M S S C MOULTON SCHOOL AND SCIENCE COLLEGE APPRAISAL AND CAPABILITY POLICY
CONTENTS 1. Appraisal Policy 2. Annex 1: Classroom Observation and Drop-In Protocol 3. Annex 2: Guidelines on Conducting the Appraisal Process 4. Annex 3: Career Stage Expectations 5. Capability Policy 6. Annex 4: Informal Intervention documentation 1
MOULTON SCHOOL & SCIENCE COLLEGE APPRAISAL POLICY The Governing Body of Moulton School & Science College adopted this policy on DATE following consultation with the recognised teaching unions. It will review it in one year. 1. PURPOSE 1.1 This procedure sets out how Moulton School & Science College will improve outcomes for students, and raise the morale of teachers, by motivating teachers to update their skills and improve their performance. 1.2 The appraisal procedure will be used also to address any concerns that are raised about a teacher s performance. If concerns are such that they cannot be resolved through the appraisal process, there will be consideration of whether to commence the capability procedure. 2. APPLICATION OF THE APPRAISAL POLICY 2.1 This policy applies to the head teacher and to all qualified teachers employed at the school except those on contracts of less than one term and those undergoing induction (ie NQTs) or teachers on capability procedures. 2.2 Appraisal in this school will be a supportive and developmental process designed to ensure that all teachers have the skills and support they need to carry out their role effectively. It will help to ensure that teachers are able to continue to improve their professional practice and to develop as teachers. 3. THE APPRAISAL PERIOD 3.1 The appraisal period will run for twelve months normally from September to August. 3.2 Teachers who are employed on a fixed term contract of less than one year will have their performance managed in accordance with the principles underpinning this policy. The length of the period will be determined by the duration of their contract. 3.3 Where a teacher starts their employment at the school part-way through a cycle, the head teacher or, in the case where the employee is the head teacher, the governing body shall determine the length of the first cycle for that teacher, with a view to bringing his/her cycle into line with the cycle for other teachers as soon as possible. 3.4 Where a teacher transfers to a new post within the school part-way through a cycle, the head teacher or, in the case where the employee is the head teacher, the governing body shall determine whether the cycle shall begin again and whether to change the appraiser. 4. APPOINTING APPRAISERS 4.1 All appraisers of teachers, other than those appraising head teachers, will be teachers and will be suitably trained. 2
4.2 Head Teacher 4.2.1 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. 4.2.2 The task of appraising the head teacher, including the setting of objectives, will be delegated to a sub-group consisting of normally three members of the Governing Body. 4.2.3 Where a head teacher is of the opinion that any of the governors appointed by the governing body is unsuitable to act as his/her appraiser, s/he may submit a written request for that governor to be replaced, stating the reasons for the request. 4.3 Teachers 4.3.1 The choice of appraiser is for the head teacher. Where teachers have an objection to the head teacher s choice, their concerns will be carefully considered and, where possible, an alternative appraiser will be offered. 4.3.2 All appraisers appointed by the head teacher will be qualified teachers and will have current or recent teaching experience. 4.3.3 Where it becomes apparent that the appraiser appointed by the head teacher will be absent for the majority of the appraisal cycle, the head teacher may perform those duties herself/himself or delegate those duties to another teacher for the duration of that absence. 4.3.4 If the head teacher appoints an appraiser who is not the teacher s line manager, the appraiser to whom she/he delegates those duties will have an appropriate position in the staffing structure, together with the necessary background knowledge, skills and training to undertake the role. 4.3.5 Where a teacher is experiencing difficulties and the head teacher is not the appraiser, the head teacher may undertake the role of appraiser. See also section on Teachers Experiencing Difficulties. 5. SETTING OBJECTIVES 5.1 The head teacher s objectives will be set by the appraisal sub-group of the Governing Body after consultation with the external adviser and the head teacher. 5.2 Objectives will be set before, or as soon as practicable after, the start of each appraisal period. 5.3 The objectives set will be Specific, Measurable, Achievable, Realistic and Time-bound and will be appropriate to the appraisee s role and level of experience. 5.4 In setting the objectives, reviewers will have regard to what can reasonably be expected in the context of roles, responsibilities and experience, consistent with the school s strategy for achieving a work/life balance for all staff. 5.5 Appraisees may at any point append their comments alongside their objectives. 5.6 The appraiser and appraisee will seek to agree the objectives. 3
5.7 Objectives may be revised if circumstances change. 5.8 The school operates a system of moderation to ensure that all appraisers are working to the same standards. Targets will be moderated across the school to ensure that they are consistent between teachers with similar experience and levels of responsibility. 5.9 Should the objectives not be agreed, the final decision on allocation of objectives rests with the head teacher. 5.10 The agreed objectives will contain a description of what success may look like. Where use of numerical targets is appropriate, these will be reasonable, in the circumstances in which the teacher works and it will be recognised that factors outside teachers control may significantly affect success. 5.11 Setting more than three objectives, or, for example, using sub-targets, can lead to teachers experiencing unreasonable workload and pressure, making the objectives more difficult to achieve. Therefore, other than in exceptional circumstances, no teacher will be given more than three objectives. 5.12 The objectives set for each teacher are intended to contribute to the school s plans for improving the school s educational provision and performance and improving the education of pupils at that school and will take into account the professional aspirations of the teacher. 