Guidance for the External Appraisal of Heads

Heads have a role which is both unique and complex. They are entitled to the support of accurate,

perceptive and knowledgeable feedback about their performance in order to enhance both that

performance and their own job satisfaction. This document assumes that regular internal appraisal of

the Head is an integral part of an established whole-school Professional Review/Appraisal scheme. The

philosophy underlying Appraisal in this document is set out in Appendix 1 and was drawn up in

consultation with ASCL, The Association of School and College Leaders, as was the initial framework for

Heads’ Appraisal from which this guidance has been developed.

Governors have a responsibility for the quality of education within their school. In making provision for

the Head to be appraised, they will recognise that they are not only enhancing the quality of

management within the school and hence the standard of academic, social and personal education but

also taking responsibility for their own support of, and relationship with, the Head.

Process

The establishment of the following will strengthen the appraisal process for the whole school, including

the Head

agreed aims of the school (or "mission statement")

contracts/job descriptions

appraisal policy statement1

appointment of appraisers in consultation with Head

on going training programme covering the purpose, benefits and process of Appraisal including

training for appraisers, task observers and appraisee

commitment to INSET for Head

commitment to other costs of Appraisal

procedure for appeals agreed, including the establishment of to whom appeal could be made:

someone nominated by the governors and acceptable to the Head. If no such person can be

found, the elected Officers of GSA may be asked to act in this capacity, the cost being covered

by the school.

Suggested content and timescales

a. The External Appraisal Cycle should recur every three years.

1 This document might form the basis of your school policy statement on Appraisal.

b. The formal process should take place within one term

c. The preparatory discussions between the Chair of Governors, Head and appraiser

should include: the negotiation of the agenda; dates; agreed areas of focus (between 3

and 6), if appropriate. This preparation is essential to the success of the appraisal, and

ample time should therefore be allocated to it.

d. Self-Appraisal: a form and/or questionnaire should be devised in the light of any agreed

areas of focus (examples are offered in Appendix 2). For an initial Head’s external

appraisal, rather than selecting specific areas of focus, a general overview of the Head’s

leadership of the school may be appropriate.

e. Views of colleagues: a 360 degree appraisal may be considered appropriate (possible

formats are included as Appendix 3)

f. Task Observation: this should concentrate on the agreed areas of focus

g. Collection of Data: this must be in the light of the agenda

h. The Interview with the Head: this should take place in a venue acceptable to the Head

and accompanying documentation should be kept to a minimum. Sufficient time should

be allocated to ensure the meeting is not rushed, and there should be no interruptions.

i. Interviews with other members of staff, governors, parents, alumnae and pupils, as

agreed, should, if possible, take place in a discreet venue.

j. A draft appraisal report should normally be received by the Head and Chair of

Governors within a week after the appraiser has completed all interviews. The report

may include targets or these may be drawn up subsequently by the Chair and Head; a

sample proforma is given in Appendix 4. The final statement should be signed by all

parties

k. Confidentiality: documentation must be confidential to the Head, appraiser(s) and the

Chairman of Governors. A separate list of targets only should be available to other

Governors for discussion, on request. Two copies only of the agreed statement should

be produced for the Head and Chair of Governors. All other documentation will be

destroyed once the process of appraisal and review is complete.

l. Follow-up Meetings should be agreed at the time of the Appraisal interview, as

necessary, to facilitate the meeting of targets.

m. Review Meetings should occur annually, and as agreed, to facilitate the meeting of

targets.

Points for Consideration

1. ISI inspection indirectly appraises the Head.

2. The Head's appraiser(s) must be trained. They also need to have time to absorb and

comprehend a detailed knowledge of the organisation and ethos of the school.

3. The Head's appraiser should be appointed by the governors in consultation with the Head. A

Head's request for alternative appraisers should be given serious consideration and this request

should not be refused unreasonably. Goodwill, mutual respect and understanding between

appraiser and appraisee are essential.

4. Consideration must be given to the problems of appraisers who encounter, during task

observation or assessment of performance, difficulties which perhaps raise the question of

incompetence. At this point, the Appraisal process should be halted for further discussion. The

professional performance of Heads is an area in which GSA itself should be consulted.

5. For a Head who is new in post and new to the school, it is recommended the appraisal cycle

should not begin for two years. It is recognised that governors may wish to review initial

progress from an internal perspective, setting realistic targets. The delay in instigating a formal

process should not inhibit the staff appraisal scheme from being instituted and continued; see

Appendix 1.

