Performance Appraisal Scheme for Teachers and Executive Staff other than Principals

Under the Teachers and Related Employees Enterprise Agreement, the department and the NSW Teachers Federation have agreed to jointly develop and implement a performance appraisal scheme for teachers called the Performance Appraisal Scheme for Teachers and Executive Staff Other Than Principals.

The scheme addresses both teacher development (which is a formative process) and accountability of teachers (which is summative in nature) by:

ensuring that all teachers engage in an appraisal process designed to improve the quality of their work, and to focus their work on the objectives of the school plan;

providing work reports for those teachers who require them for employment purposes;
and assisting principals, executives and teaches whose efficiency is causing concern.

9.1 Teacher Appraisal

Every school is to develop a teacher appraisal process. The appraisal process is to be led, coordinated and supported by the principal and be negotiated at the school. All teachers other than the principal, in the school are to participate in the appraisal process, through a range of negotiated collegial practices.

The purpose of teacher appraisal is improvement in teaching and learning. Appraisal practices must therefore focus on improving teaching and learning, must be based on best practice in the field and must assist teachers clarify how their work is contributing to the school's goals as expressed in the school plan. The process must be consistent with the principles outlined in the Performance Appraisal Scheme for Teachers and Executive Staff Other Than Principals.

Many existing practices in schools are based on collegiality and contribute to ongoing professional development. Teacher appraisal builds on these practices.

Where a teacher appraisal process is already operating in a school, is working well, is consistent with the principles outlined in the Performance Appraisal Scheme for Teachers and Executive Staff Other Than Principals, and is generally proving beneficial to all parties, the school should continue with that process. Successful teacher appraisal in schools requires careful planning, implementation and evaluation.

 

9.1.1 Planning Teacher Appraisal

To successfully introduce teacher appraisal, the school must explore how it can translate the principles outlined in the Performance Appraisal Scheme for Teachers and Executive Staff Other Than Principals into actions which are relevant to the context and teaching staff of the school.

• The principal needs to develop strategies to enable the teaching staff to negotiate the structure of the scheme to be implemented in the school.
• All teachers need access to the Performance Appraisal Scheme for Teachers and Executive Staff Other Than Principals document.
• The school staff need to understand the school climate and culture and those influences (eg people, resources, attitudes and work practices) which will affect the implementation of the scheme.

  Principals should provide a brief written outline of the teacher appraisal process to all staff to ensure a shared understanding of how the scheme is to operate. The outline should also be given to new staff appointed to the school.

  Responsibilities of Teachers

  In participating in teacher appraisal processes, teachers have a particular responsibility to set goals and assess their own performance;

• review achievements in the context of the school plan;
• seek professional assistance and feedback from colleagues and executives;
• provide professional assistance and feedback to colleagues; and
• enhance their own performance through ongoing training and development

  Responsibilities of Principals

  Principals are responsible for the provision of quality education for all students in the school. In fulfilling their responsibility for the leadership and management of staff in schools, including leading, supporting and coordinating (with executive staff) the teacher appraisal process, principals have a particular responsibility to:

• establish and maintain personnel management practices which encourage and support a high level of staff commitment and performance;
• monitor the performance of teaching staff and provide appropriate feedback to staff;
• establish effective decision making and communication procedures within the school; and
• establish effective personnel practices incorporating appropriate EEO principles

  9.1.2 Linking Teacher Appraisal and Teacher Development

  Teacher appraisal supports and recognises individual achievement and provides directions for teacher development.

  Teacher development is an on-going process which takes account of the teacher as a professional, as a member of the school team working within the framework of the school plan, and as a valued professional within the public education system.

  Teacher appraisal is clearly linked to teacher development in that:

• teacher development is an integral part of the total school program;
• the appraisal process itself is inherently developmental for all involved;
• appraisal brings with it the opportunity for teachers to develop new skills, or at least the ability to use existing skills in new situations;
• outcomes of appraisal inform further teacher development which may take a variety of forms including access to on-the-job learning, formal education, team teaching, networking, research, writing journal articles, preparing case studies from action research etc;
• appraisal recognises and acknowledges the existing skills of teachers, ensures the sharing and disseminating of those skills and provides a feedback mechanism to enhance these skills; and the school plan provides a focus and context for the development of teacher skills needed to achieve its objectives

  All teachers should have the benefit of an ongoing professional development program which includes a range of activities both in and outside the school, designed to assist them to enhance the learning outcomes of students, reach their full potential as a teacher and increase their job satisfaction.

