1. Performance management guidance1

2. Performance management Part A: overview
An introduction to the revised
performance management regulations
January 2011
(to be implemented by 1 January 2013) 2

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.
Notes
Part A provides an overview of the revised performance management regulations.
Refer to the published guidance notes.
For this session, the school will need copies of the existing performance management policy and documentation for participants to review.
It is also helpful for the school’s vision/mission statement to be available for reference.
Audience
Part A can be used with all stakeholders in the teachers’ performance management process, including governors, headteachers, teachers and local authorities nominees.
Purpose
To facilitate:
an understanding of the revised requirements of the performance management regulations
a shared understanding of roles and responsibilities
the review of a school’s existing performance management policy
any required amendments to the performance management policy and procedures.
Organisation
Part A of the pack has been designed to be used with:
a school staff compliment
a governing body
a cluster of schools.
It can be facilitated by the headteacher or a member of the school’s senior leadership team.
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 3

4. Revised requirements Timescale Revisions
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 and school 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 4

5. 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) 5

6. 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 into the monitoring and review processes of the school. 6

7. 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)

8. Roles and responsibilities
Notes
This section outlines the roles and responsibilities of key partners in the performance management process including:
governing body
headteacher
appraiser(s)
appraisee(s)
local authority
Welsh Government.
It is good practice for all involved in the process to have clarity on all the roles and responsibilities. 8

9. Roles and responsibilities in the performance management process
Key partners
Governing body/relevant body.
Headteacher.
Appraiser(s).
Appraisee.
Local authority.
Welsh Government.
Notes
The local authority has greater involvement in the school’s performance management policy and procedures.
In addition to the continuing monitoring role, the local authority must now:
– agree the school’s performance management policy with the governing body and headteacher
– nominate one or two appraiser(s) to be full members of the appraisal panel for the headteacher’s performance management. 9

10. Governing body/relevant body responsibilities
The governing body/relevant body must:
review and agree the performance management policy annually
monitor the effectiveness and impact of the performance management process
review the headteacher’s performance management through an appraisal panel
implement any appeals process
keep a copy of the headteacher’s statements for at least three years
send a copy of the headteacher’s statement to the Chief Education Officer (CEO).
Notes
The full governing body must review and agree the performance management policy annually.
A sub-committee may monitor the effectiveness and impact of the performance management policy and report to the full governing body.
The governing body must nominate a minimum of two appraisers for the headteacher’s appraisal panel.
The headteacher’s appraisal statement should be kept in a secure place and retained for at least three years.
References
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011 (Part 1 Regulation 4)
(Part 1 Regulation 5)
(Part 2 Regulation 7)
(Part 2 Regulation 10)
(Part 3 Regulation 24)
Appeals process
Welsh Government guidance
Performance management for headteachers (2012) (page 16)
Performance management for teachers (2012) (pages 15 and 16)
School Teacher Appraisal (Wales) Regulations 2011
(Part 2 section 16 regulations 2011)
(Part 3 section 30 regulations 2011) 10

11. Reflection and discussion – self-evaluation
A. In what way does the governing body:
review and agree the performance management policy?
monitor the effectiveness and impact of the performance management process?
review the headteacher’s performance management through an appraisal panel?
implement any appeals process?
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 1 to facilitate discussion.)
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role of the governing body and how the governing body carries out its responsibilities.
While the process used by governing bodies may vary, all governing bodies must carry out all points under ‘A’ as part of the annual review of the performance management policy.
Organisation
Participants should discuss the points on the slide using prompt sheet 1 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 1.
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) 11

12. Headteacher responsibilities within the performance management process
Headteachers must:
review and agree the performance management policy with the governing body and the local authority
determine the timing of the school’s appraisal cycle
appoint an appraiser for every teacher in the school and ensure appraisers carry out their responsibilities
ensure that there is monitoring of teaching and developmental feedback
ensure that teachers have individual plans and targeted professional development that support whole-school improvement
report annually on the operation and effectiveness of the school’s performance management procedures to the governing body, including training and development needs of teachers and the headteacher
keep a copy of all appraisal statements for at least three years.
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the responsibilities of the headteacher and how the headteacher carries out those responsibilities.
Be aware that the role of the headteacher is laid out in the School Teachers’ Pay and Conditions Document.
The performance management policy must be reviewed and agreed by the governing body annually.
The timing of the school’s appraisal cycle should be integral to the school’s improvement planning process.
Copies of all appraisal statements should be kept in a secure place and in line with data protection.
Reference
Guidance
School Teachers’ Pay and Conditions Document 2011 (Department for Education, 2011)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011 12

