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Model Appraisal Policy for all staff in
schools
December 2016
This policy and procedure has been produced by One Education’s HR and People service. The HR and People
team provides management and HR support and advice to schools and academies purchasing their services
under an agreed Service Agreement. For further information please contact the HR and People team via the
HROne Helpline: 0844 967 1112 (local rate from landline) or HROne Helpline Email:
[email protected] Website: www.oneeducation.co.uk
This document is recommended for adoption by all maintained schools including community, voluntary controlled, community special, maintained nursery, foundation, foundation special and voluntary aided schools. This document is also recommended for adoption by academies and free schools (modified as appropriate* and taking into account the particular circumstances of the relevant academy or free school). References in this document to schools include a reference to academies and free schools unless otherwise stated and references in this document to the Head of School include a reference to an academy or free school Principal.
Document Control
Title Model Appraisal Policy for all staff in schools
Date December 2016
Supersedes Model Appraisal Policy for all staff in schools 2012
Amendments To take account of the guidance for Professional Standards for Teachers Professional Development (July 2016) and the Professional Standards for Teaching Assistants (June 2016)
Related policies/guidance
Capability Policy and Procedure 2016
Review December 2018
Author HR and People, One Education Ltd
Date consultation completed
Date adopted by
Governing Body
Under the public sector equality duty, all schools/academies must have due regard to the need to
eliminate discrimination, harassment and victimisation and any other conduct prohibited by the
Equality Act 2010; to advance equality of opportunity between those who share a relevant protected
characteristic and those who do not share it and to foster good relations across all protected
characteristics. This means schools/academies must take into account equality considerations when
policies are being developed, adopted and implemented. The HR and People team regularly reviews
all policies and procedures which are recommended to schools/academies to ensure compliance with
education and employment legislation including the Equality Act 2010. Consultation with
schools/academies is an important part of this review process. Head of Schools, Principals and
Governing Bodies are asked to contact the HR and People team via the HROne Helpline if they believe
there are any negative equality impacts in their school/academy in relation to the application of this
policy/procedure.
CONTENTS
l
Page
1. Introduction 4
2. Definitions 4
3. Purpose 5
4. Appraisal meetings 5
5. Appraisers 5
6. Setting objectives 6
7. Reviews of performance 7
8. Development and support 7
9. Feedback 7
10. Transition of capability procedure 8
11. Annual assessment 9
12. Retention of documents 10
13. Monitoring and evaluation 10
14. Ofsted 10
15. Appendices to policy 11
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1. Introduction Current appraisal arrangements are set out in the Education (School Teachers’ Appraisal) (England) Regulations 2012 (the Appraisal Regulations). These Regulations do not apply in academies, free schools or independent schools. Such schools are however free to adopt this policy and procedure.
The Appraisal Regulations set out the principles that apply to teachers in all maintained schools (whether employed by the governing body of that school or the Local Authority to work in that school) where they are employed for one term or more. They provide the minimum national framework within which schools should operate. Schools must stay within the legal framework set out in the Appraisal Regulations and in other relevant legislation that affects all employers (for example legislation on equality, employment protection and data protection). The regulations state that schools must have an appraisal policy for teachers and a policy, covering all staff, which deals with lack of capability (see separate policy document).
There are no national appraisal regulations which apply to support staff and there is no national agreement on appraisal with support staff unions. The above regulations apply only to teachers but this policy has been drafted in such a way that it is adaptable for use to apply the same principles to the whole school staff.
This policy combines statutory requirements and elements of guidance.
The Governing Body is committed to ensuring consistency of treatment and fairness and will abide by all relevant equality legislation. They will improve outcomes for children by motivating staff to update their skills and improve their performance.
Statutory requirements contained in the Appraisal Regulations or the School Staffing Regulations are indicated by the symbol * and are highlighted in bold
2. Definitions Unless indicated otherwise, all references to “teacher” include the Head of School.
* The policy applies to the Head of School and to all teachers and support staff
employed by the school, except those on contracts of less than one term, those
undergoing induction (i.e. NQTs) and those who are subject to capability procedures
i.e. staff about whose performance there are serious concerns that the appraisal process
has been unable to address.
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3. Purpose Appraisal in this school is both a developmental and supportive process designed to ensure
that staff are able to continually improve their professional practice. Appraisal will set
objectives and provide support to ensure that staff have the skills they need to carry out their
role effectively and with reference to the appropriate standards (e.g. Teaching Standards).
