the strategic leadership,

empowering all pupils and staff to excel.

5

Domain Two

Excellent headteachers: pupils and staff

Headteachers:

1. Demand ambitious standards for all pupils, overcoming disadvantage and advancing

equality, instilling a strong sense of accountability in staff for the impact of their work

on pupils’ outcomes.

2. Secure excellent teaching through an analytical understanding of how pupils learn and

of the core features of successful classroom practice and curriculum design, leading to

rich curriculum opportunities and pupils’ well-being.

3. Establish an educational culture of ‘open classrooms’ as a basis for sharing best

practice within and between schools, drawing on and conducting relevant research

and robust data analysis.

4. Create an ethos within which all staff are motivated and supported to develop their

own skills and subject knowledge, and to support each other.

5. Identify emerging talents, coaching current and aspiring leaders in a climate where

excellence is the standard, leading to clear succession planning.

6. Hold all staff to account for their professional conduct and practice.

Domain Three

Excellent headteachers: systems and process

Headteachers:

1. Ensure that the school’s systems, organisation and processes are well considered,

efficient and fit for purpose, upholding the principles of transparency, integrity and

probity.

2. Provide a safe, calm and well-ordered environment for all pupils and staff, focused on

safeguarding pupils and developing their exemplary behaviour in school and in the wider

society.

3. Establish rigorous, fair and transparent systems and measures for managing the

performance of all staff, addressing any under-performance, supporting staff to improve

and valuing excellent practice.

4. Welcome strong governance and actively support the governing board to understand its

role and deliver its functions effectively – in particular its functions to set school strategy

and hold the headteacher to account for pupil, staff and financial performance.

6

5. Exercise strategic, curriculum-led financial planning to ensure the equitable deployment

of budgets and resources, in the best interests of pupils’ achievements and the school’s

sustainability.

6. Distribute leadership throughout the organisation, forging teams of colleagues who have

distinct roles and responsibilities and hold each other to account for their decision

making.

Domain Four

Excellent headteachers: the self-improving school system

Headteachers:

1. Create outward-facing schools which work with other schools and organisations - in a

climate of mutual challenge - to champion best practice and secure excellent

achievements for all pupils.

2. Develop effective relationships with fellow professionals and colleagues in other public

services to improve academic and social outcomes for all pupils.

3. Challenge educational orthodoxies in the best interests of achieving excellence,

harnessing the findings of well evidenced research to frame self-regulating and self-

improving schools.

4. Shape the current and future quality of the teaching profession through high quality

training and sustained professional development for all staff.

5. Model entrepreneurial and innovative approaches to school improvement, leadership and

governance, confident of the vital contribution of internal and external accountability.

6. Inspire and influence others - within and beyond schools - to believe in the fundamental

importance of education in young people’s lives and to promote the value of education.

7

Supporting guidance

Who are the standards for?

1. The standards are intended to be a helpful tool for headteachers, those responsible for

governance and aspiring headteachers.

What are the standards for?

2. The intention is for these standards to represent contemporary headship in schools

today, inspire public confidence in headteachers, secure high academic standards in

the nation’s schools, and empower the teaching profession. They are intended to

replace the 2004 National Headteacher Standards by bringing the standards up to date

so that they are relevant for the school system that has developed since 2004.

3. They have been written to be relevant to all headteachers, irrespective of setting or

length of service, but are to be interpreted in context.

4. These standards are designed to be thought-provoking, and to require discussion in

schools.

5. They are developmental. All headteachers are on a journey to improve throughout their

career, and the standards can be used to support this.

6. The standards will help headteachers to develop and increase their capability to

support the development of the school-led system, and in many cases lead this

development. The standards challenge headteachers to develop and improve

themselves, their own schools, and other schools.

7. The standards are aspirational and challenging.

What are the standards not for?

1. The standards are different from The Teachers’ Standards in that they are non-

mandatory and they do not set a baseline of expected performance. They therefore

should not be used as a checklist or as a baseline, and any shortcoming with respect to

the standards is not, in and of itself, the basis for questioning competence or initiating

capability.

2. This being the case, it would be inappropriate to create complex ‘levels’ or gradations

for each characteristic set out in the standards.

3. While the standards, taken together, can help to identify areas for development in a

particular context, it is important not to lose sight of the full range of characteristics of

highly effective leadership which the standards as a whole describe.

