1. Performance management guidance1 1

2. Performance management Part D: appraisees
An introduction to the revised performance management regulations January 2011 and the role of the appraisee
(to be implemented by 1 January 2013)

3. Objectives of the session
Understand the requirements of the revised regulations and how to implement them effectively.
Review the role of performance management in raising standards in your school.
Review how performance management is embedded in the broad context of the school’s improvement processes.
Review the operation of the performance management process, including the roles and responsibilities of those involved.
Understand the role of the appraisee.
Notes
Part D provides a training/briefing session for appraisees.
The session is not intended to be a comprehensive training programme and should be used in conjunction with Part A.
Appraisees may need additional development training on aspects such as:
– developing a secure understanding of analysis of school performance data
– developing an understanding of the revised professional standards for education practitioners in Wales – Practising Teacher Standards and/or Leadership Standards – and their application to the role of the teacher or headteacher.
For this session, the school will need copies of the existing performance management policy and documentation for participants to review.
Audience
Part D can be used with all appraisees in the teachers’ performance management process, including governors, headteachers, teachers and local authority nominees.
Purpose
To facilitate:
an understanding of the role of the appraisee
a shared understanding of roles and responsibilities.
Organisation
Part D of the pack has been designed to be used with:
school staff
a governing body
a cluster of schools.
It can be facilitated by the headteacher or a member of the school’s senior leadership team.
Support materials
The school’s current performance management policy and documentation.
References
Welsh Government guidance
Performance management for headteachers (2012)
Performance management for teachers (2012)
Revised professional standards for educational practitioners in Wales (2011)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011 3

4. Recap and overview of the revised performance management requirements

5. Revised requirements Timescale
Revised regulations introduced January 2012.
Move to the revised arrangements by 31 December 2012.
Revisions
Performance management is explicitly linked to:
– professional standards and practice
– whole-school and national priorities
– learner performance data
– pay progression.
Practitioners maintain a practice, review and development (PRD) record.
Greater local authority involvement in the school’s performance management process.
Estyn has access to the headteacher’s performance objectives.
Performance management documents should be kept for a minimum of three years.
Notes
This slide summarises the key revisions to performance management regulations.
References
Welsh Government guidance
Performance management for headteachers (2012)
Performance management for teachers (2012)
Model performance management policy for schools template (2012)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011 5

6. Purpose of performance management
‘Performance management helps schools to improve by supporting and improving the work of head teachers as individuals and leaders of school teams. It sets a framework for teachers and leaders to agree and review priorities and objectives in the context of the school’s improvement plan. It focuses attention on making teaching and leadership more effective to benefit pupils, teachers, and schools.’
Performance management for headteachers
(Welsh Government, 2012)
Notes
References
Welsh Government guidance
Performance management for headteachers (2012) (page 1)
Performance management for teachers (2012) (page 1) 6

7. Role of performance management in the school improvement process
Performance management supports:
schools to improve by supporting and improving the work of practitioners as individuals and in teams
teachers to meet the needs of learners and raise standards.
Performance management demonstrates the
school’s commitment to:
develop all practitioners effectively
ensure job satisfaction
high levels of expertise
the progression of practitioners in their chosen profession.
Notes
Performance management should be integral to the school’s improvement process.
Effective performance management is embedded in the monitoring and review processes of the school. 7

8. The appraisal cycle

9. The appraisal cycle
The headteacher will determine the timing of the appraisal cycle for every teacher.
The governing body must determine the appraisal cycle for the headteacher.
The length of the appraisal cycle will normally be one year.
Notes
Cycle begins after 1 September and before 31 December for headteachers.
For teachers, the cycle must start no earlier than 1 January and no later than 31 December.
The appointment of a new appraiser will not cause the teacher’s appraisal cycle to begin again.
Once begun, appraisal cycles are continuous.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 6)
Performance management for teachers (2012) (page 5) 9

10. The appraisal cycle
Reviewing Planning Self-reflection Appraiser Self-analysis Review meeting and Strategic analysis Appraisal statement appraisee Setting objectives Agreeing continuous professional development (CPD) Monitoring Informal in-year reviews Teaching observation Other agreed sources of evidence appropriate to the teacher’s role
Notes
References
Welsh Government guidance
Performance management for headteachers (2012) (page 7)
Performance management for teachers (2012) (page 6)

11. Roles and responsibilities of the appraisee

12. Roles and responsibilities in the performance management process
Key partners
Governing body/relevant body.
Headteacher.
Appraiser(s).
Appraisee(s).
local authority.
Welsh Government.

