[Cymraeg]

Performance Management of Headteachers:
Frequently Asked Questions

What happens in a case of a school being unable to form a sub-group of 3 (in relation to the appraisal of the Headteacher or appeals) who qualify as eligible Governors?

It depends on what the problem is here. GB's should have at least 6/7 governors who were not excluded by the regulations who could form the sub-group. If the problem is that the GB has a number of vacancies then this would presumably cause them problems in other areas, not just PM. If it is the case that the governors they have are not willing to participate, then it can be expected that steps would be taken locally to encourage involvement.

A local headteacher has asked if he has to draw up a PM policy if the governors ask him. In guidance note 3 it states the governors can 'authorise' and 'direct' the head to write the policy. I've tried to explain the value of the head writing the policy but he wants a clear definition. Does he have to do it if asked?

Yes, the head would have to if asked as the wording of the Regulations actually states that "If directed to do so by the governing body, the headteacher shall formulate a PM policy."

Are there any plans to provide heads with exemplars of objectives for heads and class teachers?

The Welsh Assembly Government have no plans to provide national exemplars of objectives.

Pupil Referral Units - the acting head of a PRU asked who will be responsible for setting and reviewing his targets. There is no governing body. He is managed by senior LEA officers. Is a PRU regarded as a non-standard setting? Staff working in the PRU who are post-threshold want to know who will decide upon their movement from UPS1 to UPS2. Will the head be their teamleader? Will the teaching staff be subject to PM regulations? If not, what about UPS issues for teaching staff in non-standard settings?

Pupil Referral Units are not covered by these regulations and there is nothing in the pay legislation to say that movement on the upper pay spine is dependant on PM appraisal.

Best practice guidance for teachers in non-standard settings is due to issue from the Welsh Assembly Government in the Spring Term 2005.

What happens if a governing body refuses to have anyone trained up? I have had a letter from one governing body stating that no one is willing to take on the extra burden.

It is expected that the LEA will encourage the GB to attend the training as the GB have a statutory duty to establish a PM policy at the school and review the head's performance - it needs to be stressed that it is to their benefit for them to attend. However if they are not willing to attend the training, there is nothing that can be done to force them.

Could you confirm that Nurseries are not part of the PM regulations at the moment.

I confirm that nursery schools are not covered by the PM regulations.

Best practice guidance for teachers in non-standard settings is due to issue from the Welsh Assembly Government in the Spring Term 2005.

For pay purposes performance objectives have been set by the GB for headteachers and deputies. Under PM the headteacher sets the objectives for deputies so who vets objectives and makes recommendation for pay purposes for the deputy head? Pay performance objectives have been set for the headteachers and deputies. Must these now be reviewed by the external adviser? Understand that EAs do not make recommendations for pay but it's the reviewing of the objectives that needs clarification. The NafW needs to make clear statements of the links between PM and pay, particularly for headteachers and deputies.

The main point to bear in mind on performance management and pay links is that they are subject to two different legislative requirements - and that whilst the Assembly is responsible for performance management, teachers pay is not devolved and remains the responsibility of DfES for Wales as well as for England. This means that the whole question of reviewing deputies' performance for pay purposes is a matter for DfES pay guidance to cover - which is issued annually to all schools in Wales. (Doc 78)

Has WAG examples of objectives which would be suitable for Head teachers and deputy head teachers for consistent use in all Wales?

The initial framework did have examples but these were dropped due to Union and Post 16 group objections. WAG do not see it as feasible at this stage to provide objectives because the process of setting objectives is crucial, and in doing so EAs and governors need to address certain criteria.

Can you please confirm that the preliminary meeting with the external advisor and appointed governors is optional.

Regulation 12 of the Schools Appraisal Regulations 2002 states that "before or at the start of the appraisal cycle, all the appraisers, the external advisor and the head teacher must meet to plan and prepare for the appraisal and seek to agree objectives...". Similarly Regulation 15 sets out the requirements for meeting to formally review performance at the end of the appraisal cycle. There is no mention in the Regulations themselves to a pre-meeting although the guidance allows for the EA to offer both the Head and Governors a pre-review meeting. The guidance notes to EAs states that Governors are not obliged to have a preliminary meeting.

Could I have a definition of summary in Regulation 17(2) of the Appraisal Regs.

In the view of the WAG, and this is not a legal interpretation, the Regulation allows for the LEA to request a "summary" of the appraisal statement for the purpose of possible performance and/or disciplinary action under the Schools Standards and Framework Act 1998. The Governing body is not required to submit the entire appraisal statement but the Chairman will need to determine wha constitutes relevant information and summarise the main points addressed in the review if requested to do so by the CEO.

Why would the CEO/LEA want a copy of the headteachers performance review?