8

Using the Standards

1. They can be used by headteachers to shape their own practice and professional

development, within and beyond the school

Self-development is key to the development of a headteacher. These standards can

be used by headteachers as a framework for such self-development, for them to

consider what they have done already or need to do going forward to move closer

to the aspirations set out in the standards. They may choose to seek feedback from

colleagues and governors based on the standards.

Headteachers can use the standards to have a constructive conversation with their

governors about the areas in which the headteacher feels they need support to

develop. Headteachers should feel empowered and entitled to seek such support.

Headteachers can use the standards as part of supporting their staff, and for

identifying the skills and knowledge they need in their leadership team.

2. They can be used by governors, to inform the appraisal of headteachers

These standards can be used to inform the appraisal of headteachers by serving as

a background document to assist governing boards, rather than as a set of

standards against which the headteacher’s performance can be assessed in an

appraisal process.

For example, the standards may be used to inform objective setting. The

headteacher standards should not be used as 'cut and paste' objectives. Objectives

must be tailored so that they are relevant to the context of the individual school and

headteacher. It is good practice for governors to set headteachers specific school-

related objectives and targets linked to their school or schools’ priorities on an

annual basis. Governors should use the standards aspirationally and

developmentally. Actions for the headteacher can be agreed with these aspirational

standards in mind, but will need to be in the context of where the school is now in a

certain area and what is needed to move it to the next step of improvement.

Governors can use the headteacher standards in appraisal to frame a broad

overview of leadership in the specific context of the school. The standards may

further serve as a starting point for the identification of specific objectives for the

next stage of the school's continuous improvement journey, as well as to identify

areas of development where the headteacher requires support and improvement.

Governors should work with headteachers to understand what the school needs in

order to progress. They should consider what needs to be done to support the

headteacher to implement the school improvement plan and support colleagues.

3. They can be used by governors, to support the recruitment and appointment of

headteachers

9

The standards can be used to underpin and shape role descriptions and person

specifications. It is important to focus on the particular context of the individual

school, as schools in differing contexts and at different stages of development will

require differing blends of skills and experience of headteachers. Governors may

want to investigate some of the characteristics set out in the standards in more

detail than others with prospective headteachers.

Equally, given the broad and holistic nature of the standards, governing boards can

use the standards as a check to ensure that their selection process is sufficiently

comprehensive, covering all of the key areas of headship set out in the standards.

4. They can be used by headteachers, governing boards and aspirant headteachers, to

provide a framework for training middle and senior leaders, aspiring to headship.

The transition to headship involves mastering a broad range of competences. The

standards are not an exclusive or complete list of these skills.

Headteachers and governors may use the standards to help them identify potential

future leaders. The standards can be used to shape the developmental experiences

offered to middle and senior leaders.

Aspirant headteachers can use the standards to evaluate their own progress

towards being prepared for headship, and to identify and articulate the areas they

want to gain more experience in. For example, a middle leader may decide that

they have not as much experience of the fourth domain of the standards and so

may seek experience as part of school collaboration in a different school in order to

broaden their experience.

10

Further information

Appraisal

The Education (School Teachers’ Appraisal) (England) Regulations 2012

The Governors’ Handbook

The Schoolteachers’ Pay and Conditions Document

‘Implementing your school’s approach to pay, Departmental advice for maintained

schools and local authorities’ (September 2014)

‘A guide to recruiting and selecting a new headteacher’, NCSL and NGA

Equalities Issues

Links to advice on the Equalities Act 2010:

The Equalities and Human Rights Commission (EHRC)

The Equality Act 2010: advice for schools

EHRC Publication - Equal Pay: Statutory Code of Practice

National programmes to support the development of middle leaders and senior leaders

National Professional Qualifications for Middle Leaders

National Professional Qualifications for Senior Leaders


The Teachers’ Standards can be found in Annex 1 of the Schoolteachers’ Pay and

Conditions Document. More information is available at

Teachers’ standards

11

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/270398/Governors-Handbook-January-2014.pdf

https://www.gov.uk/government/publications/school-teachers-pay-and-conditions-2014

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/356378/Implementing_your_schools_approach_to_pay_departmental_advice.pdf



https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/342626/a-guide-to-recruiting-and-selecting-a-new-headteacher.pdf

http://www.equalityhumanrights.com/

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/315587/Equality_Act_Advice_Final.pdf

http://www.equalityhumanrights.com/sites/default/files/documents/EqualityAct/equalpaycode.pdf

https://www.gov.uk/national-professional-qualification-for-middle-leadership-npqml

https://www.gov.uk/national-professional-qualification-for-senior-leadership-npqsl

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/301107/Teachers__Standards.pdf

© Crown copyright 2015

This publication (not including logos) is licensed under the terms of the Open Government

Licence v3.0 except where otherwise stated. Where we have identified any third party copyright

information you will need to obtain permission from the copyright holders concerned.