  The professional development program is to comprise appropriate strategies to:

• improve teaching by facilitating teacher learning and change in a collegial way;
• address each teacher's developmental needs related to the implementation of the school plan; and
• provide opportunities for each teacher to participate in a developmental program supporting his or her personal career aspirations.

   

   

  9.1.3 Collegial Relationships and Appraisal Activities for Teacher Appraisal.

  When implementing the school's teacher appraisal scheme the principal will need to make decisions about the types of collegial relationships and appraisal activities to be used to ensure teacher improvement. That is, decisions will need to be made about who will provide collegial support, how the collegial relationships will be structured and what activities will be undertaken to collect and provide feedback to individual teachers.

  9.1.4 Collegial Relationships for Teacher Appraisal

  Collegial relationships are those relationships that enable teachers to work together to improve their teaching and learning and to provide and receive feedback. Collegial relationships provide opportunities for teachers to develop new meanings, new behaviours, new skills and new beliefs.

  Through collegial relationships every teacher works with one or more colleagues with whom he or she feels comfortable and who can provide constructive feedback for the purpose of teacher appraisal. Colleagues are usually from within the school but where appropriate (ie in small schools) can be from other schools. Different colleagues may be selected at different times.

  The choice of colleagues will be based on who can best support the teacher improve his or her teaching practice. The decision will depend to some extent on working out where the teacher and colleagues stand in the following areas:

• stage of career (just appointed, seeking promotion etc)
• how clear each is on what each wants to achieve (based, for example, on the priorities that emerge from self review)
• preferred communication and learning styles.
• the nature of the work each is currently undertaking.

  Schools with teacher appraisal schemes in place have found that:

• some teachers have selected a teacher who is more experienced in an aspect of teaching in which they would like to become more involved;
• those interested in promotion have selected someone who has been recently promoted;
• some have chosen an executive staff member. Others have chosen someone whom they know is skilled at listening and helping people clarify options for development; and

  those interested in developing a new approach to teaching, learning or assessment have chosen teachers known to be highly effective in that area

  Over time, teachers should consider working with a different colleague.

  This may be desirable for a number of reasons:

• needs may have changed, or new needs identified;
• the colleague may feel that he or she has offered all the input he or she can;
• the colleague may have other teachers seeking his or her assistance and/or
• the opportunity to work with a number of colleagues, each person selected for their expertise in a different area.

  Teachers should continue with the current colleague or colleagues if the collegial relationship is proving productive.

  Some of the ways in which collegial relationships can be structured include:

• collegial pairs;
• collegial groups; and
• mentoring relationships

  A combination of these, or other forms of collegial relationships can be used at any time to suit teachers' needs and experience

  9.1.4.1 Collegial Pairs

  Collegial pairs is a relationship between two teachers with similar levels of professional experience and capability.

  It requires regular interaction between colleagues. Interaction can take many forms including meetings, observation, shadowing, reflective interviews and feedback.

  The process is based on mutual trust and respect and provides teachers with a colleague who can give feedback, question, share, discuss and challenge.

  When considering working as collegial pairs participating teachers should:

• discuss the choice openly and frankly;
• negotiate procedures, timelines and planned outcomes which are consistent with the school's teacher appraisal scheme; and
• regularly evaluate whether the process is working well and is beneficial.

   

  9.1.4.2 Mentoring

  Mentoring is a process whereby someone with more experience or expertise provides support, counselling and advice to a less experienced or less expert colleague. This approach is useful where the length of teaching experience within the staff varies widely. Experience has shown that mentoring is best in a one-to-one relationship, although it is possible for one person to mentor two or three others.

  Mentors support their colleagues through providing feedback based on observation of teaching practice. They question, share, discuss, challenge comfort and guide their colleagues through a learning process based on trust and confidentiality.

  The key to successful mentoring is the mentoring relationship. For mentoring to be effective participation must be voluntary and both parties must be committed and willing to give time to the process.

  Mentoring arrangements should be agreed by the two parties with a clearly articulated action plan indicating expectations, goals, level and style of contact and duration of the mentoring relationship.

