This is a key area for Governors and one which provokes a considerable number of questions regarding the Governing Body’s responsibilities.
The regulations make clear that performance management applies to all teaching staff and lays down a formal process of planning, implementation and review of performance for each member of the teaching staff. While some members of the Governing Body will play an active part in the review of the performance of the Head of School, the responsibility for the performance review of other staff rests with the Head Teacher (and/or their nominee).
The responsibility of the Governing Body in respect of staff other than the Head Teacher over and above determining the policy and process requirements is essentially one of ensuring that the performance policy and processes reflect the requirements of the school’s agreed policy, that it is reviewed annually and that an annual report is also received from the Head indicating how the process has been undertaken within school.
The regulations – to whom do they apply?
The Education (School Teacher Performance Management) (England) Regulations 2006 (and guidance) applies to teachers and head teachers covered by the School Teachers Pay and Conditions Document. Support staff within schools are not covered by the regulations. However, it is good to practice also for governors to agree and for the Head Teacher to implement an appraisal process for non-teaching staff.
From 1 September 2009 (Round 10), threshold assessment for teachers in England subject to the Education (School Teacher Performance Management) (England) Regulations 2006 will be based on the evidence contained in the Performance Management Review statements covering a two-year period leading up to the request for assessment. The current guidance can be located on the DfE website.
What is Performance Management?
A process for assessing the overall performance of a teacher or Head Teacher, in the context of the individual’s job description, the provisions of the National Conditions of Employment and making plans for the individual’s future development in the context of the school’s improvement plans.
What are the Governing Bodies Responsibilities?
The Principal responsibilities are:
a) to establish the school’s performance management policy, to monitor the operation and outcomes of the arrangements and to review the policy.
b) to appoint 2 or 3 governors to review the Head’s performance
c) to appoint an external adviser. If a School Improvement Partner has been appointed by the Local Authority, then the SIP must act as the external adviser.
d) where the Head teacher requests, to transfer evidence from the Performance management review where the Head Teacher transfers in mid-cycle.
e) to ensure the Head teacher’s planning and review statement is drafted and finalised, having regard for the need to achieve a work-life balance
f) to make decisions through the appropriate committee on pay recommendations
g) through the Chair, to retain copies of the Head’s planning and review statement and to share this with any governors who are making decisions on the headteacher’s pay
h) to undertake action in the light of any appeal
Who appoints the Governors to the Heads Review?
The Governing Body makes the appointments and should appoint governors who have undertaken performance management training and who have the appropriate skills.
Do Heads have Any Say?
Heads may object in writing to the Governing Body of the appointment of any particular Governor once in any cycle to the review panel. Any objection must be on the grounds that the governor is unsuitable for professional reasons.
Does the Governing Body have to accept this Objection?
The Governing Body must satisfy itself that the reasons submitted by the Head teacher seeking the removal of an appointed Governor are for professional reasons only and that the reasons themselves are significant. The Governing Body may then appoint another Governor if they accept the Head’s objections or may reject the request. In the case of a rejection the Governing Body must state the grounds for the rejection, in writing.
What is the Position of Other Staff in Respect of Persons Appointed as Reviewers?
Staff may object against the appointment of a reviewer, on professional grounds, in writing to the Head. The Head may appoint another member of staff if persuaded by the objections put forward or may reject the objections. Where the objections are rejected the teacher shall be advised in writing.
Who Sets Targets for the Head?
The targets for the Head are set by the panel after consulting with the Head and taking account of the advice of the SIP or external adviser, usually on an annual basis as part of the review process. Such targets must be meaningful and achievable, and should reflect the overall development needs and priorities of the school. The external adviser should assist the Governing Body in establishing targets in discussion with the Governors Review Panel and the Head.
Every effort should be made to achieve agreement on the requirements to be placed upon the Head and only in the last resort should targets be imposed upon the Head when discussion has failed.
Does the Governors Panel Set Targets for the Rest of the Leadership Team?
No, these are set by the Head and ought to reflect the targets that have been set for the Head. The Head is required to report to Governors annually on the implementation of performance management within school.
What is the Function of the SIP in Performance Management?
To assist the governors review panel in setting meaningful but achievable targets and in reviewing outcomes. If a SIP has been appointed then the panel must use the SIP to advise on the head’s performance review. For purposes of the Head Teacher’s performance review, the SIP is acting for the governing body and not the Local Authority. Both the review governors and the head Teacher can choose to meet separately with the SIP to discuss the Head Teacher’s performance and targets before the review meeting. The SIP should attend the review meeting and offer advice and support to governors and also offer to prepare the first draft of the review statement.
The SIP is not responsible for determining a recommendation to the Pay committee on whether increment(s) should be paid to the Head following the review; this is a matter for the Governors Panel alone. However, Governors can ask for advice and should take account of any advice offered by the SIP.