5.13 The appraiser will take into account the effects of an individual s circumstances, including any disability, when agreeing objectives. For example, this might include a reasonable adjustment to allow an individual slightly longer to complete a task than might otherwise be the case. When staff return from a period of extended absence, objectives may be adjusted to allow them to readjust to their working environment. 5.14 Before, or as soon as practicable after, the start of each appraisal period, each teacher will be informed of the standards against which that teacher s performance in that appraisal period will be assessed. Teachers will be assessed against the appropriate set of standards contained in the document Teachers Standards published in July 2011. The head teacher or governing body (as appropriate) will need to consider whether certain teachers should be assessed against other sets of standards published by the Secretary of State or other body that are relevant to them. For QTLS holders, that may include the overarching professional standards for teachers in the lifelong learning sector, held by the Learning and Skills Improvement Service. 6. PAY PROGRESSION 6.1 Where teachers are eligible for pay progression, the recommendation made by the appraiser will be based on the assessment of their performance against the agreed objectives. 6.2 The decision made by the relevant decision-making body will be based on the statutory criteria and guidance set out in the STPCD and the relevant teacher standards. 6.3 The Governing Body has agreed the pay policy of the school and has considered the implications of the appraisal policy with respect to the arrangements relating to teachers pay in accordance with the School Teachers Pay and Conditions Document. 4
6.4 The Governing Body will ensure that decisions on pay progression are made by 31 December for head teachers and by 31 October for other teachers. 7. REVIEWING PERFORMANCE 7.1 Observation 7.1.1 The effective and efficient operation of the appraisal process requires lesson observation to be a confidential process of constructive engagement within an atmosphere of support and co-operation. 7.1.2 Accordingly, observations will be carried out in a supportive fashion, with professionalism, integrity and courtesy, will be evaluated objectively and reported accurately and fairly and will take account of particular circumstances which may affect performance on the day. 7.1.3 At least 5 working days notice of the date and time of the observation will be given and verbal feedback provided by at least by the end of the next school day and written feedback within 5 working days, unless circumstances make this impossible. 7.1.4 Classroom observation will be carried out by qualified teachers. 7.1.5 For the purposes of appraisal, teachers performance will be observed on an appropriate and reasonable number of occasions and will, as far as possible, be agreed by the appraiser with the appraisee based on the individual circumstances of the teacher and the overall needs of the school. 7.1.6 The number and duration of appraisal observations will be in accordance with the school s observation protocol, which includes provision for exceptional circumstances where concerns have been raised about a teacher s performance, or where the teacher requests additional observation visits. 7.1.7 Head teachers or other leaders with responsibility for learning and teaching standards may drop in or undertake other observations to evaluate the standards of teaching and learning and to ensure that high standards of professional performance are established and maintained. 7.1.8 The length and frequency of drop in or other observations, and the notice to be given, will vary depending on specific circumstances but will be in accordance with the school s classroom observation and drop-in policy. 7.1.9 For the purpose of professional development, feedback about lesson observations should be developmental, not simply a judgement using Ofsted grades. 7.1.10 The school will use the findings of each observation, including appraisal observations, for other management requirements (for example subject area reviews), thereby seeking to minimise the total number of occasions on which teachers are observed. 7.1.11 Teachers (including the head teacher) whose posts have responsibilities outside the classroom should also expect to have their performance of those responsibilities observed and assessed. 8. DEVELOPMENT AND SUPPORT 5
8.1 Appraisal is a supportive process which will be used to inform continuing professional development. The school wishes to encourage a culture in which all teachers take responsibility for improving their teaching through appropriate professional development, through peer observation for example. 8.2 Professional development will be linked to school improvement priorities and to the on-going professional development needs and priorities of individual teachers. 8.3 The school s CPD programme will be informed by the training and development needs identified as part of the appraisal process. The governing body will ensure in the budget planning that, as far as possible, resources are made available in the school budget for appropriate training, and support agreed for appraisees, maintaining access on an equitable basis. 8.4 An account of the training and development needs of teachers including the instances where it did not prove possible to provide any agreed CPD, will form a part of the head teacher s annual report to the governing body about the operation of the appraisal process in the school. 8.5 With regard to the provision of CPD in the case of competing demands on the school budget, a decision on relative priority will be taken with regard to the extent to which: a) the training and support will help the school to achieve its priorities; and b) the CPD identified is essential for an appraisee to meet their objectives. 8.6 Account will be taken in a review meeting of where it has not been possible for teachers to fully meet their performance criteria because the support recorded in the planning statement has not been provided. 9. ANNUAL ASSESSMENT 9.1 Each teacher's performance will be formally assessed in respect of each appraisal period. 9.2 In assessing the performance of the head teacher, the Governing Body must consult the external adviser. 9.3 The teacher will receive as soon as practicable following the end of each appraisal period and have the opportunity to comment on - a written appraisal report. 9.4 The appraisal report will include: details of the teacher s objectives for the appraisal period in question; an assessment of the teacher s performance of their role and responsibilities against their objectives, and against the relevant standards; teachers with additional responsibilities at the school will also be assessed in their overall performance against their substantive role; an assessment of the teacher s training and development needs and identification of any action that should be taken to address them; a recommendation on pay where that is relevant (N.B. pay recommendations need to be made by 31 December for head teachers and by 31 October for other teachers); a space for the teacher s own comments 6