To view this licence:

visit www.nationalarchives.gov.uk/doc/open-government-licence/version/3

email [email protected]

write to Information Policy Team, The National Archives, Kew, London, TW9 4DU

About this publication:

enquiries www.education.gov.uk/contactus

download www.gov.uk/government/publications

Reference: DFE-00019-2015

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Effectively managing headteacher performance Research brief

January 2014

Dr David Eddy Spicer, Institute of Education, University of London Dr Megan Crawford, University of Cambridge

Prof Peter Earley, Institute of Education, University of London Prof Chris James, University of Bath Dr Sara Bubb Rhoda Furniss Dr Jeff Jones Rebecca Nelson Elizabeth Wood

Contents

Headteacher performance management reports 4

Introduction 5

What is performance management? 6

The process 7

Challenges 8

Logistics ..........................................................................................................................................8

Challenge 1: Time .......................................................................................................................8

Challenge 2: Setting objectives ..................................................................................................8

Challenge 3: Competence ..........................................................................................................9

Challenge 4: Clear procedures and documentation ..................................................................9

Challenge 5: Identifying and interpreting appropriate performance information ................. 10

Challenge 6: Promoting professional development ................................................................ 10

Challenge 7: Ensuring continuity of effective headteacher performance management10 Pay

..................................................................................................................................................... 11

Challenge 8: Competition ........................................................................................................ 11

Challenge 9: Pressure .............................................................................................................. 11

Challenge 10: Avoidance of conflict ........................................................................................ 12

Challenge 11: Pay for system leadership ................................................................................ 12

Commitment ............................................................................................................................... 12

Challenge 12: Commitment .................................................................................................... 13

Challenge 13: Mutual respect and trust .................................................................................. 13

External advice ............................................................................................................................ 14

Challenge 14: The role of the external advisor ....................................................................... 14

Challenge 15: Clear roles ......................................................................................................... 14

2

Challenge 16: Recruitment ....................................................................................................... 15

Capacity ........................................................................................................................................ 15

Challenge 17: Developing capacity for headteacher performance management ................... 15

Challenge 18: Training .............................................................................................................. 16

Underperformance ...................................................................................................................... 16

Challenge 19: Recognising underperformance ........................................................................ 17

Challenge 20: Addressing underperformance ......................................................................... 17

Conclusion .................................................................................................................................... 18

Features of effective headteacher performance management 20

3

Headteacher performance management reports

This document is one of a set of reports about the study of the effective management of

headteacher performance in schools in England.

This report is the research brief which is a summary of key areas for consideration by governors

and those directly involved in the process of headteacher performance management.

We recommend that you read all the reports to understand the research fully. These

documents are available on from gov.uk. The complete set of reports includes the

following:

Research brief

A summary of key areas for consideration by governors and those directly

involved in the process of headteacher performance management.

Full report

The full report, including the executive summary; details about the framework

and design of the study; a review of the international literature on performance

management of senior leaders in education and related sectors; analysis of

empirical data collected for the study; discussion of significant issues arising

from the analysis; and a summary of main findings and implications drawing on

the analysis and review of literature.

Case Studies (Annexe A)

Ten case studies drawn from the research to illustrate approaches to

headteacher performance management in a variety of schools and school groups

around England.

Vignettes (Annexe B)

Twelve examples of important research themes contextualised in specific school

settings.

4

Introduction

Good governance is at the heart of effective headteacher performance management.

Conversely, ineffective headteacher performance management may be a symptom of

ineffective governance. Effective oversight of the headteacher is the most important part

played by the governing body in the overall governance of the school. But it is also a complex

and demanding process and one size does not fit all. Nonetheless, much is known about

effective approaches, and how governing bodies can take steps to improve their processes for

the needs of their school and its various communities.