13. Role of the appraisee
Discuss, plan and set objectives with their appraiser(s).
Participate in monitoring and review arrangements.
Discuss and identify professional development needs.
Notes
References
Welsh Government guidance
Performance management for headteachers (2012) (page 8)
Performance management for teachers (2012) (page 7)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Part 2, Regulation 12–15, pages 12–16)
(Part 3, Regulation 26–29, pages 19–22) 13

14. Responsibilities of the appraisee
Appraisees must:
discuss setting of objectives with the appraiser, within the context of the school, the job description and the appropriate professional standards
inform the process by identifying and providing relevant data and evidence of performance
participate in monitoring arrangements
maintain an up-to-date practice, review and development (PRD) record
contribute to the annual review against objectives and overall performance
discuss and identify professional development needs to support professional practice.
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role of the appraisee and how the appraisee carries out their responsibilities.
While the process used may vary, all appraisees must share the responsibility for their own appraisal and take an active role.
The appraisee’s job description is an essential document in the performance management process.
The current School Teachers’ Pay and Conditions Document should also be considered.
Appraisees should be familiar with the appropriate professional standards.
Reference
Welsh Government guidance
Performance management for headteachers (2012) (pages 15 and 20)
Performance management for teachers (2012) (pages 13 and 17)
Revised professional standards for educational practitioners in Wales (2011)
Statutory Instrument
The School Teacher Appraisal (Wales) Regulations 2011 14

15. Knowledge and understanding
Appraisees need a secure understanding of:
the context of the school
school performance data including the All Wales Core Data Set
the school’s improvement priorities
local authority and national improvement priorities
learner level data and information on the teaching groups for which they have responsibility
the revised professional standards for education practitioners in Wales
the performance management procedures.
Notes
Reference
Welsh Government guidance
Revised professional standards for educational practitioners in Wales (2011) 15

16. Reviewing performance

17. The annual appraisal review meeting
A formal opportunity to:
recognise achievements and celebrate successes
discuss areas for improvement and further professional development
and if desired:
agree future priorities, including objectives for the following performance management cycle.
Notes
The review meeting is a statutory meeting and should take place on an annual basis.
The date on which the appraisal review is to be held will be determined by the appraiser.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 13 and 14)
Performance management for teachers (2012) (pages 12 and 13) 17

18. The performance review
The appraiser(s) and the appraisee must hold an annual appraisal review with the object of:
– assessing the extent to which the appraisee has met the objectives for the cycle
– determining whether there has been successful overall performance in confirming that the appraisee continues to meet the professional standards for teachers
– identifying the need for additional support, training and development.
The appraisee’s practice, review and development (PRD) record should be taken into account when reviewing performance.
Notes
The appraiser(s) and the appraisee must hold an annual appraisal review. It is a statutory duty of the governing body.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 13 and 14)
Performance management for teachers (2012) (pages 12 and 13)
Statutory Instrument
The School Teacher Appraisal (Wales) Regulations 2011 18

19. Planning for the annual review of performance
Allocate adequate time for the review.
The appraisee must be informed in writing of the date of the review meeting at least 10 school days in advance.
The practice, review and development (PRD) record should be submitted to the appraiser(s) at least five days in advance of the review meeting.
Notes
It is important that adequate time should be allocated to the review meeting.
Prior to the review meeting, the appraisee may wish to consider the areas for discussion in relation to the current cycle and in preparation for the next cycle.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 13 and 14)
Performance management for teachers (2012) (pages 12 and 13)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Paragraph 15 (2)(3), page 14) 19