6. Heads may find it helpful to discuss the self-appraisal document with another Head who is not

one of the appraisers. Self-appraisal is valuable and will inform the process of setting the areas

of focus. Heads should be encouraged to look for areas of positive success as well as areas which

may need development.

7. The data must be objective; it may be collected from a number of sources; the collection should

take no more than a term and may include published data and notes of task observation;

sources and questions to elicit data should be agreed by appraisers and appraisee.

8. Appraisers require specific training in interview techniques; training for discussion of

observation techniques is also vital. Appraisal interviews should be positive in tone and should

consider:

i. performance over a specific period of time, agreed during the preparatory

discussions

ii. areas for development

iii. target-setting

iv. training needs and personal development

9. Target-setting should be sensitively managed; targets should be:

a. Specific – who will do what

b. Measurable – can be monitored

c. Achievable – realistic

d. Relevant – to the job description and to the school

e. Time Limited – within a timescale

f. Interesting – challenging

g. Economic - the best use of time, skills and energies

h. Sensible + shared - objectives may be discussed with appropriate members of the

governing body

10. Note taking should be undertaken by both the appraiser and the appraisee; this should include

any agreed follow-up action.

11. Appeal procedures should include the provision of a previously uninvolved negotiator

acceptable to all parties.

12. Review meetings, which may be internal or with the external appraiser, should:

review progress

revise targets

consider the usefulness of training

add results to documents and agree them

13. Confidentiality must be maintained. Reports should be typed away from the school premises

and not by any related but conceivably interested parties, such as the secretary of one of the

appraisers.

14. If a second appraiser is involved alongside the trained external appraiser, they should represent

the governors, preferably being a member of the governing body but not a parent of a pupil at

the schools or a member of staff of the school. The position of the Head vis a vis the governors

is such that, unlike the staff appraisal scheme, there is no realistic body to which the Head can

appeal beyond the governors. It is therefore important that the trained external appraiser is not

a member of the governing body.

Final Observations

Governors will need to understand that part of the Head's management role will be to act as an

appraiser of other Heads. This will be highly beneficial and will enhance the management of schools, but

will require time, training and expense. An appraiser's expenses should be met in full and an appropriate

fee be negotiated with a professional external appraiser. In the case of serving heads a modest

honorarium should be offered.

Governors will wish to promote the future of GSA schools and will therefore wish to provide

opportunities for the career and personal development of their Heads. It is recommended that a serving

Head should undertake no more than one appraisal of another Head in any one year; and that two

Heads may not act as appraisers of one another within a period of eight years.

GSA will initiate and maintain a register of Heads trained, willing and able to act as appraisers, their

schools classified under various headings, so that Heads and governors may choose appraisers with

appropriate experience. The register will be maintained at GSA Headquarters. For further details please

contact the Membership Director on 0116 254 1619.

Appendix 1

Principles of Appraisal

1. Appraisal should be seen as part of the process of supporting and developing better schools.

2. The quality of teaching is central to the fostering of better schools; and teaching is a very

complex task. Individual teachers are all working within the whole to contribute to the

education of their pupils.

3. Schools are best regarded as living organisms of a high order. One analogy, mechanistic but not

wholly inappropriate, is of a collection of interlocking cogwheels. The development of the

individual teacher and the working of the staff as a whole are related to the development of the

pupils.

4. Appraisal, therefore, is most helpfully considered as a continuing process of self evaluation and

support which will in due course affect every aspect of the school. Most schools are already well

embarked upon such a process whether through assessing their response to national

educational reforms or through internal discussion.

5. School development does not need to be a process which begins with the Appraisal of the Head;

nor is it always most usefully approached in this way, although it is widely recognised that the

Head should be appraised as early as is practicable once a formal Appraisal scheme has been

agreed. It is easier to be appraised before becoming an appraiser.

6. The formal Appraisal Scheme may then be viewed as one constituent among many in a coherent

programme. Other such constituents might be:

• a discussion of whole-school aims.

• the staff development programme

• the evolution of job descriptions

• induction of Newly Qualified Staff

• the working of a Curriculum Committee

• and so on

7. Once the Governors, Head and Staff have embarked upon an agreed programme for supporting

and enhancing the quality of teaching (and management of teachers), within a known timescale,

then the implementation of Appraisal may be said to have begun.

8. The timescale for that implementation will vary from school to school, in accordance with the

size, nature and philosophy of the school and its current practice. For schools where no

systematic review had been initiated, it may well take at least two or three years before what is

patently a formal Appraisal scheme is in place.

9. The very process of planning the Scheme should, however, be both productive and formative if

properly approached.

10. Where possible, a staff working party should be involved. The quality of the school as a whole

embraces the professional development of individual teachers.