This summary, based on research carried out in academies and maintained schools by a team

from three universities, highlights the most important implications for governing bodies in

designing, putting into place and sustaining effective headteacher performance management.1 It

begins with a definition of performance management and an outline of the headteacher

performance management process. It then identifies key challenges to implementing effective

headteacher performance management. Each challenge has

suggested recommendations for governing bodies to consider. Following a conclusion, the

summary ends with a list of ten characteristics of effective headteacher performance

management.

1

The Education (School Teachers’ Appraisal) (England) Regulations 2012 set out the legal framework for the appraisal of teachers and headteachers and apply to all maintained schools, including maintained special schools, and to local authorities in respect of unattached teachers. The regulations do not apply in academies, free schools, other independent schools, or sixth-form colleges although they are free to use them if they wish.

5

What is performance management?

The term performance management is used to describe the general process by which an

employee and her or his line manager evaluate performance and negotiate objectives as well as

developmental goals for a specific time period. Our research revealed that many governing bodies

considered the annual performance review or appraisal meeting as the totality of performance

management yet the appraisal meeting should be seen as one moment in a continuous and

comprehensive cycle of performance management.

Performance management, then, conveys the broader sense of a manager taking responsibility

for a subordinate’s proper performance in the organisation. This responsibility is not merely

operational, in the sense of a ‘tick box’ exercise to demonstrate simply that it has been done.

Effective performance management entails strategic responsibility for the performance of

individual staff in relation to a clear and coherent view of the current state of the organisation

and its future trajectory. Thus, effective headteacher performance management strikes a

balance among the personal and professional development of the individual and the

development of the school as an organisation.

The governing body has the strategic responsibility of overseeing the translation of priorities

into challenging yet achievable objectives for its headteacher.2 Performance information is the

evidence used to measure performance against objectives. Pupil attainment is one measure of

school performance, and this is widely used for measuring individual as well as organisational

performance. However, effective performance management depends on a range of objectives

that are tailored to the priorities of a

specific individual and the school in which they serve as a leader. Thus, performance

information needs to be drawn from many different sources, such as student and parent

opinions or information about school climate, including pupil engagement with extracurricular

activities.

There is no single set of school or individual priorities and indicators of performance.

Performance management needs to be systematic and rigorous but also dynamic and adaptive

to meet the changing needs of the school and the people who work and learn within it.

A common template does not exist for effective performance management but our research

found characteristics that exemplified good practice in a wide range of settings. The section that

follows describes the basic elements of the process around headteacher performance

management.

2

The Education (School Teachers’ Appraisal) (England) Regulations 2012 specify that headteachers are assessed against the Teachers’ Standards (2011) as well as objectives set by the Governing Body.

6

The process

Our case studies showed that schools identified as following good practice were conducting

headteacher performance appraisal in a similar way and were making use of existing guidance.

An appraisal panel appointed by the governing body annually reviews the headteacher’s

performance. This usually consists of three governors such as the chair of governors, the chair of

the committee that oversees staffing and/or finance and one other governor who has particular

expertise in performance management and/or education.

The work of the appraisal panel is embedded within a wider set of interactions that comprise

headteacher performance management leading up to and beyond the formal annual review.

There is a standard rhythm to these interactions:

An external adviser is commissioned.

The appraisal panel meets to discuss points to raise.

The external advisor meets with the headteacher.

The external advisor, headteacher and appraisal panel meet together.

The headteacher and appraisal panel meet.

The external advisor summarises the results of the meetings in a review

document.

The appraisal panel makes recommendations about headteacher pay for other

governors to make a decision about.

Many of our case study schools were integrating the processes of headteacher appraisal into

broader processes of managing the headteacher and the school through the astute use of

performance information. We consider this more holistic approach and integrated use of

performance information to be a hallmark of performance management, which encompasses

robust performance appraisal. Performance management continues throughout the year with

ongoing monitoring. This typically occurs as part of regular interaction between the headteacher

and chair of governors as well as committee meetings that have oversight of aspects of the

school (eg standards, finance, staffing) that relate to the headteacher’s objectives. In addition to

these meetings that typically focus on school performance, at least one formal mid-year review

meeting of the appraisal panel and headteacher is recommended to check specific progress of

the headteacher against his or her objectives.

7

Challenges

This summary identifies 20 challenges identified by the research organised under six broad

themes of logistics, pay, commitment, external advice, capacity and underperformance.