The LEA would not automatically receive a copy of a heads appraisal statement but the Regulations allow for a CEO, or any officer specifically designated to be responsible for advising about or taking decisions in relation to the head teachers performance pursuant to paragraph 23 of schedule 16 and paragraph 22 of schedule 17 to the School Standards and Framework Act 1998 (though this was 1988 and still relevant, to request a copy. These paragraphs within the Act specifically cover disciplinary and performance issues.

NUT guidance states 2 objectives to be set for teachers and headteachers. This is not in line with WAG guidance, who state a minimum of 3 maximum 6. The advice for NUT is causing concern to some headteachers who are trying to adopt a positive attitude/policy to PM. What happens to a school who only sets 2 objectives? Are they breaking the law?

The School Teacher Appraisal (Wales) Regulations 2002 do not specifically require a particular number of objectives to be set but for both teachers and heads the Regulations say ... must meet to plan and prepare for the appraisal and to seek to agree objectives which must include objectives relating to: a) school leadership and management (requirement for heads, for teachers this reads developing and improving the school teacher's professional practice); and b) pupil progress. Regulations 12(1) and 26(1) refer. The WAG guidance notes say that the total number of objectives to be agreed will depend on the circumstances of the school but good practice would suggest that there should be a minimum of 3 and a maximum of 6 in any one appraisal cycle. This advice still stands. It is also worth noting that the Regulations allow for the appraisers to set objectives if they cannot be agreed, although it is expected that in the vast majority of cases this would not be necessary as the objectives will be jointly agreed. The Regulations would also appear to allow for objectives to be revised at any time during the appraisal cycle where both parties are in agreement.

Please clarify official exclusions from PM. DfES regs appear to be very different to Wales.

In England, the performance management arrangements for teachers were introduced from September 2000 by virtue of the Education (School Teacher Appraisal) Regulations 2000. The performance management arrangements described there applied to all teachers employed at one or two schools by a local education authority, or by the governing body of a foundation, voluntary aided or foundation special school, for at least one year. The scope of performance management in England was extended by the Education (School Teacher Appraisal) (England) Regulations 2001 which revoked and replaced the previous regulations. These revised regulations extended the coverage of performance management arrangements in England from September 2001 to additionally provide for the appraisal of the performance of unqualified teachers and those employed on fixed term contracts of less than a year, employed at one or more schools, and teachers who are employed by the local education authority in pupil referral units, nursery schools without a management committee or not attached to a particular school.

The regulations in Wales (The School Teacher Appraisal (Wales) Regulations 2002) provide for the appraisal of the performance of school teachers (including unqualified teachers) who are:

• employed at no more than two schools
• employed by a local education authority or by the governing body of a foundation, voluntary aided or foundation special school

except those teachers employed under a fixed term contract of employment the term of which is less than one year.In other words, our regulations match the original English regulations. Best practice guidance for teachers in non-standard settings is due to issue from the Welsh Assembly Government in the Summer.

Can there be a gap between the first year cycle and the second?

Please note the following extract from the regulations, which I think, is self-explanatory:

The School Teacher Appraisal (Wales) Regulations 2002 8. - (1) Subject to the following provisions of this regulation, and to regulation 9, the governing body must determine the timing of the appraisal cycle for the head teacher of the school.

(2) Except as provided for in paragraph (3) and regulation 9(3) the length of an appraisal cycle shall be one year.

(3) In the case of the first appraisal cycle under these Regulations of a head teacher in post on the date on which these Regulations come into force, the governing body may detemine that the length of that appraisal cycle is a period other than one year provided that it ends no earlier than 30th November 2003 and no later than 31st October 2004.

(4) Once begun, appraisal cycles for every head teacher shall be continuous.

(5) The appointment of a new appraiser or external adviser shall not cause a head teacher's appraisal cycle to begin again.

22. - (1) Subject to the following provisions of this regulation, and to regulation 23, the head teacher must determine the timing of the appraisal cycle for every school teacher at the school.

(2) Except as provided for in paragraphs (3) and (4) and regulation 23(3) the length of an appraisal cycle shall be one year.

(3) In the case of the first appraisal cycle under these Regulations of a school teacher in post on the date on which these Regulations come into force, the head teacher may determine that the length of the appraisal cycle shall be a period other than one year provided that it ends no earlier than 30th November 2003 and no later than 31st October 2004.

(4) In the case of the first appraisal cycle under these Regulations of a school teacher not in post on the date which these Regulations come into force, the head teacher may determine that the length of the cycle shall be a period of less than one year.

(5) Once begun, appraisal cycles for every school teacher shall be continuous.

(6) The appointment of a new appraiser shall not cause a school teacher's appraisal cycle to begin again. (Doc 102)

Two schools are being amalgamated and the current head of one of them is taking over in January. He's asked the EA to postpone the visit until he has a governing body in place (he'd like time to get things in order but that's taking things too far - his objectives could include setting things up). I'm also querying the status of the schools with the LEA.