Appraisal is only one element of the performance management of an individual member of
staff and the appraisal process should be seen in this context.
* The appraisal period will run for twelve months from September to August in the
majority of cases. Staff 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 Head of School taking into
account the duration of their contract. The Head of School may decide on a longer or shorter appraisal period when staff take up posts other than at the start of the academic year.
For support staff who are new to the school the relevant probationary period assessments (in accordance with the National Joint Council (NJC) Green book: National agreement on pay and conditions of service for local government services) provide an appropriate lead into the setting of short term objectives until the colleague can be synchronised with the school appraisal cycle.
4. Appraisal meetings
Meetings will normally be scheduled with five days’ notice.
For teaching staff appraisal meetings will take place within the established directed time schedule.
For support staff appraisal meetings will take place at an appropriate time during the individual’s normal working arrangements.
If this proves to be impracticable the appraiser must agree alternative arrangements that are acceptable to the appraisee.
5. Appraisers
* The Head of School 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. In this school the task of appraising the Head of School, including the setting of objectives, will be delegated to a sub-group consisting of two members of the Governing Body. The school may be assisted by an adviser from One Education HR&People Service or another nominated HR provider.
5
* The Head of School will decide who will appraise other staff.
Unless otherwise appropriate (as determined by the Head of School), the appraiser for teachers will normally have Qualified Teacher Status (QTS). All appraisers will have appropriate training.
6. Setting objectives
*The Executive Headteacher’s objectives will be set by the Directors after
consultation with the external adviser. The Head of School’s objectives will be set by the Governing Body after consultation with the external adviser.
*Objectives for each teacher and member of support staff will be set before or as soon
as practicable after, the start of each appraisal period. The objectives set for each appraisee will be Challenging, Specific, Measurable, Achievable, Realistic and Time-bound (CSMART) and will be appropriate to the role and level of experience and will reflect priorities for an individual for the cycle. Appraisal objectives will normally become more challenging as the employee progresses. The number of objectives set will be reasonable. For whole school or team objectives especially, they will reflect the school’s priorities.
*The objectives set for each teacher and member of support staff will, if achieved,
contribute to the school’s plans for improving the school’s educational provision and performance and improving the education of pupils at the school. For Support Staff objectives may also relate to the effective deployment and use of resources, administration and organisation.
*Before, or as soon as practicable after, the start of each appraisal period, each
teacher and member of support staff will be informed of the standards against which that teacher’s or member of support staff performance in that appraisal period will be assessed. Appraisal is an assessment of overall performance but objectives cannot cover the full range of roles and responsibilities. Objectives will, therefore, focus on the priorities for an individual for the cycle. The appraiser and appraisee will seek to agree the objectives but, if that is not possible, the Head of School will determine the objectives and any objections will be noted. Objectives may be revised if circumstances change. On occasions during a review cycle, usually as a result of unplanned circumstances, it may be considered that an objective set at the start of the process is no longer appropriate or requires some adjustment. The number of objectives set for teachers would not normally exceed three but may do so in circumstances determined by the Head of School. Depending on the role support staff may have a number of smaller objectives.
All teachers will be assessed against the set of standards contained in the document entitled
“Teachers’ Standards” the current version of which was updated in June 2013. A teacher will need to demonstrate that their practice is consistent with the definitions set out in Part one (teaching) and Part two (personal and professional conduct). Consideration will also be given to the guidance contained in “the Standards for Teachers’ Professional Development” (July 2016). The Head of School or governing body (as appropriate) will consider whether any teachers should also be assessed against other sets of standards that may be published by the Secretary of State that are relevant to them.
Although non statutory, the Professional Standards for Teachings Assistants published in
June 2016 will be considered when appraising the performance of support staff. 6
7. Reviews of Performance
The Governing Body believes that observation of key responsibilities is important both to
assess performance and identify any particular strengths and areas for development a colleague may have and for gaining useful information which can inform school improvement more generally. All observations will be carried out to support a culture of continuous improvement and will be a developmental activity. An observation calendar will be published and formal observations will not normally exceed 3 hours in any one cycle.
For classroom based staff the number of observations will vary depending on the developmental objectives of individuals. The principle of ‘proportionate to need’ and reasonableness will apply and will normally be decided through discussion with the individual.