Logistics Challenge 1: Time

Scheduling the sequence of meetings amongst headteacher and panel governors is one of the

most challenging aspects of the process for many schools. Difficulties scheduling meetings

causes substantial frustration with the process and significant delays. Where scheduling is very

challenging, mid-year reviews - an essential aspect of good practice – are less likely to occur.

Recommendations:

The process is time-consuming but governors and headteachers must be

committed to seeing it through in its entirety.

The process needs to be a priority for all involved.

Interim reviews need to be integral to the process.

Reviews need to focus on the headteacher, not on the school as a whole, and

should be a standard feature of the annual cycle.

Challenge 2: Setting objectives

The setting of objectives is among the most challenging aspects of the process. For maintained

schools, the Teachers’ Standards (2011) establish the minimum requirements for headteachers’

practice and conduct. Appropriate objectives are the keystone of managing the school’s progress

and managing the headteacher. The breadth and precision of the headteacher’s objectives, the

quality of performance information and productive engagement of stakeholders in the definition

and setting of objectives reflects the experience, maturity and quality of overall school

management processes. For all schools, external accountability and visibly demonstrating

progress serve as the overarching motivation for setting ambitious objectives and appropriate

uses of performance information.

8

Recommendations:

Specificity and precision of objectives should be a goal. They should be SMART –

specific, measurable, achievable yet challenging, relevant and time bound. The

best governing bodies elaborate precise and individualised objectives that specify

clearly what needs to be done and how progress will be measured.

Challenging objectives should be coupled with a strategy for appropriate support

and clarity around how and when progress against objectives will be measured.

Challenge 3: Competence

The ability to knit individual and school developmental priorities together is a demanding and

complex aspect of governing. Although many appraisal panels do this very well, there are

examples where lack of experience in professional management and relevant support mean

that this key activity is not undertaken competently, with an over-reliance on the headteacher

and/or the external advisor.

Recommendations:

Governing bodies need to be acutely aware of their school context and how it

relates to the national picture.

Governing bodies need to assess realistically their modes of operating in relation

to the headteacher.

Effective performance management will depend on ensuring that the relationship

is one that puts the governing body in its proper relation of oversight.

Enabling the governing body to assume a role of oversight should also entail

assessing available competence and addressing gaps.

Challenge 4: Clear procedures and documentation

The clarity of procedures, coherent documentation and links with school objectives are

essential components of the overall process of headteacher performance management but

not always found.

Recommendations:

Headteacher performance management should be a dynamic and evolving

process, not one that simply settles into a familiar pattern year upon year.

Procedures and priorities need to be regularly evaluated and adapted if needed.

Procedures may need clarification, priorities honed and documentation made more

straightforward.

9

Challenge 5: Identifying and interpreting appropriate performance information

Data for use as performance information is a core issue. There is a proliferation of performance

data (e.g. RAISEonline, data dashboards, Fischer Family Trust governor dashboards, league

tables). However, governing bodies often struggle to use data effectively to identify core issues

around leadership. Moreover, most schools do not consider sources of information that go

beyond official data sets, such as parent, staff and pupil surveys and 360 degree feedback, as is

done in other sectors (e.g. healthcare leadership management).

Recommendations:

Valuable resources exist to help governing bodies meet this challenge but they

need support to find and make use of these resources, identifying those most

relevant for their particular settings.

The external advisor should provide guidance on how the school can translate its

priorities into appropriate objectives measured by relevant performance

information.

Challenge 6: Promoting professional development

Many schools do not make robust use of objectives for the headteacher’s personal

development in connection with professional and organisational goals. Recommendations:

Attention to personal and individual professional objectives by governing bodies

reinforces trust and good relationships.

Appropriate personal objectives that aim towards quality of life and/or broader

learning goals are important to consider. The most developed forms of

performance management paid close attention to the headteacher’s personal and

career objectives.

Challenge 7: Ensuring continuity of effective headteacher performance management

Cultivating successors for those governors currently serving on the appraisal panel or for those

with performance management expertise is an important consideration. A well- established and

long-standing headteacher performance management panel membership may create difficulties

in identifying successors.

10

Recommendations:

Effective headteacher performance management involves an ongoing effort to

broaden the base of those with performance management experience and

knowledge. Clear succession strategies, identifying governors to take part in

training and development opportunities, who would then serve on the appraisal

panel for two-year terms are needed. This will help develop governing body

expertise to undertake headteacher performance management and to oversee

performance management more broadly.