20. Preparing for the annual review of performance
Determine how records will be kept and the appraisal statement written.
Identify data and appropriate evidence to be used in keeping with the regulations.
Decide how the objectives from the previous cycle are taken into account.
The appraisee should undertake self-reflection prior to the meeting.
Agree monitoring and review arrangements, including observation of teaching.
Notes
A performance review will be more valuable and effective if the appraisee has reflected in advance on the work of the year, on strengths and achievements, and on areas for development.
The practice, review and development (PRD) record should be used as a reference document.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 14)
Performance management for teachers (2012) (page 13)
Practice, review and development record
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(For objectives, refer to 12, 1a, b, c, d, e, f, page 12)
(For monitoring, refer to Paragraph 14, page 13)
(For review, refer Paragraph 15, page 14) 20

21. Appraisee’s self-reflection
The appraisee should consider performance against:
their own assessment of performance against the objectives
evidence of performance in the cycle
the benefits of any professional development undertaken
any in-year reviews that have taken place
any factors that affected performance
possible objectives for the next cycle.
Notes
A performance review will be more valuable and effective if the appraisee has reflected in advance on the work of the year, on strengths and achievements, and on areas for development.
The appraisee should also refer to the practice, review and development (PRD) record.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 13 and 14)
Performance management for teachers (2012) (pages 12 and 13)
Practice, review and development record 21

22. Documentation to be considered
Any relevant school performance data and information.
School improvement plan/area improvement plan.
The school/area self-evaluation record.
Post-Estyn inspection plan.
The revised professional standards for education practitioners in Wales.
Any other relevant materials, including those from local authority reviews and the regional categorisation matrix.
Notes
The majority of the documents used will be readily available in school.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 13)
Performance management for teachers (2012) (page 12)
Revised professional standards for educational practitioners in Wales (2011)
Practice, review and development record 22

23. The appraisal statement
Written statement must be provided by the appraiser(s) within 10 school days.
Training and development needs must be provided in an annex.
Appraisee may add comments to the statement within 10 days – these will form part of the statement.
The appraisal statement is personal and confidential.
A copy of the appraisal statement will be given to the appropriate personnel.
Notes
Within 10 days of each appraisal review, the appraiser must provide the headteacher/teacher with a written statement recording the main points made by the appraiser and the headteacher/teacher at the review and the conclusions reached.
The statement can be brief while giving a sound basis for future review and the planning of the next cycle.
There must be recorded in an annex to the statement (which will form part of the statement) the training and developmental needs and ways of meeting such needs identified in the review.
Appraisers should seek to agree the wording of the final statement with the headteacher/teacher within the 10-day period.
The headteacher/teacher may, within 10 school days of receiving a copy of the final appraisal statement, add to it comments in writing, and these comments will form part of the statement.
The individual plan and the appraisal statement are personal and confidential documents and should be kept in a secure place.
The provisions of the Data Protection Act 1998 must be followed at all times by those who have access to the documents.
Reference
Welsh Government guidance
Performance management for headteachers (2012) (page 15)
Performance management for teachers (2012) (pages 13 and 14) 23

24. Setting objectives

25. Setting the objectives
Three objectives will normally be sufficient.
The appraisee’s objectives should:
– contribute to improving the progress of learners at the school
– take account of relevant evidence including school performance information
– be focused on key expectations and developmental priorities on which evidence-based judgements can be made
– be recorded in the statement of objectives.
Notes
Setting objectives is a key part of the performance management process.
Objectives that are challenging yet achievable, and aligned to the needs of the school and the appraisee, will contribute to raising learner achievement and attainment.
There is a clear requirement that performance management sits within the context of school self-evaluation and school improvement. This will ensure an integrated cycle.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 8 and 9)
Performance management for teachers (2012) (pages 7 and 8)
Model performance management policy for schools template (2012) 25