9.5 A review meeting will take place to discuss the content of the report and any further action required and to inform objective setting for the next cycle. In some circumstances an interim review meeting may be appropriate. 9.6 The assessment of performance and of training and development needs will inform the planning process for the following appraisal period. 10. TEACHERS EXPERIENCING DIFFICULTIES 10.1 When dealing with a teacher experiencing difficulties, the objective is to provide support and guidance through the appraisal process in such a way that the teacher s performance improves and the problem is, therefore, resolved. 10.2 Where it is apparent that a teacher s personal circumstances are leading to difficulties at school, support will be offered as soon as possible, without waiting for the formal annual assessment. 10.3 If an appraiser identifies through the appraisal process, or via other sources of information, for example parental complaints, that the difficulties experienced by a teacher are such that, if not rectified, could lead to capability procedures the appraiser, the head teacher, or a member of the leadership team, will, as part of the appraisal process meet the teacher to: give clear written feedback to the teacher about the nature and seriousness of the concerns; give the teacher the opportunity to comment on and discuss the concerns; in consultation with the teacher put in place, an action plan with support (for example coaching, training, in-class support, mentoring, structured observations, visits to other classes or schools or discussions with advisory teachers), that will help address those specific concerns; make clear how progress will be monitored and when it will be reviewed; explain the implications and process if no or insufficient improvement is made. 10.4 The teacher s progress will continue to be monitored as part of the appraisal process and a reasonable time given for the teacher s performance to improve. This will depend upon the circumstances, but will be for a maximum period of six weeks, with appropriate support as agreed in the Action Plan, in order that the aim of recovering and improving performance can be achieved. 10.5 During this monitoring period the teacher will be given regular feedback on progress and arrangements will be made to modify the support programme if appropriate. 10.6 If sufficient progress is made such that the teacher is performing at a level that indicates there is no longer a possibility of capability procedures being invoked the teacher should be informed of this at a formal meeting with the appraiser or head teacher. Following this meeting the appraisal process will continue as normal. 10.7 If no, or insufficient, improvement has been made over this period, the teacher will be invited to a transition meeting to determine whether formal capability proceedings need to be commenced or the appraisal process remains in place. 11. Appeals 7
11.1 Appraisees have a right of appeal against any of the entries in the written appraisal report. Details of the appeals process are available from the head teacher or from the school governing body. Where the head teacher has not been recommended for pay progression he/she will be informed by the appropriate governor. 11.2 The head teacher will notify any teacher who has not been recommended for pay progression of the date when the governing body meets to consider pay recommendations, following which the teacher (and head teacher when the head has not been recommend for pay progression) may exercise the right of appeal, assisted by a companion who may be a colleague, a trade union official or a trade union representative. 12. GENERAL PRINCIPLES UNDERLYING THIS POLICY 12.1 ACAS Code Of Practice on Disciplinary and Grievance Procedures 12.1.1 The conduct of the formal capability stage will be undertaken in accordance with the provisions of the ACAS Code of Practice. 12.2 Consistency of Treatment and Fairness 12.2.1 The Governing Body is committed to ensuring consistency of treatment and fairness and will abide by all relevant equality legislation. 12.3 Sickness 12.3.1 If long term sickness absence appears to have been triggered by the commencement of monitoring or a formal capability procedure, the case will be dealt with in accordance with the school s absence policy and will normally be referred to the occupational health service to assess the member of staff s health and fitness for continued employment and the appropriateness or otherwise of continuing with monitoring or formal procedures. 12.3.2 In some cases it may be appropriate for formal procedures to continue during a period of sickness absence. However, the views of the occupational health physician will always be taken into account before a decision is reached. 12.4 Grievances 12.4.1 Where a member of staff raises a grievance during the appraisal or capability process, the appraisal or capability process may be temporarily suspended in order to deal with the grievance. 12.4.2 Where the grievance and appraisal or capability cases are related it may be appropriate to deal with both issues concurrently. 12.5 Confidentiality & Professional Relationships 12.5.1 The appraisal and capability processes will be treated with confidentiality. Only the appraiser s line manager or, where s/he had more than one, each of her/his line managers will be provided with access to the appraisee s plan recorded in her/his statements. This will be done upon request and only where this is necessary to enable the line manager to discharge her/his line management responsibilities. 8