Pay

The linking of performance with pay is one of the most sensitive, challenging and controversial

issues within headteacher performance management. Governors need to maintain objectivity

and fairness, while remembering that the needs of the school come first. Governors may not

always be able to give headteachers exactly what they want.

Challenge 8: Competition

Some governing bodies may ‘over-pay’, because they fear that their headteacher might be

‘poached’.

Recommendations:

Where possible, establish an idea of relevant salary benchmarks.

Manage expectations clearly from the time of recruitment onwards concerning

what the rate of pay increases are likely to be.

Be very aware of the pay relativities between the headteacher and other staff

members.

Consider the competing demands on the school budget and overall capacity when

making pay awards.

Challenge 9: Pressure

Governors can feel 'pressurised' into having a more positive view of the headteacher’s

performance in order to make a pay award.

Recommendations:

Draw on the external advisor to evaluate fully how effective the headteacher’s

performance has been in comparison to what might be reasonably expected.

Separate the appraisal process from the financial decision on pay by using

separate committees.

11

Challenge 10: Avoidance of conflict

Governors may agree to insufficiently challenging objectives to avoid conflict; or the review

may be insufficiently candid, because the headteacher does not want to put their pay rise at

risk.

Recommendations:

External advisors should help governors set sufficiently challenging objectives and

review them rigorously.

Ensure that the links between the achievement of various objectives and the level

of pay is clear at the beginning of the process.

Governors need a realistic view in advance of any negotiation with the

headteacher of the salary budget available to them, to ensure that they will have

the funds to reward exceptional performance.

Challenge 11: Pay for system leadership

A growing number of headteachers have responsibilities beyond their own school, for wider

system leadership. Where there is specific funding for both the National and Local Leaders of

Education (NLE and LLE) roles, governing bodies have to decide the allocation of this funding

between the headteacher personally and their school. The school may wish to be compensated

financially for the loss of time but such activities have the potential to benefit the school, and to

improve both the headteacher’s performance and, crucially, their motivation.

Recommendations:

Governors should take a realistic view of their school’s capacity for system

leadership, and the degree of compensation the school would require for this. This

assessment should be shared with the headteacher.

It is helpful to be comprehensive and open-minded about the benefits, including

non-quantifiable advantages that the school will receive from the headteacher’s

outside activities.

Commitment

Commitment to headteacher performance management for the good of the school is vital. The

crucial relationships in effective headteacher performance management are those between the

headteacher, the chair of governors, the appraisal panel and the external advisor. Effective

headteacher performance management hinges on mutual respect,

12

trust, candour and willingness among all to challenge and to be challenged for the good of the

school.

Challenge 12: Commitment

Relationships that allow for a clear focus on the work to be done are crucial for effective

performance management. The headteacher’s commitment to the process is vital. If the

headteacher or governing body does not view the process as useful then it is likely to be

ineffective. As a result, headteacher performance management processes will be undermined.

The inverse is also true: headteacher performance management can be a way to tighten up the

functioning of governance as a whole.

Recommendation:

Clear headteacher performance management procedures and reliable

performance information are essential to productive relationships. Clarity and

accuracy help the headteacher, chair and the external advisor focus on their task

and what is needed to move the school forward.

Challenge 13: Mutual respect and trust

Effective headteacher performance management depends on mutual respect and trust in the

relationship between the headteacher and the chair, in particular, as well as the governing body

as a whole. Trust and respect enable them to move beyond a sole focus on appraisal to more

extensive and intensive uses of performance management as a coherent management tool for

internal accountability. Ineffective headteacher performance management is most often

characterised by a too-cosy relationship among the headteacher, chair and/or external advisor

or a chair unwilling to challenge the headteacher, sometimes by questioning the appointment of

an external advisor well- known to the headteacher.

Recommendations:

Mutual respect enables challenge. A healthy relationship between headteacher

and chair of governors is crucial. Effective chairs of governors must actively seek

to promote healthy relationships that balance support with challenge.

Headteachers also have a responsibility to promote challenge. They may need to

take the initiative to develop the governing body’s capacity for appropriate

challenge; the effort to do so will cultivate greater respect.

Governing bodies need to consider explicitly how to develop trust and mutual

respect in ways that will encourage, not constrain, and appropriate challenge.

13

External advice Challenge 14: The role of the external advisor

Governing bodies benefit substantially from the participation of an external advisor with

appropriate expertise. The vast majority of governing bodies use them but it is not a requirement

for academies and free schools. The external advisor as currently practiced combines several

roles, helping to sharpen the process as well as clarifying the links between internal and external

accountability, headteacher development and governance.