26. Objectives need to be:
clear – offering no possibility of ambiguity or confusion about the intended outcome
concise – using as few words as possible to convey the intention
measurable – expressed in such a way that criteria can be agreed which will demonstrate whether or not the objective has been achieved
challenging – sufficiently challenging, taking into account the circumstances of the school, to bring about significant improvement
developmental – supporting the improvement of the school and the appraisee.
Notes
Objectives should be agreed between appraiser and appraisee before or at the start of the cycle.
The following slide outlines the areas to which the objectives must relate.
Where the headteacher spends a significant amount of their role teaching, specific reference should be included within their objectives or their teaching responsibilities.
Where a headteacher has an objective or objectives relating to teaching, then monitoring procedures for that objective will mirror those for teachers, including teaching observation carried out by a person holding qualified teacher status (QTS).
In exceptional circumstances, objectives may be revised by the appraiser(s) at any time during the appraisal cycle.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 9 and 10)
Performance management for teachers (2012) (pages 7 and 8)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Paragraph 13, page 13)

27. Identifying professional development needs
Professional development should:
support the appraisee in enhancing skills and knowledge
support agreed objectives
develop strengths
address areas for personal development or professional growth
identify opportunities to share good practice.
Notes
Professional development is a key element of the performance management process and may include a range of activities, including shadowing, taking on new roles, focused learning visits, undertaking a course of professional study, etc.
Individual plans and appraisal statements are personal and confidential documents.
Throughout the course of the appraisal cycle the appraisee must keep an up-to-date record of:
– their own assessment of performance against the objectives recorded on the statement of objectives
– particulars of any professional development activities undertaken or other support provided and how this is contributing to achievement of the objectives
– particulars of any factors which the appraisee considers are affecting performance against recorded objectives.
The practice, review and development (PRD) record provides the means of keeping the above records.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 10)
Performance management for teachers (2012) (page 9)
Practice, review and development (PRD) record 27

28. Monitoring performance

29. Monitoring performance
Monitoring procedures should:
– be discussed and agreed at the planning meetings
– include a variety of methods.
Progress should be monitored throughout the year.
Sufficient appropriate evidence should be gathered to ensure secure judgements.
The appraisee must keep an up-to-date practice, review and development (PRD) record.
Notes
Throughout the course of the appraisal cycle, the headteacher/teacher must keep an up-to-date record of:
– their own assessment of performance against the objectives recorded on the statement of objectives
– particulars of any professional development activities undertaken or other support provided and how this is contributing to achievement of the objectives
– particulars of any factors which the headteacher/teacher considers are affecting performance against recorded objectives.
The practice, review and development (PRD) record is the means by which the above records are kept.
The headteacher/teacher should discuss and agree:
– procedures with the appraiser(s) for monitoring performance against objectives at the planning stage
– any supportive action needed
– the requirement to keep an up-to-date practice, review and development (PRD) record.
Monitoring procedures should include a variety of methods including information from:
– the appraisee’s practice, review and development (PRD) record
– the school improvement/area improvement plan
– school performance information.
It is important that sufficient appropriate evidence is gathered to ensure secure judgements are made.
Progress should be kept under review throughout the year ensuring an active and collaborative review of progress. This could be done through in-year discussions as a means of keeping progress under review.
If procedures cannot be jointly agreed the appraisers have the final decision and will set and record, in writing, the procedures to be used.
The headteacher/teacher should be allowed to add comments in writing.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 11)
Performance management for teachers (2012) (page 9)
Practice, review and development (PRD) record 29

30. Monitoring progress
There may be a variety of monitoring methods used to gather sufficient appropriate evidence in order to ensure secure judgements are made. The evidence can be gathered from various sources including:
in-year meetings between the appraiser(s) and the appraisee
the appraisee’s practice, review and development (PRD) record
school improvement plan/area improvement plan
school performance data and information
the school’s ongoing self-evaluation process
teaching observation (where appropriate).
Notes
Monitoring procedures should be agreed at the planning meeting.
Monitoring procedures should include a variety of methods including information as outlined above.
It is important that sufficient, appropriate evidence is gathered to ensure secure judgements are made.
Progress should be kept under review.
Headteachers/teachers should be supported in their professional development.
Appropriate records should be kept.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 11)
Performance management for teachers (2012) (pages 9 and 10)
Practice, review and development (PRD) record 30