Agree with you. The Regs allow for the objectives to be reviewed in year provided the appraiser (new GB) and head agree. No reason to delay setting objectives - the date is tied in statute.

I have two separate schools with two governing bodies run by the same headteacher. I've allocated the same EA for both schools. What's your advice re. objective setting please? Two meetings, two sets of objectives to include Leadership and Management and Pupil Progress, any room for flexibility of any kind? No problem for us, just an interesting situation.

The Regs don't cover this scenario. As there are two governing bodies and possibly two entirely different schools with different backgrounds etc., it would appear necessary and appropriate to have two sets of objectives which must include leadership and pupil progress. Allocation of the same EA would seem to be a good move as you would ensure continuity in terms of any cross cutting developmental themes.

Head away on sick leave. Rumblings of discontent with his performance (and attendance) from governing body - unaware of any formal discussions about him but am referring to LEA. Teacher promoted in his place (as usual as he has been off long term about 3 times). Advice?

See Reg 9(2) - acting head appraisal cycle to be determined afresh by the GB.

Can Governors decide to put reviews as part of the criteria for redeployment?

Not entirely sure what is meant by "criteria for redeployment" and proposed use of the PM review but nevertheless Regulations 17 and 18 provide for the disclosure, retentions and use of appraisal statements, certain people must receive copies (head and chair of governors - the latter in respect of making decisions on promotion or pay. (Part 2 doc 6)

An appraisal has been carried out with only one governor present. Is this OK or does the appraisal have to be carried out again?

In my opinion I believe that the appraisal has to be repeated this time ensuring that at least 2 governors are present. My reasoning for this is: Regulation 7 (1) says "The governing body of a school must appoint as appraisers of a head teacher two or three governors..." I also know of at least one appraisal that was cancelled as there was only one governor present when the EA arrived.

What performance requirements are there for (Head) teachers employed under a fixed term contract for less than one year?

The question of whether a performance management (appraisal) cycle is needed for a particular teacher is determined by the statutory requirements. The School Teacher Appraisal (Wales) Regulations 2002 provide for the appraisal of the performance of school teachers employed at one or two schools, other than teachers employed under a fixed term contract for less than one year. It may be that some people have looked at those regulations alone and concluded that the exception of teachers employed under a fixed term contract for less than one year does not apply to head teachers. This may be because regulation 3(1), in defining "school teacher" to specify this coverage, does not refer specifically to a head teacher. In our view, however, this is not the case as the wider statutory powers need to be considered. The 2002 Regulations are made under powers contained in sections 49 and 63(3) of the Education (No 2) Act 1986. The power in section 49 of the 1986 Act applies to "teachers", which must include both head teachers and other teachers - so the reference to "teachers" in the definition of "school teacher" includes both. The definition of school teacher does not exclude head teachers, so will include any type of teacher; head teachers are just a certain type of "school teacher". On this basis, the 2002 Regulations do not apply to any teacher employed under a fixed term contract for less than one year, including head teachers. Best practice guidance for "teachers" employed under a fixed term contract for less than 1 year will issue in the Summer.

Should a copy of the appraisal statement be given to all governors?

Section 17 of the Regs advises who may see the appraisal. Basically, the chair of the governing body has a copy and any governors responsible for promotion of school teachers or pay matters may request a copy. The appraisal should not go to all governors.

What is the Performance Management Policy?

The Statutory Requirement
The statutory requirement for GBs to have in place a performance management policy is set out in The School Government (Terms of Reference) (Amendment) (Wales) Regulations 2002. Via Regulation 10 (1) a duty has been placed on the governing body to establish a written policy (the performance management policy) no later than 30 November 2002. The policy must set out how the school teacher appraisal system at the school is to be implemented. The governing body may direct the head teacher to formulate the policy, and once drafted may reject, adopt or modify the policy as they see fit. The Policy must be reviewed annually.

Consultation
Regulation 10 (7) of the above states "before establishing the Performance Management Policy in accordance with (1), or amending in accordance with paragraph (6), the governing body shall secure that all school teachers at the school are consulted". Regulation 10 (8) goes further to say "if directed to do so by the governing body, the head teacher shall consult all other school teachers at the school about the formulation of a PM Policy or the amendment of the PM Policy.

Inspection
The governing body is required to make a copy of the Performance Management Policy available at inspection of the school at any time by:
a) any school teacher employed at the school
b) any person involved in the inspection of the operation of the school teacher appraisal system
c) any appraiser appointed in accordance with the Appraisal Regulations

As you know I cannot provide a definitive legal interpretation of the Regulations but in my opinion there would not appear to be a statutory duty on the GB or school (HT) to consult wider than the immediate school teaching staff both with regard to formulating and implementing the PM policy. I've also looked at the guidance notes and the Appraisal Regulations which also appear to back this view.