12.5.2 Appraisees will be consulted on requests for access to statements in the context of this policy. 12.5.3 The process of gathering evidence for performance review will not compromise normal professional relationships between teachers. The governing body recognises that the reviewer will consult with, and seek to secure the agreement of, the reviewee before seeking information from other colleagues about the work of the reviewee. However, the desire for confidentiality does not override the need for the head teacher and governing body to quality-assure the operation and effectiveness of the appraisal system. The head teacher or appropriate colleague might, for example, review all teachers objectives and written appraisal records personally to check consistency of approach and expectation between different appraisers. The head teacher might also wish to be aware of any pay recommendations that have been made. 12.6 Monitoring and Evaluation 12.6.1 The governing body and head teacher will monitor the operation and effectiveness of the school s appraisal arrangements. 12.6.2 The head teacher will provide the governing body with a written report on the operation of the school s/academy s appraisal and capability policies annually. The report will not identify any individual by name. The report will include an assessment of the impact of these policies on: Race Sex Sexual Orientation Disability Religion and Beliefs Age Part-time Status Maternity and Pregnancy 12.6.3 The head teacher will report on whether there have been any appeals or representations on an individual or collective basis on the grounds of alleged discrimination. 12.7 Retention 12.7.1 The governing body and head teacher will ensure that all written appraisal records are retained in a secure place for six years and then destroyed. 14. CLASSROOM OBSERVATION AND DROP-IN PROTOCOL 14.1 All classroom observation will be undertaken in accordance with the performance management regulations, the associated guidance published by the Rewards and Incentives Group and the classroom observation protocol that is appended to this policy in Annex 1. 9
ANNEX 1: CLASSROOM OBSERVATION AND DROP-IN PROTOCOL 1. EXPECTATIONS 1.1 The Governing Body is committed to ensuring that classroom observation is developmental and supportive and that those involved in the process will: carry out the role with professionalism, integrity and courtesy; evaluate objectively; report accurately and fairly; and respect the confidentiality of the information gained. 2. SCHEDULE OF OBSERVATIONS 2.1 The total period for classroom observation arranged for any teacher will not usually exceed three hours per appraisal cycle having regard to the individual circumstances of the teacher. There is no requirement to use all of the three hours. 2.2 Staff following informal or formal incapability may be observed for more than three hours per appraisal cycle to allow progress with regard to performance to be accurately reviewed. Similarly NQTs will be observed more frequently to support induction and measure progress. 2.3 During the appraisal cycle staff will be observed according to the school s self-evaluation framework and quality assurance programme. With regards to classroom observation and lesson dips, and assuming six terms within the school s calendar this includes: an hour s lesson observation in Term 1 a thirty minute lesson dip in Term 3 a thirty minute lesson dip in Term 5 2.4 Lessons will be graded according to the following criteria: 1a Outstanding teaching 1b Outstanding teaching 1c Outstanding teaching with some elements of good performance 2a Good teaching with elements of outstanding performance 2b Good teaching 2c Good teaching with elements of satisfactory performance 3a Teaching requires improvement but with elements of good performance 3b Teaching requires improvement 3c Teaching requires improvement and some elements of inadequate performance 4 Inadequate teaching 2.5 In keeping with the commitment to supportive and developmental classroom observation those being observed will be notified at least five working days before they take place for full hour lesson observations and at least twenty-four hours before they take place for thirty minute lesson dips. 10
2.6 Where lessons are judged to be below good (please see exemplar objectives & career-stage expectations), then performance management objective 2 may not be met; under these circumstances there may be an additional full lesson observation within three weeks. 2.7 Where lesson observations include elements of inadequate teaching and learning (graded 3c or 4), then informal capability will be considered. 2.8 Information gathered during the observation will be used, as appropriate, for a variety of purposes including its use to inform school self-evaluation and school improvement strategies in accordance with the school s commitment to streamlining data collection and minimising bureaucracy and workload burdens on staff. 2.9 Classroom observations will only be undertaken by persons with QTS. In addition, in this school classroom observation only be undertaken by those who have had adequate preparation and the appropriate professional skills to undertake observation and to provide constructive oral and written feedback and support, in the context of professional dialogue between colleagues. Normally only one person at a time should be carrying out an observation. 2.10 Oral feedback will be given as soon as possible after the observation and in a suitable, private environment. 2.11 Written feedback will be provided within five working days of the observation taking place. If issues emerged from any observation that were not part of the focus of the observation these should also be covered in the written feedback and the appropriate action taken in accordance with the regulations and guidance. 2.12 The written record feedback also includes the date on which the observation took place, the lesson observed and the length of the observation. The teacher has the right to append written comments with the feedback document. No notes made by the reviewer in addition to the written feedback will be kept. 3. INFORMAL MONITORING ( lesson dipping or drop-ins ) 3.1 A Headteacher has a duty to evaluate the standards of teaching and learning and to ensure that proper standards of professional performance are established and maintained. Heads have a right to drop in to inform their monitoring of the quality of learning. 3.2 As this school is a large school, lesson dipping will be undertaken by the Headteacher supported by the appropriate and designated members of the Leadership Team, Subject Leaders, Year Leaders and the Leader for Life Skills under the direction of the Headteacher. 11