  9.2 Appraisal Activities

  Regardless of the types of collegial relationships established, there are a number of specific activities which can be used in the teacher appraisal process. It is through these activities that the needs of individual teachers are identified and feedback is provided to assist teachers improve teaching and learning. These include:

  1. Self review
  2. Sharing personal and professional experiences
  3. Classroom observation
  4. Reflective interviews
  5. Teacher portfolios

  Each of these, or similar activities, inform only one aspect of the teacher appraisal process, and are therefore insufficient in isolation. In developing a reflective and critical practice of teaching a variety of activities need to be used. In this way teachers describe what they do, explore what informs their teaching, how they come to be the way they are and how they might do things differently. An outline of each activity is provided below:

  1 Self Review
  The practice of self review can clarify the area in which specific help is needed and provide a clearer picture of which colleague(s) might provide the best assistance. The process is both individual and collaborative in that it enables the teacher to personally analyse teaching whilst at the same time forming the basis for shared discussion, classroom observation and the provision of feedback.

  One method of self review which helps teachers clarify the assistance they require is the self-questionnaire. This method requires the teacher to ask of him or herself a number of searching questions:

  • Which areas of my teaching role give me most satisfaction at present, and why?
  • Which areas of my teaching role do I see as important but am not happy with, and why?
  • Are there areas of the teaching role in which I am not presently involved, but would like to be, and why?
  • Are there areas where I would like advice?
  • Is there one aspect of my professional work or career I would like to develop? How does this link to the agreed school plan?
  • What support would I need to achieve this?
  • How would I know if I was progressing in this new area?
  • Is it feasible to tackle this development goal? Do I have time to do this?

    Other practices to develop reflective decision making include:

   

  Personal histories (see below eg Sharing personal and professional experiences)

• Video/audio self assessment
• Journal writing
• Student and teacher feedback
• Case discussion and writing
• Critical incident analysis
• Guided book reviews

  2 Sharing personal and professional experiences

  The teacher appraisal process is enhanced when teachers have opportunities to make explicit their current theories and underlying values and beliefs about teaching and learning.

  This approach helps teachers explore the personal nature of teaching. The approach (also referred to as "Teacher Stories") is best done in collegial pairs. Both members of the pair need to complete the process. The power of the process lies in its capacity to develop trust, to articulate personal values, to link values to action, and to enhance commitment to a course of action.

  Within a teacher's career, particular contexts, schools, school staffs, communities, co-workers, and subject matters, all offer potential sources of influence on teacher development. A particularly difficult or outstanding class - a favourite or least favourite subject - are likely to cause changes in a teacher's approach to teaching.

  Outstanding professional successes, breakthroughs and failures are all experiences that can influence teachers' development in significant ways.

  Through this practice teachers reflect on questions such as "How did I teach in the classroom?" and "How did I get this way?" In the first step, teachers describe, share, and reflect on significant events in their educational (and non-educational) life which have had lasting impact on their development as a teacher.

  The second step is to identify people in their lives who have made a difference and influenced their professional development in significant ways. Teachers explore questions such as:

  • Who stands out from your past as having had a significant impact on your educational life? Think of your own teachers, university staff, teachers while you were training, mentors, colleagues...think of the most positive and the most negative examples. What did you learn from them that has had an impact on you as a teacher?
  • What students have taught you most?
  • What role did your family have in making you the teacher you are?

  In the next step teachers explore their experiences in their current school. They describe both positive and negative experiences through stories which demonstrate their feelings of the school. They explore questions such as:

  • Which parts of your work give you the most and least satisfaction? What helps you to cope? What encourages you to thrive?
  • How do you teach? Tell a story or give an example which demonstrates a typical and favourite experience of your classroom or work day and one which demonstrates a typical but least favourite experience.
  • What characterises your classroom management? When does it work best? When do you feel it's unsuccessful?
  • What do you think is the most important thing to teach your students? Why? What place can you find for this in the curriculum at this school?
  • What are the central characteristics of your teaching? What recurrent themes and concerns are apparent?
  • The final step is to identify future action aimed at teacher improvement within the context of the school plan.

  Teachers explore such questions as:

  • What do you want to keep the same?
  • What would you like to change about yourself as a teacher?
  • What don't you think will ever change?
  • What helps you most?
  • What help would you like?
  • What help would you like to give?