Teachers (including the Head of School) who have responsibilities outside the classroom should also expect to have their performance of those responsibilities observed and assessed. Members of support staff who are not based in the classroom will also be involved in a work review/observation process in a format appropriate to role. The number of observations will vary depending on the developmental objectives of individual colleagues and the principle of ‘proportionate to need’ and reasonableness will apply. An observation protocol is attached at Appendix 11
8. Development and support
Appraisal is a developmental process which will be used to inform continuing professional improvement and development. The governing body wish to encourage a culture in which all staff take responsibility for improving their performance through appropriate professional development. Professional development will be linked to school improvement priorities and to the on-going professional development needs and priorities of individuals and teams. The school’s CPD programme will be informed by development needs identified during the appraisal process. The Governing Body will make appropriate but affordable resources available to support staff development arising from the appraisal process. The Head of School will report – as required – to the Governing Body each year on CPD activities. Where CPD is identified by mutual agreement as key to the improvement of an individual, they will not be held responsible for lack of progress against agreed priorities if necessary agreed resources are not provided.
9. Feedback
Staff will receive constructive feedback on their performance throughout the year and as
soon as practicable after observation has taken place or other evidence has come to light. Feedback will highlight particular areas of strength as well as any areas that need attention.
7 Where there are concerns about any aspects of an individual’s performance they will receive appropriate support as part of the appraisal process. The support to be offered will be agreed in advance and could, for example, include classroom observation alongside or in addition to additional training or visits to other classes/establishments
In these circumstances the appraiser will meet the employee formally to:
give clear feedback about the nature and seriousness of the concerns;
give the colleague the opportunity to comment and discuss the concerns;
identify any support (e.g. coaching, mentoring, structured or peer observations), that will be provided to help address those specific concerns;
make clear how, and by when, the appraiser (or other colleague) will review progress but allowing sufficient time for improvement and this may include further supportive observations. The amount of time will be dependent upon the circumstances but will reflect the seriousness and the nature of the concerns.
explain the implications and process if no or insufficient improvement is made (i.e. progression to the capability procedure) (see Transition to Capability Section 7).
confirm the timescale for review of progress
the outcome of any such meeting will be confirmed in writing to the employee.
when progress is reviewed, if the appraiser is satisfied that the employee is making
sufficient improvement, this will be acknowledged and the appraisal process will
continue as normal, with any remaining issues continuing to be addressed through
that process.
the employee may be accompanied by a workplace colleague or their trade union
representative at meetings if concerns arise about performance and there is a
possibility that there could be a transition to the capability procedure.
10. Transition to capability procedure Where there is insufficient evidence of progress against the objectives at interim review meetings or at the end of a cycle of support, a ‘final review meeting’ may be held to review the weakness in performance and consider the evidence to reflect whether or not the appraisal process should cease and management of the performance concerns be dealt with via the school’s capability procedures. In the event that a final review meeting is held the employee, appraiser and Head of School will be present at the meeting. As the outcome of the meeting may have serious consequences, the employee will be encouraged to be accompanied by a trade union representative or a colleague. The person conducting the meeting will be assisted and accompanied by an adviser from
One Education HR&People Services or another nominated HR provider.
The final review meeting does not form part of the formal capability procedure. Until that
point the employee remains subject to appraisal.
8
At least five working days’ notice will be given for the final review meeting. The review
meeting will consider:
the evidence which has given rise to specific concerns about the employee’s performance
the seriousness of the concerns and their impact on the performance of the school;
the support that has been provided to date;
the time for which the concerns have persisted and over which the support has been provided;
any degree of improvement that has been achieved and whether or not this has been sustained;
the extent to which the employee has shown insight and engaged with the support provided thought the appraisal process;
any mitigating factors.
Once these matters have been considered, the Head of School will confirm the decision in
writing, normally within five days.
The decision will be either to continue with appraisal procedure or that the employee’s
performance will be managed under the capability procedure and they will be invited to a
formal capability meeting.
The process will then be conducted in accordance with the school’s capability procedure (see separate policy document).
In the case of a Head of School the Chair of Governors will normally conduct the Formal Capability and Review meetings. In the case of other staff, the manager who has been appraising the employee will normally conduct the Formal Capability and Review meetings.