ANNEX 2: GUIDELINES ON CONDUCTING THE APPRAISAL PROCESS 1. Guidelines for teachers other than the Headteacher 1.1 Performance management reviews must be carried out by 31 October each year. 1.2 In order to minimise workload and bureaucracy, planning and review will be take place at one meeting: the planning and review meeting. 2. The planning and review meeting 2.1 At the beginning of the cycle, the reviewer and reviewee meet to consider and determine the following: The reviewee s objectives The success criteria for each objective The arrangements for classroom observation Any other evidence that will be taken into account in assessing the teacher s overall performance Any support to be provided, including CPD The reviewee s professional aspirations and the implications for the next performance review cycle Pay progression considerations, where the teacher is eligible How progress will be monitored during the year 2.2 The annual performance review (APR) should be securely based and firmly rooted in evidence. The reviewer and reviewee should seek to agree an assessment of the progress made towards the achievement of each objective, and of his or her overall performance against the success criteria agreed at the beginning of the cycle. Written statements relating to the success criteria of each objective should be entered into the system software supporting the appraisal process. 2.3 At Moulton School, lesson observations will not necessarily be carried out by the reviewer. Where this does not occur, the reviewer should liaise as necessary with the team leader who carries out the lesson observations. Lesson observations should be entered into the system software supporting the appraisal process. 3. Timescale 3.1 Within five working days of the planning and review meeting the reviewer is required to prepare a draft performance review statement, including any recommendation on pay progression, and pass it to the reviewee. 3.2 Within ten working days of the meeting, the reviewer should produce a final version, agreed by both parties. This version, including any comments by the reviewee, should be submitted into the system software supporting the appraisal process and approved by the reviewee. Where the revieweee does not agree with the objectives, the final decision regarding the objectives to be set rests with the headteacher. This responsibility may be delegated to a suitable senior member of staff. 3.3 Future objectives should be discussed and entered onto the system software supporting the appraisal process. Objectives must be set in accordance with the policy (see section 4). 12
3.4 The lesson observation, review against the previous year s objectives and future objectives should be completed by 31 October. 4. SETTING OBJECTIVES 4.1 The following substantive objectives must be used by all teachers. Each objective should then be supported by further detail as to what actions will be taken to achieve the more substantive objective. In reviewing performance at the end of the appraisal cycle, progress against both these actions and the substantive objective must be considered. 4.2 Objective 1 for all staff. Objective 1 should relate to student progress and the responsibility of the member of staff. Post-threshold staff will contribute to other staff s performance in this area through coaching, mentoring and supporting staff and through intervention strategies with students: Objective 1 should be chosen from the appropriate career stage below: M1-M2 Most pupils, in most groups, achieve in line with school expectations. M3-M4 Most pupils, in all groups, achieve in line with school expectations. M5-M6 Almost all pupils, in all groups, achieve in line with school expectations; some exceed them. U1-U2 Almost all pupils, in all groups, achieve in line with school expectations; some exceed them. U3 Almost all pupils, in all groups, achieve in line with school expectations; many exceed them. Subject Leader Most pupils, in all groups across the subject area, achieve in line with school expectations; some exceed them. Deputy Subject Leader As per the subject leader, with reference to the areas of responsibility held by the post holder Year Leader Almost all pupils, in all groups taught by the Year Leader, and across the year group for which the Year Leader has responsibility, achieve in line with school expectations; some exceed them. Deputy/Assistant Headteacher Almost all pupils, in all groups taught by the Deputy/Assistant Headteacher, and across the subject/year groups for which the Deputy/Assistant Headteacher has a line management responsibility, achieve in line with school expectations; some exceed them. 4.3 Objective 2 for all staff: Teaching & Learning. Objective 2 is related to teaching and learning, elements which need to be improved should be added into the assessment criteria 13
for this objective; again, those with greater responsibility and post-threshold to have a greater input into other staff s development. Reference should be made to which aspects will be the foci for improvement e.g. questioning, AfL, differentiation, planning, targetted intervention. Objective 2 should be chosen from the appropriate career stage below: M1-M2 All aspects of teaching and learning are satisfactory; many are good or better. M3-M4 The majority of aspects of teaching and learning are good or better. M5-M6 All aspects of teaching and learning are at least good; some are outstanding. U1-U2 All aspects of teaching and learning are at least good; some are outstanding. U3 All aspects of teaching and learning are at least good; many are outstanding. Subject Leader All aspects of teaching and learning, consistently across the subject area, are at least good; with an increasing amount of outstanding practice. Deputy Subject Leader As per the subject leader, with reference to the areas of responsibility held by the post holder Year Leader As per the Year Leader s current MPS/UPS grade Deputy/Assistant Headteacher All aspects of teaching and learning, in all groups taught by the Deputy/Assistant Headteacher, and consistently across the subject areas for which the Deputy/Assistant Headteacher has line management responsibility, are at least good; with an increasing amount of outstanding practice. Where the Deputy/Assistant Headteacher does not have line management responsibility for subject areas, then the objective for U3 should apply. 