  3 Classroom Observation

  Classroom observation provides information which is different to the information acquired and given through other appraisal practices.

  Classroom observation can include:

  • Peer observation
  • Observation by a mentor
  • Observation by an executive

  Teachers can have the opportunity, through peer, mentor or executive observation, to take the role of observer. In this way teachers can benefit from both observing and being observed.

  A practical model for classroom observation has three distinct aspects:

  • Preparatory discussion
  • Observation
  • Follow-up discussion and feedback leading to agreement on action

  Whether peer observation or observation by a mentor or supervisor is being undertaken, this model is equally applicable.

  Classroom observation is a developmental process for both the teacher observing and the teacher being observed.

  
  Classroom observation as a developmental process

   

  Preparatory discussion for classroom observation should:

  • clarify the purpose of the observation;
  • set mutually convenient dates for both the observation and the follow-up discussion and feedback;
  • identify the general aim of the follow-up discussion;
  • establish the specific aim of the observation;
  • clarify the observer's actions during and after the class; and
  • identify how observation will be recorded

  Observation is usually more successful when only one or two aspects of the lesson are observed rather than a generalised observation. Observation should take place as and when agreed, unless it is impossible to do so.

  Repeated or multiple observations will make the model a more integrated developmental process. Over time, the teacher and observer can target specific areas for action after the first follow-up discussion and can see these at work in further observations.

  In the follow-up discussion:

  • the aim of the follow-up should be reiterated;
  • the area of discussion and provision of feedback should be that agreed upon in the preparatory session.;
  • a genuine discussion should be expected to take place;
  • some agreed action should arise from the feedback; and
  • agreement should be reached on written statements of the observation.

  Appraisal processes require that judgements be made about teaching effectiveness and development needs. Judgements are made by the individual teacher, colleagues, mentors and others. Feedback to the teacher being appraised needs to be constructive and focused.

   

  4 Reflective Interview

  This is an effective technique where people are working in pairs. It helps people to make specific suggestions to improve their performance in a part of their job they believe they have done well. One teacher begins with a general question about the other's performance...

  Initiate	"How do you think you went last term (or semester)? OR "How do you feel about your performance last term?"
  Listen	Follow up with a more focused question eg "What have you been particularly pleased with about how you've worked this term?"
  Focus	"You mentioned you were particularly satisfied with..., OR "Let's talk more about that aspect of your teaching".
  Probe	How? How did you approach..? OR What method did you use?
  	Why? Why did you choose that approach? OR What was your rationale for that method?
  	What? What would you like me to look at when I come to your class? What work do you want me to do while I am in the room?
  	Results? How has it worked for you? OR What results have you achieved?
  Plan	"Knowing what you now know, how would you have done it differently?" OR "What changes would you make if you did it again?"

  5 Teacher Portfolios

  A portfolio is the teacher's own collection of information and material about his or her practice. The material in the portfolio provides evidence of accomplishments. Information can include documented episodes of teaching, teaching artefacts such as lesson plans and samples of student work, feedback from colleagues, agreed action plans, journal of observations and achievements, credentials and evidence of self-review.

  Portfolios are selective by nature and their contents are continually renewed. Structuring the portfolio helps ensure sufficient information to make it a valuable appraisal tool. Structuring also allows teachers to focus their attention and energy on their teaching rather than the documentation process.

  9.3 Evaluating the Teacher Appraisal Process in your School

  When evaluating the school's teacher appraisal process the following questions might be considered:

  Preparation

  • How well did our planning process work?
  • What could be done better?
  • How are new staff informed of our teacher appraisal scheme?
  • How helpful was the written document on the school's appraisal process?

  Processes

  • What could be improved and how?
  • Did they fit in with how we do things in this school?
  • Did they affect the things we value as professionals?
  • Did school structures and practices support them?

  Focus

  • Did clear and relevant development goals emerge? What helped or hindered this?
  • Did feasible and desirable plans of action to achieve these goal emerge? What helped or hindered this?
  • Was there a clear link between the teacher appraisal process and teacher development?

  Results

  • Did the scheme work? That is, did teachers achieve their development goals? What helped or hindered this?
  • Has there been a positive impact on teaching and on teacher satisfaction with aspects of the teaching role(eg student learning outcomes)? What evidence can be cited to substantiate this conclusion?
  • How has this helped achieve the goals of the school plan?