13. Reflection and discussion – self-evaluation
A. In what ways does the headteacher:
review and agree the performance management policy with the governing body and the local authority?
determine the timing of the school’s appraisal cycle?
appoint an appraiser for every teacher in the school and ensure the appraisers carry out their responsibilities?
ensure that there is monitoring of teaching and developmental feedback?
ensure that teachers have individual plans and targeted professional development that support whole-school improvement?
report annually the effectiveness of the school’s performance management procedures to the governing body?
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 2 to facilitate discussion.)
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role of the headteacher and how the headteacher carries out their responsibilities.
While the process used may vary, all headteachers must carry out all points under ‘A’ annually.
Organisation
Participants should discuss the points on the slide using prompt sheet 2 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 2.
The school’s performance management policy and documentation.
References
Welsh Government guidance
Performance management for headteachers (2012)
Performance management for teachers (2012)
Model performance management policy for schools template (2012) 13

14. Role of the appraiser(s) (teacher, headteacher, governor, local authority nominee)
Appraisers must:
agree and record objectives with the appraisee
monitor and review the performance of the appraisee throughout the cycle
discuss and identify the professional development needs of the appraisee
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 understanding, skills and competencies to undertake the role.
All appraisers should have developmental training before undertaking the role. Part C can facilitate that training.
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
(Part 2 Regulation 7, 12 to 17)
(Part 3 Regulation 26 to 31) 14

15. Responsibilities of the appraiser(s)
Appraiser(s) carry out their responsibilities by:
planning the appraisal cycle with the appraisee:
setting the objectives taking account of the performance review of the previous cycle
discussing and identifying professional development needs
keeping progress under review and monitoring performance against objectives regularly throughout the performance management cycle (formative review)
conducting an annual review of performance with the appraisee (summative review including judgements)
taking appropriate action and facilitating support when there is underperformance
arranging for the full appraisal statement and annex to the appraisal statement to be made available to the required personnel.
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role of appraisers and how appraisers carry out their responsibilities.
All appraisers should have developmental training before undertaking the role. Part C can facilitate that training.
It is the responsibility of the appraiser to ensure that they access training and for the headteacher to facilitate the training.
All appraisers should have a secure understanding of:
– the performance management policy and procedures
– the appraisee’s work including their job description
– relevant learner and school performance information
– the school’s improvement priorities and school self-evaluation outcomes
– local, regional and national improvement priorities
– the appropriate professional standards for education practitioners in Wales – Practising Teacher Standards and/or Leadership Standards
– how, where necessary, to provide suitable support throughout the annual cycle.
The planned appraisal cycle should follow the timing set out in the school’s performance management policy and procedures and should be done with and not to the appraisee.
The professional standards should provide a backdrop to discussions to help teachers identify strengths and areas for further development. The standards should inform the setting of objectives.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 15 and 20)
Performance management for teachers (2012) (pages 13, 17 and 18)
Revised professional standards for educational practitioners in Wales (2011) 15

16. Reflection and discussion – self-evaluation
A. In what ways do appraiser(s):
plan the appraisal cycle with the appraisee?
set the objectives taking account of the performance review of the previous cycle?
discuss and identify professional development needs?
keep progress under review and monitor performance against objectives regularly throughout the performance management cycle (formative review)?
take appropriate action and facilitate support when there is underperformance?
conduct an annual review of performance with the appraisee (summative review including judgements)?
arrange for the appraisal statement to be made available to the required personnel?
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role of the appraisers and how appraisers carry out their responsibilities.
While the process used may vary, all appraisers must carry out all points under ‘A’ annually.
Organisation
Participants should discuss the points on the slide using prompt sheet 3 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 3.
The school’s objective statement template.
The school's performance management monitoring record and documents.
The school’s appraisal statement template.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 15 and 20)
Performance management for teachers (2012) (pages 13, 17 and 18)
Model performance management policy for schools template (2012)
Revised professional standards for educational practitioners in Wales (2011)
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 3 to facilitate discussion.) 16

17. Role of the appraisee (teacher and headteacher)
Appraisees must:
discuss, plan and set objectives with their appraiser(s)
participate in monitoring arrangements and review arrangements
discuss and identify professional development needs to support professional practice.
Notes
References
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Part 2 Regulation 12–5, pages 12 to 16)
(Part 3 Regulation 26–29, pages 19 to 22) 17

18. Responsibilities of the appraisee (teacher and headteacher)
Appraisees must:
discuss setting of objectives with the 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 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 his/her 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.
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 15 and 20)
Performance management for teachers (2012) (pages 13, 17 and 18)
Revised professional standards for educational practitioners in Wales (2011) 18