4.4 Objective 3. This objective should reflect the nature of the substantive post held, and the central contribution/lead of the post holder with regard to key areas of school improvement. For all teachers, this should reflect a contribution to improvements across the team/school. Again, this should be referenced in the performance criteria for the objective and may be related to improvement in specific areas e.g. development of subject knowledge in a particular key stage, gaining and implementing assessment information from examination boards, developing the VLE in a subject area, writing schemes of work. Objective 3 should be chosen from the appropriate career stage below: M1-M4 14
To lead on an area of teaching/curriculum development; for example, writing assessment materials, or developing provision on the VLE. M5-M6 To lead on a substantive area of teaching/curriculum development; for example, resourcing and assessing a substantive area of the schemes of work. U1-U2 To lead on a substantive area of teaching/curriculum development; for example, resourcing and assessing a substantive area of the schemes of work, including support for colleagues within the subject team in assisting their professional practice. U3 To lead on a substantive area of teaching/curriculum development; for example, resourcing and assessing a substantive area of the schemes of work, including support for colleagues in assisting their professional practice, both within and beyond the teacher s own subject team. Subject Leader This will be determined on an annual basis, to reflect the key foci within the school development plan. This objective will be common across all subject leaders. Deputy Subject Leader As per the subject leader, with reference to the areas of responsibility held by the post holder Year Leader This will be determined on an annual basis, to reflect the key foci within the school development plan. This objective will be common across all year leaders. Other TLR post holders This will be determined on an annual basis, to reflect the key foci within the school development plan. Deputy/Assistant Headteacher This will be determined on an annual basis, to reflect the key foci within the school development plan and the individual responsibilities of the post holder. A Deputy/Assistant Headteacher may have up to four objectives. 5. CONFIDENTIALITY AND ACCESS 5.1 The Headteacher will have access to all aspects of the systems software and will be able to review staff observations, evaluations, objective reviews and future objectives. 5.2 The reviewer will have access to those aspects of the system software pertaining to staff for whom they have line management responsibilities. 5.3 Subject Leaders and members of the SLT with responsibilities linked to subject areas will be able to review staff observations, evaluations, objective reviews and future objectives for those departments. 15
5.4 SLT members with responsibility for Teaching and Learning and CPD will have access to all staff observations and objectives. 6. EVALUATING AGAINST THE TEACHERS STANDARDS - GUIDANCE 6.1 The results of the review of objectives 1 and 2 should be used to review Professional Outcomes and Professional Practice outlined in Annex 3. 6.2 Reviewers should use Annex 3 Career Stage Expectations to evaluate Professional Relationships, Professional Development and Professional Conduct. 6.3 The overall comment on staff performance may contain references to any elements of the Teachers Standards. 16
ANNEX 3: CAREER STAGE EXPECTATIONS Teacher Standards Preamble 1.1 (all) 1.2 (2,3,4,5) 1.3 (1,3,4,5) 1.4 (1,3,4) 1.5 (1,3,4) 1.6 (all) 1.7 (all) 1.8 (3) Teacher Standards Preamble 1.2 (1) 1.5 (2) 1.6 (2,3) Teacher Standards Preamble 1.3 (1,2,4,5) 1.4 (5) 1.5 (3) 1.6 (1) 1.8 (4) 2.1 (2) 2.3 PROFESSIONAL PRACTICE M1 & M2 M3 & M4 M5 & M6 UPS1 & UPS2 UPS3 All aspects of teaching and learning are satisfactory; much are good or better. The majority of aspects of teaching and learning are good or better. Almost all aspects of teaching and learning are good; some are outstanding. All aspects of teaching and learning are good; some are outstanding. All aspects of teaching and learning are good; much are outstanding. PROFESSIONAL OUTCOMES M1 & M2 M3 & M4 M5 & M6 UPS1 & UPS2 UPS3 Most pupils, in all groups achieve in line with school expectations. Almost all pupils, in all groups, achieve in line with school expectations. Almost all pupils, in all groups, achieve in line with school expectations; some exceed them. Almost all pupils, in all groups, achieve in line with school expectations; some exceed them. Almost all pupils, in all groups, achieve in line with school expectations; many exceed them. PROFESSIONAL DEVELOPMENT M1 & M2 M3 & M4 M5 & M6 UPS1 & UPS2 UPS3 Staff are able, with support, to identify key professional development needs and respond to advice and feedback. It is good practice for staff to conduct self assessment of their own performance against the standards. Staff take a proactive role in accessing relevant support and professional development from colleagues. It is good practice for staff to conduct self assessment of their own performance against the standards. Staff keep up-todate with latest developments in teaching and learning and the curriculum. They adapt practice accordingly. It is good practice for staff to conduct self assessment of their own performance against the standards. Staff play a proactive role in leading the professional development of others, including coaching and mentoring colleagues. It is good practice for staff to conduct self assessment of their own performance against the standards. Staff play a proactive role in leading the professional development of others across the school and beyond, including coaching and mentoring colleagues. It is good practice for staff to conduct self assessment of their own performance against the standards. 17