  What next

  • In the light of our experiences this time what should we now work on?
  • What sorts of suggestions would we make on how to make the process work best for ourselves and other colleagues?
  • What changes would we suggest to the school appraisal scheme?

   

  9.4 Teachers whose Efficiency is Causing Concern

  This section details the procedures and timelines which must be followed in the small number of cases where a teacher's efficiency causes concern.

   

  9.4.1 Efficiency of Teachers

  The Department is committed to ensuring that it has efficient teachers who are skilled and committed to meet the needs of students, schools and the needs of the public education system.

  Basic principles underpinning this commitment are:

  • Students have a right be taught by competent teachers.
  • Teachers are responsible for performing their duties efficiently and competently.
  • Teachers have a right to fair treatment; to receive honest, valid and constructive feedback; to be fully informed of matters which significantly affect them; to be given the opportunity to respond to statements or decisions affecting them and to have that response fully considered; and to have access to professional support and training.
  • Teachers have the right to request a support person throughout these procedures.
  • Principals are responsible for dealing promptly and fairly with incidences of teacher inefficiency.
  • The school is the most effective environment in which to foster teacher improvement.
  • The Department has a responsibility to take appropriate action, including dismissal, when it is evident that a teacher has failed to respond adequately to an improvement program.

  The Principles of Natural Justice which must be applied in all cases are described at Appendix 5.

   

  9.4.2 What is teacher efficiency?

  Teacher efficiency is defined as a level of performance that satisfies requirements for the position held. A teacher's efficiency can be questioned at any time.

  Teacher inefficiency is unacceptable, because it disadvantages the education and welfare of students. Action to improve efficiency to an acceptable standard is essential. This is a shared responsibility of the teacher concerned, executive staff and the principal. In the rare circumstance that an inefficient teacher fails to respond adequately to a structured improvement program the employment of that teacher may be terminated.

  It is important to remember that teachers may have difficulties which affect their efficiency for a number of reasons including any or all of the following:

  a) professional problems including classroom management, teacher student relationships, planning, communicating

  b) school management, organisation and system shortcomings;

  c) personal difficulties being experienced both within and outside the school. Principals should be both sympathetic and careful to understand the reasons for personal difficulties experienced by members of their staff; and

  d) health problems. Where a teacher's poor performance appears to be directly related to a health problem, fitness to continue teaching may be determined by referral to Health Quest.

   

  It is necessary to distinguish between inefficiency and misconduct. Misconduct can be a single incident which can be proved or disproved. One incident of a teacher having difficulty does not prove that the teacher is inefficient but simply shows that he or she has experienced difficulty once. Whilst misconduct can be an isolated or specific event, inefficiency is a pattern of behaviour. Misconduct may require a prompt disciplinary response, in contrast to the process for managing inefficiency which is more comprehensive and developmental.

   

  9.4.3 Responsibilities of Teachers

  In performing their duties efficiently and competently, teachers have a particular responsibility to:

  • assess and enhance their own performance;
  • seek assistance from colleagues, including executive staff if they are experiencing difficulties;
  • participate cooperatively in any program designed to assist them to improve; and
  • provide assistance to colleagues experiencing difficulties, in the context of a negotiated program of assistance.

   

  9.4.4 Responsibilities of Principals

  In fulfilling their responsibility for the leadership and management of staff in schools, including dealing with instances of inefficiency, principals have a particular responsibility to:

  • monitor the performance of teaching staff and provide appropriate feedback:
  • ensure that teaching staff, whose efficiency is of concern, receive guidance and support through a formal negotiated and documented program of assistance and, where there is no improvement, through an improvement program;
  • properly inform teaching staff about these procedures and timelines and of any statements or decisions arising from the procedures and properly consider such responses; and
  • prepare all relevant documentation and report, as appropriate, to the Assistant Director-General on a teacher's efficiency.

   

  9.4.5 Procedures for Dealing With Teachers Whose Efficiency is Causing Concern

  There are four stages in these procedures. Each stage is described and represented diagrammatically.

  The first two stages, Teacher Development - Informal Support and Formal In-School Support, outline procedures for dealing with teachers experiencing difficulties.