11. Annual assessment
* Each teacher's and member of support staff’s performance will be formally assessed
in respect of each appraisal period. In assessing the performance of the Head of School, the Governing Body must consult the external adviser. This assessment of performance and development priorities will be reviewed throughout the year. Appraisers may arrange less formal ‘catch-ups’ alongside routine management arrangements. At the end of the cycle, assessment of performance against an objective will be on the basis of the performance criteria set at the beginning of the cycle. Good and continuous progress towards the achievement of a challenging objective, even if the performance criteria have not been met in full, will normally be assessed favorably.
* All staff will receive their written appraisal report as soon as is practicable following
the end of each appraisal period and have the opportunity to comment in writing on this.
* The appraisal report will include:
details of individual objectives for the period in question;
* an assessment of the teacher’s or member of support staff’s performance of
their role and responsibilities against the objectives and the relevant standards and their level of responsibility and experience.
* an assessment of the teacher’s or member of support staff’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 in accordance with the
school’s pay policy (see separate policy document). The assessment of performance and of training and development needs will inform the planning process for the following appraisal period. The objectives for the next appraisal period may be discussed and set at this meeting or at a separate meeting arranged for that purpose.
12. Retention of documents
Appraisal documentation will be retained in school for a period of 6 years after the end of the
appraisal cycle in a secure place and in accordance with data protection requirements and
will then be destroyed. In exceptional circumstances, the School's Appraisal Practices could
be subject to an Internal Audit by the Local Authority or other body. Assessment paperwork
might be reviewed for this purpose.
13. Monitoring and evaluation The governing body will review the impact of appraisal annually.
The Head of School will provide the governing body with a written report on the operation of
the school’s appraisal policy. The report will not contain any information which will enable any individual to be identified. The report will include:
the operation of the appraisal policy;
the effectiveness of the school’s appraisal procedures;
identified training and development needs.
instances where the training and development set out in the training and development annex of an appraisal has not been provided with a brief explanation
number who have fully achieved objectives
number who have partially achieved objectives but with acceptable reasons
number who have partially achieved objectives with unacceptable reasons
number who have not achieved their objectives
The governing body have approved the use of the attached appendices. It should be noted that although these are deemed to be useful for capturing information, their use is not compulsory by individual members of staff.
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14. Ofsted
Governors are aware that as part of their overall inspection framework, Ofsted wishes to see
evidence in schools that the appraisal procedure is used effectively and enables school
improvement; if appraisal evidence is not available, this is likely to impact negatively on the Ofsted
inspection grade for leadership and management. Ofsted inspectors may ask to have sight of
anonymised data from the last three years that illustrates the numbers of teaching staff who have:
progressed along the main pay range;
progressed to and through the upper pay range;
progressed along the leadership scale; and
received additional responsibility payments such as TLRs and SEN allowances.
Governors will ensure that Inspectors will see a correlation between the pattern of pay
progression and the improvements made to the overall quality of teaching and learning within
the school.
15. Appendices to policy
Appendix 1 Invitation to Appraisal Meeting
Appendix 2 Preparation for Review Discussion
Appendix 3 Progress against Previous Objectives
Appendix 4 Evidence for Review Discussion – Feedback request
Appendix 5 Appraisal Process – Tracking Sheet
Appendix 6 Appraisal Report
Appendix 7 Objectives and Observation
Appendix 8 Training and Development Plan
Appendix 9 Invite to feedback meeting
Appendix 10 Revision Agreement
Appendix 11 Classroom observation protocol
Appendix 12 Invitation to final review meeting template
Appendix 13 Outcome of final review meeting template
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CONFIDENTIAL Appendix 1
Invitation to your Appraisal meeting
To:
From:
Date:
Your annual Appraisal meeting has been set for:
Date:
Times:
to
Venue:
If this date or time presents a problem for you please let me know as soon as possible.
Attached you will find:
Preparation for Review discussion form (appendix 2) to lead you into thinking about how your work is
progressing generally.
A copy from last year of your Objectives (appendix 3) so that you can review progress towards your
objectives
An Evidence for Appraisal form (appendix 4) which you may wish to collect additional evidence from
colleagues for our discussion. (Please print/photocopy as many as are required).
For you to do:
Think about your objectives from last year so that we are able to discuss how you have progressed towards your objectives.
Please pass to me your completed Preparation for Review form (if you wish to complete this), as this will help our discussion. If possible please let me have this at least one week before the meeting
Please bring to the meeting anything else that you feel will be helpful in building up a picture of your work and personal development including any Evidence for Appraisal forms and your Professional Development Portfolio if you have one.