Effective external advisors have respectful and trusting relationships with the governing body

and respectful, yet independent, relationships with the headteacher. The desired characteristics

deemed to add value such as knowledge of the school, understanding of performance

management as process and ability to help governors challenge the headteacher appropriately

are highly dependent on the school’s current needs.

Recommendations:

External advisors should:

summarise data to give a clear understanding of how the school is performing

analyse the headteacher’s evidence of progress against objectives

support the governing body in interpreting information and pupil performance data

bring to bear broad experience working with a number of governing bodies and

headteachers

support, question and challenge the headteacher

understand the importance of headteacher performance management and

performance management in schools

be able to gather sufficient knowledge of the school, its history and its context in

order to develop the Headteacher in leading its development

Challenge 15: Clear roles

The clear delineation of roles - between an adviser to the governing body and a mentor to the

headteacher – prevents the potential lack of clarity about the external advisor’s role and

possible divided allegiances. The external advisor is an agent of the governing body and should

not therefore have a closer allegiance to the headteacher.

Recommendations:

External, independent advice is highly recommended (and mandated for

maintained schools).

14

Reliance of the governing body on an external advisor must be balanced by

expertise on the governing body for evaluating the contribution of the adviser.

Challenge 16: Recruitment

The recruitment of an appropriate external advisor may be a challenge with the reduction of

such staff at the local authority level. The availability of appropriately qualified external advisors

and enabling ready access to them may be a concern in the future.

Recommendations:

Governing bodies should appoint external advisors, in consultation with the

headteacher.

Schools need support and guidance around identifying appropriate external

advisors.

Drawing on expertise from NLEs, LLEs and National Leaders of Governance

(NLGs) as external advisors would be a way for some governing bodies to find

suitable external advisors.

Capacity

Effective headteacher performance management requires governors with experience and

expertise around performance management and governing bodies often depend on members

who possess such attributes. Some of this expertise, particularly in school settings, will come

from the external advisor. However, the more effective governing bodies are those in which

expertise is distributed in a way that allows them to understand and engage with the process in a

robust manner.

Challenge 17: Developing capacity for headteacher performance management

The mix of expertise and experience required of the governing body will vary depending on the

school’s context and conditions. Expertise may come from governors’ work in other sectors and

in other formal roles. Many schools struggle to recruit appropriate governors. This suggests

that the governing body itself must find ways of developing capacity.

Recommendation:

Rigorous and effective headteacher performance management should be

undertaken by governors with sufficient expertise, who view the process as

important and see performance management as a key part of school governance.

The governing body needs to conduct a regular audit of governors’ skills in order

to understand where capacity is most needed.

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Regular training on headteacher performance management is important,

especially for members of the appraisal panel.

Challenge 18: Training

Governors, headteachers and external advisors have a wide range of training needs and these

often point towards the most challenging ‘pinch points’ in the process. They need to be up to

date with national trends and expectations, especially with the rapid pace of change in

education.

Recommendations:

The following are the areas of training that our respondents identified as most

essential for governors:

the technical and legal formalities of headteacher appraisal

understanding data

issues around pay and performance

managing relations with the head

setting and monitoring objectives

benchmarking

evaluating external advice

Sustaining the expertise required through succession planning and well thought-

out approaches to induction are essential.

The external advisor can play an important role in mediating between individual

needs of the headteacher and organisational goals, as well as working with the

governing body to develop its capacity to enact effective headteacher performance

management.

Drawing on expertise from NLEs, LLE, and NLGs as external advisors would be a

way for some governing bodies to improve the way governors deal with the most

challenging ‘pinch points’ in the process.

Underperformance

Developing capacity for effective headteacher performance management is not so much a

means of addressing underperformance as a proactive approach to ensuring that marginal

performance is made explicit and addressed before underperformance can occur. Our study

points to the need to develop robust performance management systems across the organisation

in order to draw a clear line between the management of performance and capability

procedures. In our case studies and interviews, we heard about how the impetus for developing

robust headteacher performance management arose out of the shock of recognising

underperformance, frequently due to a disappointing inspection report. Crisis situations may

bring to light three types of

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underperformance, initially that of the school and then the recognition that the

underperformance of the headteacher and the governing body may have played a role.