ANNEX 4: CAREER STAGE EXPECTATIONS (cont) Teacher Standards Preamble 1.7 (4) 1.8 (2,5) 2.1 (1,3,4) PROFESSIONAL RELATIONSHIPS M1 & M2 M3 & M4 M5 & M6 UPS1 & UPS2 UPS3 Staff demonstrate positive working relationships with pupils, parents and colleagues within school and beyond. Staff demonstrate positive working relationships with pupils, parents and colleagues within school and beyond. Staff demonstrate positive working relationships with pupils, parents and colleagues within school and beyond. Staff demonstrate positive working relationships with pupils, parents and colleagues within school and beyond. Staff demonstrate positive working relationships with pupils, parents and colleagues within school and beyond. Staff seek advice from appropriate colleagues Staff seek advice from colleagues for more complex and challenging issues. Staff collaborate with colleagues to share good practice and trial new approaches. Staff play a proactive role in building or sustaining teams to improve provision beyond their own class. Staff play a proactive role in building or sustaining teams to improve provision across the school and cluster. Teacher Standards Preamble 1.1 (3) 1.8 (1) 2.1 (all) 2.2 2.3 PROFESSIONAL CONDUCT M1 & M2 M3 & M4 M5 & M6 UPS1 & UPS2 UPS3 Staff act in a professional manner both within and outside school. They act with honesty and integrity in order to uphold public trust in the profession. They make a positive contribution to the wider life and ethos of the school. Staff act in a professional manner both within and outside school. They act with honesty and integrity in order to uphold public trust in the profession. They make a positive contribution to the wider life and ethos of the school. Staff act in a professional manner both within and outside school. They act with honesty and integrity in order to uphold public trust in the profession. They make a positive contribution to the wider life and ethos of the school. Staff act in a professional manner both within and outside school. They act with honesty and integrity in order to uphold public trust in the profession. They make a positive contribution to the wider life and ethos of the school. Staff act in a professional manner both within and outside school. They act with honesty and integrity in order to uphold public trust in the profession. They make a positive contribution to the wider life and ethos of the school. 18
MOULTON SCHOOL & SCIENCE COLLEGE CAPABILITY POLICY PROCEDURE RELATING TO LACK OF CAPABILITY (ALL EMPLOYEES OTHER THAN THE HEADTEACHER) 1. Definitions 1.1 The term Headteacher also refers, where appropriate, to any other title used to identify the Headteacher. 1.2 The term employee refers to any member of the staff other than the Headteacher, whether teaching or not employed to work solely at the school. 1.3 The term senior manager refers to any member of the Senior Management Team delegated by the Headteacher to deal with a capability matter under these procedures. A senior manager may only make a decision to issue up to and including a final written warning. 1.4 If the Headteacher, following consultation with the Chair of Governors, considers that there is no senior manager to whom s/he can reasonably delegate a specific capability matter then the Headteacher will take the role of the senior manager for that specific case and the role of the Headteacher under this procedure will be performed by a Staff Dismissal Committee of the Governing Body consisting normally of not less than 3 governors. 1.5 Lack of capability" is defined as a situation in which an employee fails consistently to perform his/her duties to a wholly satisfactory standard of performance over a period of time. 2. Guidance prior to using the Capability Procedure 2.1 If an employee's performance is less than wholly satisfactory, as a first step the senior manager, or other person with line management responsibility for the employee, will discuss with the employee the shortcomings as specifically as possible. In the case of a teacher this could include the team leader responsible for the teacher s performance review under the school s performance management policy. Structured information and systematic recording will inform the discussion. The employee will be given a reasonable opportunity to comment and explain. In the course of these discussions, appropriate targets will be set and any appropriate remedies, e.g. in-service training, visits to other schools, discussion with appropriate colleagues or professionals, will be considered and planned. The employee will also be informed that his/her performance will be monitored over an identified and specified period. This will not normally exceed six weeks. 2.2 However, if the concerns relate to a lack of capability that poses a real risk to the health, safety or well-being of children, or is likely to result in serious damage to pupils education, a shorter timescale may be appropriate. In extreme cases, the senior manager may decide to initiate formal procedures immediately if to do otherwise would expose students to serious risk in terms of their health, safety, well-being or educational prospects. 2.3 At this stage an oral warning may be given that if wholly satisfactory performance is not achieved within a defined period this could cause the matter to be dealt with under the formal procedures set out below. An oral warning is not part of the formal procedure that follows. 2.4 There is no appeal against an oral warning. It will be confirmed in a written memorandum. The employee may make written comment on the memorandum if s/he has any objection to the issuing of an oral warning. 2.5 Continuing failure to achieve a wholly satisfactory level of performance following an oral warning would normally lead to formal action being taken in accordance with the procedures below. 2.6 Where a teacher is failing to perform to a wholly satisfactory level and guidance as indicated above has not brought about the desired improvement then the matter will be dealt with under the procedures below and will be separate from the school s performance management policy. 19