The aims of any individual, any department and the school as a whole need to be kept in balance, with

the focus of attention being at all times "what is the best practice?" In deciding on what "best practice"

is most suitable for any school, it is useful to imagine any member of the staff is assisted to become a

better teacher, simply because s(h)e is a teacher at that school.

Appendix 2

Head's Self-Appraisal – Prompts to get you thinking

The purpose of this part of your appraisal is to encourage you to look at all aspects of your work and try

to analyse what you think about your performance. There are a number of headings to stir your

thinking, but they are neither obligatory nor exclusive. Make any additions you like.

Please write or type your thoughts on a separate sheet of paper, simply numbering each paragraph

appropriately so that it is easy to identify the question/area you are referring to.

Write as fully or briefly as you like.

1 What do you consider to be your most important personal contribution to the School?

2 What do you consider to be your main functions as Head?

3 Would you (could you?) put them in order of priority?

4 Which are the most/least time-consuming?

5 Which areas would you like to give more time to?

6 In terms of time management, how do you set your priorities, or do the expectations of others

determine your priorities?

7 Which areas do you enjoy/dislike most?

8 Where do you look for your own guidance? Have you a mentor?

9 In your time at the School, what has given you the greatest pleasure, and what has been the

greatest frustration?

10 What would you still like to achieve? What are your long-term plans for yourself, and for the

School? What do you see as the likely obstacles to overcome?

11 What elements of managing/leading a team do you enjoy?

12 What are your strongest skills/gifts/traits?

13 What part of your job causes you most pain or upset and how do you handle that?

14 If I were to ask your colleagues what they see as your strengths, how do you think they would

reply? - and if we ask them what they consider to be your weaknesses?

15 And if I were to ask people close to you what they see as your strengths, how do you think they

would reply? - and if we ask them what they consider to be your weaknesses?

16 Can you review your activity in the local community, beyond the School? How does this fit into

your overall plan?

17 Can you review your activity in the world of education, beyond the School? How does this fit

into your overall plan?

18 What is your next major objective?

19 If you were to move on within a few years, are there any qualities that you would look for in

your successor to compensate for any weaknesses that you may have perceived in yourself, and

in your Headship?

20 What could the Governors do to help you to do your job more effectively?

These prompts could be supplemented by, or substituted with, the following possible key headings for

a self-appraisal report:

Strategic Direction and Development of the School

Leading teaching and learning

Professional development

Management of the School

Relations with pupils, parents, staff, governors, past pupils

Marketing

Links with the community

Regulatory compliance

Appendix 3

HEADTEACHER REVIEW

THE VIEWS OF COLLEAGUES (Sample 1)

In considering the impact of the Head's performance/leadership style against certain key criteria, please tick the appropriate column to indicate your level of

agreement with the statements.

1. Strongly Agree 2. Agree 3. Disagree 4. Strongly Disagree

Leadership and Management 1 2 3 4 Comments

(where appropriate/if you wish to qualify any of the

statements)

1 The Head provides clear education vision/direction for the

school.

2 The policies and procedures in the school are clear to staff.

3 The policies, procedures and structures established by the

school help staff to get the job done.

4 The lines of authority in the school are clear to all staff.

5 The various teams in the schoolwork well together to improve

teaching and learning.

6 Staff understand the decision-making process.

7 Staff feel involved in determining the strategic/development

plans for the school.

8 Decisions made are communicated effectively overall.

9 The Head takes time to explain the reasons for decisions, in

terms of the best interests of the school and her/his staff.

10 The Head makes sure that staff have specific and detailed goals

which they understand.

11 The Head sets challenging but achievable standards for staff.

12 The Head gives honest feedback to staff (e.g. about standards

of achievement and the quality of teaching and learning).

13 Mediocre staff performance is not tolerated in the school.

14 Staff in the school are kept up-to-date about changes which

may affect them.

15 Staff are encouraged to discuss and put forward new/original

ideas which will improve the quality of teaching and learning.

16 The Head sees delegation as contributing to the professional

development of her/his colleagues.

17 Capable staff are given the freedom to make decisions (and

mistakes) without undue intervention.

Quality of Relationships/ethos (pupils, staff, parents, wider community)

18 The Head engenders a professional and supportive atmosphere

among staff in the school.

19 Staff and pupils are proud to be part of the school.

20 Staff in the school have strong working relationships based on

truth and mutual respect.

21 Pupils feel valued and part of a caring community.

22 Parents are well informed about the progress and

achievements of their children.

23 The Head communicates with parents in a way which

encourages confidence in the school.

24 The Head regularly communicates the school's expectations of

pupils to parents and the wider community.