Challenge 19: Recognising underperformance

When school underperformance comes to light unexpectedly, governors typically find

themselves underprepared to address this critical situation, especially with regards to

appropriate process in relation to the headteacher. Gaps in oversight by the governing body

may have contributed to the unanticipated results. This can lead to a rapid breakdown of

trust on all sides.

Recommendations:

Governors must have ongoing access to good HR advice, especially in terms of

managing underperformance.

Governors need training to have the kinds of difficult conversations that will ensure

they are receiving and understanding information that gives them an accurate and

complete view of the status of the school.

Challenge 20: Addressing underperformance

School, headteacher or governing body underperformance may all be present at the same

time, or become apparent independently.

Recommendations:

If both the headteacher and the governing body are underperforming, resulting in

school underperformance, then it is extremely likely that external intervention will

be required, with replacement of governing body members and perhaps the

headteacher.

Also significant is the contribution of an external adviser, whose skills and

experience are used to provide an accurate, objective view of the school’s overall

performance and progress and sometimes to provide additional school

improvement support.

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Conclusion

Governing the development of the school as an organisation and managing headteacher

performance are ongoing and intertwined processes for intelligent internal and external

accountability. The headteacher performance management cycle should follow clear procedures

and pay close attention to the ways that personal and professional goals mesh with school

needs. Setting, monitoring and reviewing objectives should make use of appropriate sources of

information. Formal interim monitoring consists not only of monitoring progress against school

performance objectives but provides a moment to take stock of the individual performance of

the headteacher against the full range of their objectives.

The external advisor can play an important role in mediating between individual needs of the

headteacher and school goals, as well as working to help the governing body develop its capacity

to carry out effective performance management. The breadth and precision of the headteacher’s

objectives, the quality of performance information and productive engagement of stakeholders

reflect the experience, maturity and quality of overall management processes within the school.

Providing recommendations for pay decisions is an important outcome of the process that is

among the most challenging, even for governing bodies and headteachers with well-developed

performance management processes. The challenge will increase as performance related pay

becomes the norm throughout schools and across the educational system.

Questions to be considered by those directly involved in headteacher performance

management should include:

Who is responsible for the implementation, preparation and execution of

headteacher performance management?

What are the necessary competences of governors and headteachers to develop

and carry out headteacher performance management effectively?

Do we have appropriate experience and expertise available on the governing body

to carry out headteacher performance management in a rigorous and systematic

way? If not, how can this be obtained?

How do we make use of external support, especially the external advisor? Is the

external advisor appropriately experienced and independent to ensure that we are

getting the best advice and support?

Have we got succession planning in place to ensure continuity or evolution of the

process?

How can we best make use of results from self-monitoring?, e.g. governing body

evaluation to identify areas of difficulty and refine, adapt, innovate headteacher

performance management procedures

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What are our training, mentoring and other capacity building needs to use results

effectively?

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Features of effective headteacher performance management

Successful headteacher performance management is characterised by ten features.

Effective headteacher performance management:

1. is integrated with the school development plan and the performance management

of all staff

2. has a secure annual cycle of setting and reviewing objectives, together with

interim monitoring

3. is underpinned by sound relationships, characterised by openness, trust and

integrity, among all those involved

4. involves the setting of meaningful and challenging but achievable objectives for

the headteacher

5. strikes an appropriate balance among internal and external accountability,

development and reward

6. makes use of evidence from a range of sources to inform decision-making

7. is evaluated and adapted over time to meet evolving requirements of individual

circumstances and shifting school needs within a dynamic context of governance

8. is appropriate for the stage of development of the school and the HT 9. is viewed as part of an on-going and wider process of working with the

headteacher and all staff to ensure high levels of performance

10. is integral to the development of overall governing body capacity to meet the

needs of the school.

Effective headteacher performance management is an attribute of highly effective

governance.

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© Institute of Education, University of London 2014

Reference: DFE-RB334

ISBN: 978-1-78105-319-5

The views expressed in this report are the authors’ and do not necessarily reflect those of the

Department for Education.

Any enquiries regarding this publication should be sent to us at:

[email protected] or www.education.gov.uk/contactus

This document is available for download at www.gov.uk/government/publications

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Documents

IAPS heads appraisal guidance Appraisal Guidance.pdf · IAPS heads appraisal guidance August 2016 IAPS Education Committee . IAPS HEADS APPRAISAL GUIDANCE IAPS has been approached