4. Time Scale (must be observed when the employee is a teacher) 3.1 The time scale adopted will reflect the seriousness of the lack of capability. However, the overall period for improvement will not exceed the equivalent of two school terms from the date of entry into the formal procedures. Formal procedures commence on the date of the meeting at which a written warning is first issued. 3.2 In exceptional cases, it will not be appropriate or necessary to proceed through the first written warning stage of the procedure before a final warning can be issued. The decision to dispense with a first warning, however, would need to reflect the seriousness of the lack of capability of the employee concerned. 3.3 When there are genuinely extreme circumstances in which a period for improvement of two terms would seriously jeopardise the health, safety, welfare or education of pupils, the period for improvement may be reduced to a period of not less than four weeks. 3.4 In extreme cases, where it is clear that the health, safety or well-being of pupils would be compromised if even a shortened capability procedure were followed, an employee may be suspended on full pay. In such cases, the formal procedures would be suspended and a recommendation for dismissal made to the Headteacher or Staff Dismissal Committee. 4. Sickness absence and the use of this procedure 4.1 It is important that sickness absence should not be used to delay or avoid the use of formal capability procedures. If there are concerns that an employee may be using sickness absence in this way then arrangements should be made to seek medical advice from an occupation health adviser to assess the employee s health and fitness for continued employment at the school. 4.2 Following receipt of medical advice consideration may be given to moving from this procedure to procedures used by the school to terminate the employment of the employee on the grounds of ill health. 4.3 If an employee s medical condition is not serious enough to warrant a consideration of termination of employment on the grounds of ill health, the occupational health adviser could also be asked to assess whether an employee absent through sickness is fit enough to attend a meeting under this procedure. 5. First Written Warning 5.1 If, after a reasonable period from the action taken in paragraph 2 above, it is considered that the employee's performance has not reached a wholly satisfactory level, the employee will be required to attend a meeting with the senior manager. 5.2 The senior manager will write to the employee at least five working days in advance to inform him/her about: a) the date, time and place of the meeting. b) the basic details of the concerns about the employee s performance. c) the employee s right to be accompanied by a representative of an independent trade union or some other person of his/her choice. d) the titles of enclosed copies of any documents to be used at the meeting. e) names of any witnesses to be called. f) his/her right to call witnesses on his/her behalf. g) the name and office of any adviser who will accompany the senior manager at the hearing. An extra copy, together with any enclosures, should be provided for his/her representative. 20
5.3 At the meeting, the employee (or his/her representative) will be given a reasonable opportunity to comment on the concerns and to ask questions. At the conclusion, the senior manager will state his/her decision and will afterwards confirm this in writing to the employee (with a copy for his/her representative). 5.4 If the senior manager considers that the concern about the employee s performance was justified, s/he will give the employee a first written warning. The warning letter will make clear: a) the nature of the shortcomings in the employee s performance b) the period during which and the way in which the employee's performance will be assessed c) that failure to perform to a wholly satisfactory level may lead to a final written warning. d) that if the employee's performance becomes wholly satisfactory before or by the end of the assessment period, the written warning will be disregarded. 5.5 The warning letter or documentation following the letter will also make clear a) the support to be provided to the employee b) the improvements in performance that the employee must demonstrate during the monitoring period and the kinds of evidence that will be sought to ascertain whether these improvements have been achieved c) those aspects of the employee's performance that will be assessed and by whom 5.6 If the senior manager considers that the employee's performance is still not wholly satisfactory by the end of the assessment period but that a final warning is not justified, s/he will call another meeting as outlined in the above paragraphs. The senior manager may decide to give the employee a further written warning in accordance with the above paragraphs, rather than a final written warning, if s/he thinks this is fair and will be effective. 6. Final Written Warning 6.1 If the senior manager considers that the employee's performance is still not wholly satisfactory, even if there has been some improvement, by the end of the assessment period, s/he will call another meeting as outlined above. 6.2 If at the conclusion of the meeting the senior manager still considers that the employee s performance is not wholly satisfactory, the senior manager may decide to issue a final written warning which will make clear over what period and in what respect the employee's performance will be assessed and that failure to perform to a wholly satisfactory level will lead to a hearing before the Headteacher, who has the power to dismiss. 6.3 At this stage, rather than refer the matter to the Headteacher, consideration could be given to the employee being given a different range of duties or an alternative post. By agreement, this may include transfer to a post suited to the employee s capabilities. If this post is at a lower salary level, the substantive lower salary would apply. 7. Right of Appeal against a formal written warning 7.1 The employee has a right of appeal against a written warning issued by a senior manager (see paragraphs 5 and 6). The appeal will be heard by the Disciplinary Panel of Governors. The number of governors on the Disciplinary Panel of Governors will not be less than two. The panel shall be advised by a person engaged for the purpose by the Governing Body. The panel can either confirm the warning, reduce a final warning to a warning or cancel the warning. 7.2 Appeals against a written warning shall be restricted to considering the reasonableness of the decision made by the senior manager, any relevant new evidence not previously available to the senior manager or any procedural irregularities. A statement giving the reasons for the appeal should be submitted to the Clerk to the Governors within five working days of the formal written warning having been received. 21