If the school no longer has a SIP appointed, they are still required to use an external adviser to assist them with the review of the Headteacher’s Performance. Depending on local circumstances, some authorities are understood to still be allocating time for their officers to undertake this role (possibly at the cost of the school0 but it is for the governors to decide who they wish to use , hopefully with the agreement of the Headteacher.
What is Required in the Process?
The process for all staff should include:
- scheduling planning and review meetings as far in advance as possible – reviews must be completed by 31st October for teachers and 31st December for Headteachers ;
- setting aside appropriate time for the meetings and ensuring that those who are participating are adequately prepared;
- ensuring the meetings are a professional dialogue between reviewer and reviewed;
- ensuring that the outcomes of meetings in regard to planning for the next cycle and the outcomes of any review are recorded in a single planning and review cycle statement
What are the Differences between the Head Teacher's Performance Review and That of Other Staff within the School?
The procedure and process for a Head will mirror as far as possible the process for teachers. The key differences are the involvement of the Governing Body and the Governing Body (in the form of the review panel) taking advice from the School Improvement Officer and/or external adviser.
Are There any Changes to the Current Practice of the Governing Body’s Pay Committee
Approving any Incremental Progression for the Head and Other Staff of the School?
The review panel will continue to make recommendations to the Pay Committee on any increases for the Head teacher based upon the review of targets and the performance achieved. The Head will report to the Pay Committee on the outcomes of review for other members of the Leadership group, post threshold teachers and advanced skills teachers. Other staff of the school may be referred to the Pay Committee where any additional payments or benefits are being considered in line with the School Teachers Pay and Conditions document and the schools pay policy.
Does The Payment Of Additional Increments For The Head and Other Senior Staff Within School Remain At The Discretion Of The Pay Committee?
The Pay Committee is entitled to determine whether increments are paid or not to the Head and other members of the school teaching staff following a review of performance, which are not governed by any national agreement in respect of pay progression. Unless there are substantial grounds for not doing so, the expectation is that performance that meets the required targets and demonstrates ‘sustained, high quality’ performance will be recognised by the granting of an increment (increments). No more than two pay points can be awarded to the Head Teacher in any one year. An award of two points is often reserved by governors for ‘outstanding’ performance.
What if the headteacher has reached the top of the ISR?
The 2011 School Teachers Pay and Conditions Document has made some significant changes to the previous regulations.
The ISR (Individual School Range) is a seven point pay scale determined by the school’s group as outlined in the School Teacher’s Pay and Conditions Document.
The school’s group is determined by the number and age of pupils in the school and, as such, gives a pay range which reflects the normal ‘market rate’ for the headteacher post at a school of a particular size and pupil profile.
The ISR is set by the governing body (usually when a new head is appointed) Where determined on or after 1 September 2011, the governing body MUST ensure that the ISR does not exceed the maximum of the headteacher group. If necessary, the governing body can change the ISR in order to accommodate the pay scale for a deputy or assistant head post or when the headteacher group changes due to an increase in pupil numbers e.g. as a result of a federation.
There should be an ‘objective justification ‘ for increasing the ISR that relates to the leadership post at the school and not to the individual post holder - it is not enough to justify an increase, simply because a headteacher has requested it or has reached the top of the scale, even if the performance review governors have recommended an increase.
An example of an ‘objective justification’ is if it would be difficult to attract applicants to apply to a particular school because of its location or circumstances.
If governors do decide to increase the ISR they will need to be able to justify this decision in line with ‘Best Value’ principles and the long term interests of the school.
Discretionary Payments to Headteachers
Additional payments may be made (see paragraphs 48,49 &50 of the Document) to a headteacher as agreed by the governing body for specific activities including: continuing professional development undertaken outside of the school day, initial teacher training, out of school-hours learning activities, services to additional schools, recruitment and retention incentives, and where the school is causing concern. However, the governing body can only make such payments provided it has not already taken account of such circumstances / criteria when changing the ISR previously.
In addition, the total amount of payments made in any one school year must not be in excess of 25 % of the Headteacher’s pay point on the leadership spine (the only exceptions are ex-officio residential duties and specific non-monetary personal relocation benefits). The governing body can only exceed this limit in wholly exceptional circumstances and after seeking external independent advice.
What Are the Rules regarding Confidentiality and Access to Statements?
The performance management process and, in particular, the review and planning statements generated should be treated with confidentiality at all times. However, the regulations state that when governors are making a decision or exercising discretion in relation to pay, they should have regard to the review statements.
What If Teachers Want to Appeal Against a Pay Decision?
Teachers, including the Head Teacher are entitled to appeal against any decision by the pay committee not to award an increment(s). Such applications are to be made through the schools grievance procedure.
To Whom Does The Head Turn If Dissatisfied With The Outcome Of His/Her Review Of Performance?
The review statement may be given to the Governors Review Officer (usually the Chair of Governors unless a member of the Review panel) for further deliberation. If the Review Officer is persuaded that aspects of the review are inaccurate, s/he may require that the statement be reviewed again.
This guidance was last updated in October 2011.
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