31. Teaching observations
Nature, purpose and focus agreed between the appraiser and the appraisee prior to observation.
Observation for the purpose of performance management must only be carried out by persons holding qualified teacher status (QTS).
Observations should take place during lessons and activities that have been planned in advance.
At least five school days’ notice is required.
Minimum of one observation per year for performance management.
Feedback should be given as soon as is possible (usually within five school days).
Outcomes of observation, including feedback, should be recorded – appraisee should be given opportunity to add comments.
Notes
In some circumstances, it may be possible for another person with qualified teacher status (QTS) to undertake the observation and report to the appraiser. This should be discussed in advance with the teacher.
The nature and purpose of the observation should be determined at the planning meeting.
Feedback within five school days.
Successful observation requires preparation and training and a clear understanding by the headteacher and the observer of its purpose.
Full, constructive and timely feedback, that is developmental and offers the opportunity to discuss what went well and what might have been done differently, should be given as soon as possible, usually within five school days.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 11 and 12)
Performance management for teachers (2012) (pages 10 and 11)
Model performance management policy for schools template (2012) 31

32. Reflection and discussion – self-evaluation
In what way does the appraisee:
discuss setting of objectives with his/her appraiser(s) within the context of the school, the job description and the appropriate professional standards?
inform the process by identifying and providing relevant data and evidence?
participate in monitoring arrangements and maintain an up-to-date practice, review and development (PRD) record?
contribute to the annual review against objectives and overall performance?
discuss and identify professional development needs to support professional practice?
B. How is performance management embedded in the improvement processes of the school?
C. Are there any aspects that could be improved?
(Use prompt sheet 4 to facilitate discussion.)
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role of the appraisee and the performance management process in the school’s improvement process.
While the process used may vary, all appraisees must share the responsibility for their own appraisal and take an active role.
The appraisee’s job description is an essential document in the performance management process.
The current School Teachers’ Pay and Conditions Document should also be considered.
Organisation
Participants should discuss the points on the slide using prompt sheet 4 to facilitate the discussion.
It should be noted that ‘don’t know’ is a valid response which can be considered as a need for communication and/or clarity on aspects for improvement.
A plenary session should draw together the discussion and make a note of the aspects for improvement.
Support materials
Handout for discussion – prompt sheet 4.
The school’s performance management policy.
References
Welsh Government guidance
Performance management for headteachers (2012)
Performance management for teachers (2012)
Model performance management policy for schools template (2012)
Practice, review and development (PRD) record 32

33. Role of the appraiser Agree and record objectives with the appraisee.
Monitor and review performance throughout the cycle.
Discuss and identify professional development needs.
Arrange the appraisee review.
Prepare the annual appraisal statement.
Make a written recommendation where the appraisee is eligible for pay progression in line with the School Teachers’ Pay and Conditions Document, where appropriate.
Notes
The points on this slide refer to all appraisers whether for teachers or headteachers.
Appraisers should have the appropriate skills, understanding and competencies to undertake the role.
All appraisers should have developmental training before undertaking the role. Part C can facilitate that training.
The pay and conditions of teachers, including threshold arrangement, are not devolved to the Welsh Government and remain the responsibility of the Department for Education (DfE) in England. The requirements are set out in the current School Teachers’ Pay and Conditions Document.
References
Welsh Government guidance
Performance management for headteachers (2012)
Performance management for teachers (2012)
Other guidance
School Teachers’ Pay and Conditions Document
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Part 2, Regulation 7, 12–17)
(Part 3, Regulation 26–31) 33

34. The performance management process
Best practice in performance management is characterised by:
a commitment to the attainment and welfare of learners
an appreciation of the crucial role that teachers play
a commitment to the performance and welfare of staff
an atmosphere of trust between the teacher and their appraiser, which allows for rigorous evaluation of strengths and identification of areas for development
an encouragement to share good practice
the integration of performance management into the overall approach to leading and managing the school.
Notes
Best practice in performance management involves:
– both appraisers and appraisees working together to ensure objectives are discussed and agreed
– feedback being effective, constructive and timely
– providing the appraisee with access to coaching, training and development
– formal annual reviews.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 7)
Performance management for teachers (2012) (page 6)
Model performance management policy for schools template (2012) 34

35. And finally . . . ‘Performance management focuses attention on
making teaching and leadership more effective
to benefit pupils, teachers and schools.’
Performance management for teachers
(Welsh Government, 2012) 35