19. Reflection and discussion – self-evaluation
A. In what ways do the appraisees:
discuss setting of objectives with their 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?
participate in monitoring arrangements and maintain an up-to-date practice, review and development 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 how the appraisee carries out his/her 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.
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 appraisee’s practice, review and development (PRD) record.
The PRD record provides evidence of how the objectives are met and includes a record, as required by the regulations, of:
the teacher’s own assessment of performance against the objectives agreed
details of any professional development activities undertaken or support provided and how this is contributing to achievement of the objectives
any factors the teacher considers to be affecting performance against the objectives.
References
Welsh Government guidance
Practice, review and development (PRD) record 19

20. The local authority The local authority must:
approve the school’s performance management policy
nominate one or two local authority appraisers to serve as appraisers on the headteacher’s appraisal panel
consult with the headteacher on the local authority nominee(s)
provide nominees for the appeals process
receive, and keep for three years, the headteacher’s signed and dated appraisal statement
ensure appraisal procedures are in place for unattached teachers.
Notes
The revised regulations place a duty on the local authority to have a more active role in the performance management process for headteachers and teachers.
The local authority nominee(s) on the headteacher’s appraisal panel are full members of the panel.
The definition of ‘unattached teacher’ can be found in the School Teacher Appraisal (Wales) Regulations 2011 (Part 1, paragraph 3, pages 8/9).
References
Welsh Government guidance
Performance management for headteachers (2012) (pages 15 and 20)
Performance management for teachers (2012) (pages 13, 17 and 18)
Performance management for unattached teachers (2012)
Statutory Instrument
School Teacher Appraisal (Wales) Regulations 2011
(Part 1 Regulation 5, page 10)
(Part 2 Headteachers Regulations 7.4 (appointment of appraisers) (pages10/11))
(Part 4 Unattached Teachers Regulations (36–37)) 20

21. Reviewing the performance management process

22. The performance management policy
‘The policy should set a framework for all staff to agree and review priorities and objectives within the context of the school’s development plan and their own development needs. It will assist in the aim to develop all staff, and to help, where appropriate, to raise standards of achievement for pupils.’
Performance management for teachers
(Welsh Government, 2012)
Notes
An effective performance management policy will:
support the vision of the school
set out the process to be followed
identify roles and responsibilities
outline how the performance management arrangements contribute to the school improvement process
assist in the professional development of all staff
contribute to the raising of standards of attainment and well-being for all learners. 22

23. The performance management policy
The performance management policy needs to be clear about:
implementation
procedures
expectations
priorities
monitoring and assessment
review.
Notes
Support materials
Draft performance management policy.
The school’s performance management policy.
References
Welsh Government guidance
Performance management for headteachers (2012) (page 3)
Performance management for teachers (2012) (page 3)
Model performance management policy for schools template (2012) 23

24. Key elements of a performance management policy
Introduction: what the policy aims to achieve.
Roles and responsibilities.
Timetable for reviews.
The performance management cycle.
The appeals procedure.
Confidentiality.
Access to outcomes.
Notes
See the model performance management policy produced by the Welsh Government.

25. 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 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 on ensuring objectives are discussed and agreed
feedback being effective, constructive and timely
providing the appraisees with access to mentoring, 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) 25

26. Reflection and discussion – self-evaluation
A. In what ways does the performance management process:
support the vision of the school?
contribute to improving the attainment and welfare of learners?
assist in the professional development of all staff?
establish an atmosphere of trust between the appraiser and the appraisee, which allows for rigorous evaluation of strengths and identification of areas for development?
encourage the sharing of good practice?
underpin the overall approach to leading and managing the school?
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 5 to facilitate discussion.)
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role the performance management process has in improving outcomes for learners and the practice of teachers.
Organisation
Participants should discuss the points on the slide using prompt sheet 5 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 5.
The school’s performance management policy.
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)
Revised professional standards for educational practitioners in Wales (2011)
Other guidance
School Teachers’ Pay and Conditions Document 2011
(the role of a headteacher – part 9)
(the role of a teacher – part 10) 26

27. Reflection and discussion – self-evaluation
A. In what ways do the performance management policy and procedures:
integrate the performance management process into the overall approach to leading and managing the school?
provide clarity on:
– the operation of the process?
– the roles, responsibilities and expectations of the policy?
– the evaluation of the effectiveness of the policy?
engender an atmosphere of professional respect and trust?
encourage the dissemination of good practice?
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 5 to facilitate discussion.)
Notes
All partners in the process – teachers, headteachers and governors – should be aware of the role the performance management policy has in improving outcomes for learners and the practice of teachers.
Organisation
Participants should discuss the points on the slide using prompt sheet 6 to facilitate the discussion.
It should be noted that ‘don’t know’ is a valid response which can be considered as 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 6.
The school’s performance management policy.
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)
Revised professional standards for educational practitioners in Wales (2011)
Other guidance
School Teachers’ Pay and Conditions Document 2011
(the role of a headteacher – part 9)
(the role of a teacher – part 10) 27

28. 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) 28