I look forward to meeting with you. Yours sincerely
PREPARATION FOR REVIEW DISCUSSION Appendix 2
(You are not required to complete this form but doing so may help both you and
the appraiser to get the best out of the process).
Name Job Title
Department (if appropriate) Appraiser
Line Manager Appraisal Period From to
Use this form to help you think about the your role before your Appraisal discussion on: Date ____________________________ Time ____________to_____________ Location ________________________ You may write as little or as much as you wish (please add extra pages if you want to). Bullet points may be useful to write the most important information. Everything you write will help your Appraiser to make the discussion positive and useful. If possible it would be helpful if you would return a completed copy of this form to your Appraiser at least one week before the meeting.
What do you think are your main duties? Have these changed in recent times? Which parts of your job do you consider you do well?
Are there any parts of your job that you have difficulties with? Are there any particular issues that cause you problems? What do you think could be done to overcome any problems?
What do you think have been your most important achievements over the last year?
Is there anything else in your work that you would like to provide information about (i.e. something you are proud of that your Appraiser might not know about)? If appropriate please give the person you worked with an Evidence for Appraisal form (Appendix 4), and ask them to complete it. Please make a note here about who you are asking to do this.
What would help you to do your job better? (Training, shadowing other staff, working in another part of the school for example).
Which professional or occupational standards could/should you be focussing on in the coming year?
Looking to the future, what do you think your objectives for next year should be?
Are there any other points which you would like to raise at your Appraisal?
PROGRESS AGAINST PREVIOUS OBJECTIVES Appendix 3
(You are not required to complete this form but doing so will help both you and your Appraiser to obtain the most out of the process).
Objectives Fully Met ()
Partly Met ()
Not Met ()
N/A ()
Objective 1.
Objective 2.
Objective 3
Additional comments and evidence regarding progress against objectives
Do you consider each of these objectives has been: ()
Very Challenging
Challenging Quite
Challenging
Not Challenging
Objective 1
Objective 2
Objective 3
Evidence for Review Discussion - Feedback request Appendix 4
From: ………………………………….… (Appraisee) To: ……………………………………… (Colleague worked with) I will shortly be attending a meeting to discuss my annual Appraisal and I am currently completing my self-assessment. Since my last Appraisal I have worked with you on the activities that I have outlined in Box 1 below. I would be very grateful if you would take a little time to provide me with some feedback on our work together to help me to develop my objectives for next year. Please could you return this form to me by:……………………………………..
1. Brief description of the activity worked on with colleague. (Completed by Appraisee):
Approximate dates this work took place (Completed by Appraisee):
From
To
2. Please comment on what my contribution did to enhance our work:
3. Please add any advice, or make other constructive comments, that will help me to develop my performance.
APPRAISAL PROCESS - Tracking sheet (All Staff)
Appendix 5
Appraisee name Job title
Team School
Appraiser name Head of School’s/ Manager’s name
Appraisal period From : To :
Self-review form provided (before the meeting)
Date:
Appraisal Report discussion Objective Setting discussion
Date: Date:
NB: both discussions may take place on the same day
Appraisal objectives agreed
Yes No If no, date by which Head of School/ Manager must respond
Date:
Observations agreed (If applicable for Support Staff)
Yes No If no, date of further meeting with Appraiser
Date:
Training and development plan agreed
Yes No If no, date of further meeting with Appraiser
Date:
Appraisee completion signature
Date
Appraiser completion signature
Date
Head teacher agreement signature Date
CPD Leader - Training Plan agreement signature
Date
APPRAISAL REPORT - for the year 20…to 20… NAME……………….…..………… Appendix 6
A report by the Appraiser including an overview of the Appraisal period based on lesson observations, role expectations, and Appraiser and Appraisee discussions including Interim Review, self-review and additional evidence offered by the Appraisee. What has been achieved over the last year? What has been learned? Suggestions for improvement. Links to Roles and Responsibilities and level of experience.
Progress against previous objectives and links to the appropriate standards.
Pay progression recommendation for eligible staff.
Reviewee comments on the report above.
Head of School comment (if appropriate) and sign off.
22 © One Education Ltd. 2016
Objectives and Observation for the year 20… to 20… NAME……..………………..... Appendix 7
Objectives must be linked to the appropriate professional standards, the school improvement plan priorities, pupil progress, school/team goals and include appropriate aspirational elements. Objectives should also take account of experience and role as well as workload and work life balance.