  Teacher Development - Informal Support includes ongoing support which in general will continue for not less than five weeks from the time a teacher is informed in writing of the areas of concern. Figure 9.2

  Formal In-School Support provides a five week program of assistance for a teacher continuing to experience difficulty. Figure 9.3

  The second two stages, Teachers Whose Efficiency is Causing Concern and Teachers Whose Efficiency is in Question, outline procedures for dealing with teachers who have not responded to the first two stages and area causing concern.

  Teachers Whose Efficiency is Causing Concern require a ten week improvement program for a teacher whose efficiency has been formally identified as causing concern. Figure 9.4

  A sample Improvement Program for a Primary Classroom Teacher is at Section 17.4

  Teachers Whose Efficiency is in Question provides for determination by the Assistant Director-General of a teacher's efficiency. Figure 9.5

   

  Copies of documentation (written advice and support, programs of assistance, improvement programs, statements or reports) generated at each stage of the process are to be retained by the teacher and the principal, until the teacher is designated as efficient.

   

  A teacher has the right to support from the NSW Teachers Federation representative or other person of their choice at any stage of the process, including attendance at any meeting associated with the process.

  The procedures for each of the four stages are described in the following pages.

  • Figure 9.1 Overview of Process
  
  • Recommendation for Disciplinary Action (or annulment)

     

    Figure 9.2

    Stage 1: Teacher Development - Informal Support (Ongoing)

    

    A sample checklist for this process is in Section 17.4

    Figure 9.3
    Stage 2: Formal In-School Support

    

    A sample Principal's Checklist is in Section 17.4

    Figure 9.4

    Stage 3: Teacher Whose Efficiency is Causing Concern

  

  • A sample Principal's Checklist is in Section 17.4

  Figure 9.5

  Stage 4: Teacher whose efficiency is in question

  • 

  A sample Principal Checklist Stage 4: Teachers Whose Efficiency is in Question is in Section 17.4

  9.5 Supervision of School Administration and Support Staff

  In dealing with efficiency concerns of school administrative and support staff, the recommended procedure follows the principles of those for teaching staff, but at this stage there has not an agreed detailed process as defined in the Performance Appraisal Scheme for Teachers and Executive Staff Other than Principals.

  All school administrative and support staff need to understand the role, accountability and performance standards that are expected of them. School administrative and support staff are intitled to feedback and constructive support to improve performance.

  Any school administrative and support staff member whose efficiency is of concern should be placed on a support program to improve their performance. It is suggested that this should follow the 5,5 10 week stages as for teachers. The process may be terminated at any stage should the member respond to the program and is considered efficient.

  The process implemented should be documented, and both the district office and the Industrial Relations Services Unit are available to provide advice.

  The principles of fairness, equity and sound employee relations must underpin this process. The staff member is entitled to have copies of all related documents, and to have a support person present at any meetings.

  If the school administrative and support staff officer's performance has not improved by the end of this time, then a report recommending disciplinary action should be forwarded to the district superintendent.

  On receiving an unsatisfactory report from a principal, the district superintendent reviews the process and may recommend formal disciplinary action under Part 6 - Discipline of the Education (Ancillary Staff) Act, 1987.

   

  REFERENCE: Education (Ancillary Staff) Regulation (Part 2 - Section 4 and Section 28), 1987

  9.6 Principals - Procedures

  The District Superintendent is responsible for initiating programs for the development of principals. Where a principal is identified as experiencing difficulties, the District Superintendent is to follow the same four stages as followed by a principal with a member of his or her staff.

  The District Superintendent is to take particular care to ensure that an improvement program is developed by negotiation with the principal, as for teachers. The aim of the program is to assist the principal to improve and to ensure that all forms of support are made available as appropriate. The principal should have the opportunity for collegial support if he if she so desires.

  All reports written by the District Superintendent are to be submitted to the Assistant Director-General. Copies of all such reports are to be given to the principal concerned.

  In the event of a principal failing to respond, the District Superintendent will take proper steps to call the efficiency of the principal into question indicating, as for teachers, the areas of strength and weakness, the forms of assistance given and the principal's response. The report will be forwarded to the director (personnel) who will verify that correct practices have been followed and forward both reports to the Assistant Director-General for consideration and determination.

  REFERENCE: "Performance Appraisal Scheme for Teachers and Executive Staff Other Than Principals" - Department of School Education 1995.

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