25 The Head puts considerable time into influencing and building

good relations with external bodies (e.g. local

schools/business/press, governors and the local community).

26 The Head appreciates the efforts of staff and demonstrates

concern for the well being of staff and pupils.

The School Environment

27 The Head promotes respect for the physical environment of

the school amongst pupils and staff.

28 The Head has established high expectations of pupil behaviour

around the school/in classes.

29 The Head makes sure that the building looks attractive and

cared for.

Appropriateness of Curriculum/Expectations/Outcomes

30 The Head has high expectations of pupils' performance.

31 The school sets standards of performance for pupils that are

appropriate to their abilities.

32 The Head gives a high priority to developing the most effective

curriculum.

33 The school regularly monitors standards of pupil attainment

against expectations.

34 The Head places value on the extra-curricular and wider life of

the school and its pupils.

35 The Head is seen as the 'leading professional' in educational

terms within the school.

Additional Observations

THE VIEW OF OTHERS (SAMPLE 2)

Interviews (at least one hour with no interruptions):

Head

Chair of Governors

Interviews (15 min + 5 min slippage) to be held with:

All members of SMT including the Bursar (individually)

Head and key members of Junior School, if relevant

Key managers of support staff (eg catering, marketing, development, finance, estates)

Head’s PA

A selection of HoDs (individually)

A selection of teachers (including well-established and new; Junior and Senior Schools)

Head Girl and Deputies (preferably during a tour of the School)

Selection of Prefects

Selection of pupils from other year groups (over lunch/break)

Old Girls’ representative(s)

Parents’ Association representative(s)

Written comments to be invited in advance (via a letter/email from the Chair of Governors, introducing the external appraiser and stressing the confidentiality of the process) from all Governors, all teaching staff; key support staff – see following sheets Drop-in slots for any members of staff who wish to do so without formal appointment.

Possible Appraisal questions for Governors

Please give your opinions on the Head’s performance in as many of the following areas as you feel able, including strengths and areas for development, as appropriate. General performance – personal perceptions of overall performance Relations with GB – how well does the Head work with the Chair and with other Governors. How well does she/he communicate with and advise the Governing Body? Management in relation to GB – does the Head present issues clearly at Governors’ meetings/provide good support to Bursar wrt financial management of the School/ has she/he helped to produce a clear development plan? Administrative and Communication Skills – how strong is the Head’s ability to organise and administer and communicate to staff, parents and pupils? Does she/he work well with the senior academic and non-academic staff? Management Skills – please comment on the Head’s strength of decision making/judgement/planning/ability to manage change/delegate/use of time. Leadership Skills – please comment on the Head’s ability to motivate and inspire staff and pupils/to create and lead a team/academic leadership/setting of high standards/ leadership of spiritual and moral life of the School. Future planning – how well does the Head consult over future plans for the School/ communicate plans and vision to all/how decisive is she/he in carrying through plans? Pupils - how well does she/he know them/create an effective learning environment for them/show concern for their welfare/support them in their activities? Is she/he a good disciplinarian? General – what is the opinion of the Head in the wider community outside the School/to what extent is the School’s current standing related to her work? Any other comments Please email your responses to …….; individual responses will not be attributed.

Possible Appraisal Questions for Staff

Please give your opinions on the Head’s performance in as many of the following areas as you feel able, including strengths and areas for development, as appropriate. Your personal relations with the Head (support, availability, encouragement and appreciation) The Head’s attitude towards your area(s) of work within the school (willingness to confer and consult and ability to appreciate problems and demands related to your work) The Head’s deployment and development of staff (ability to ensure commitment, to manage staff performance, to promote professional development, to deal with staff difficulties, to support and motivate staff) The Head’s administrative and organisational ability (ability to organise and administer, to communicate orally and in writing with pupils, parents and others, to consult and negotiate, to chair meetings) The Head’s management skills (ability to make decisions, judgment, planning, ability to manage change, ability to delegate and use of time) The Head’s leadership skills (ability to motivate and inspire staff and pupils, ability to create and lead a team, academic leadership, setting of high standards, leadership of spiritual and moral life of the school) The Head’s future planning (quality of consultation over future plans for the school, communication of plans and visions for the future of the school, decisiveness in carrying through plans) The Pupils (how well does the Head know them; how does the Head create an effective learning environment for them/show concern for their welfare/support them in their activities? Is the Head a good disciplinarian?) General (what is the opinion of the Head amongst the wider community outside the school; to what extent is the school’s current standing related to the Head’s work?). Any other comments Please email your responses to …... individual responses will not be attributed.