What are your objectives for the coming year? Performance Criteria - How will you know if
you’ve achieved these objectives? Time line
Dates Links to school or team objectives
Links to professional
standards
23 © One Education Ltd. 2016
Agreed Observation/s Focus criteria for observation Time line
Dates Links to school or team objectives
Links to professional
standards
24 © One Education Ltd. 2016
Training and Development Plan (for the attention of the CPD Leader) Appendix 8
Plans should be clearly linked to the agreed objectives in Appendix A5. 20… to 20… NAME …………………………………….
Appraisee name ………………………………
Appraiser name …………………………..
Team
Year 20…. to 20….
What do I need to be able to do differently or better? Skills/ knowledge to be developed.
How will these needs be met – suggestions for resources and CPD activity required.
Who needs to be involved and will action this?
By when?
Links to objectives and
standards
25 © One Education Ltd. 2016
Appendix 9
CONFIDENTIAL
Invitation to a formal feedback meeting
Dear xxxxxx Following our discussions on xxxxxxxxxxxxxxxx (date) at which I advised you that I have concerns about your performance, I am writing to invite you to a formal meeting to discuss these concerns as determined by the Appraisal Policy. The meeting will take place on (date) in room . I will be accompanied by an adviser from One Education HR&People. You are entitled to be accompanied by a representative of your trade union or professional association or by a work colleague. If this date or time presents a problem for you please let me know as soon as possible. The purpose of the meeting is to:
give you clear feedback about the nature and seriousness of my concerns;
give you the opportunity to comment and discuss the concerns;
identify any support that may be provided to help address those specific concerns;
Confirm the timescale for review of progress
explain the implications and process if no or insufficient improvement is made.
Yours sincerely
26 © One Education Ltd. 2016
REVISION AGREEMENT Date ……………………………………. Name ……………………………. Appendix 10
Objective Reason for change to objective
New objective Performance Criteria - How will you know if
you’ve achieved these objectives?
Time line / Dates
Links to professional
standards
Links to school or team
objectives
27 © One Education Ltd. 2016
What do I need to be able to do differently or better? Skills/ knowledge to be developed.
How will these needs be met – suggestions for resources and CPD activity required.
By when?
Who needs to be involved and will
action this?
Links to school or team
objectives
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Appendix 11
CLASSROOM OBSERVATION - APPRAISAL PROTOCOL FOR TEACHERS
This protocol may be adapted, as may be appropriate, for support staff. The Governing Body is committed to ensuring that classroom observation is developmental 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. The arrangements for classroom observation will be included in the appraisal documentation and will include the purpose of observation, any particular aspects of the teacher’s performance which will be assessed, the duration of the observation, when during the appraisal cycle the observation will take place and who will conduct the observation. Information gathered during the observation will be used, as appropriate, for a variety of purposes including 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. In keeping with the commitment to developmental and supportive classroom observation those being observed will normally be notified in advance. 5 days’ notice will normally apply. Classroom observation will only be undertaken by those who have 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. In addition the Head of School may ‘drop in’ when appropriate to monitor standards – and this may be delegated to others in senior positions by the Head of School. Oral feedback will be given as soon as possible after the observation and unless this is not feasible, no later than the end of the following working day. It will be given in a suitable, private environment and unless this is not feasible, during directed time. Written feedback will be provided within five working days of the observation taking place. If issues emerge from an observation that were not part of the focus of the observation these will also be covered in the written feedback and the appropriate action taken in accordance with the regulations and guidance. The written record of feedback will include the date on which the observation took place and details of the lesson observed. The teacher may append written comments on the feedback document. No written notes in addition to the written feedback will be kept, except where a concern about a colleague’s performance requires this.
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APPENDIX 12
Template Letter 1 – Invite to Final Review Meeting at the end of a cycle of support in
appraisal process
PRIVATE & CONFIDENTIAL
<Date>
<Name of addressee>
<Address>
Dear <Addressee>
Appraisal Process - Invitation to a final review meeting
Following our discussions on <date of last review meeting> at which I advised you that I have ongoing
concerns about your performance, I am writing to invite you to a final review meeting to discuss these
concerns under the terms of school’s the Appraisal Policy and Procedure.
The meeting will take place on <date / time /venue>. I will be accompanied by an adviser from One
Education HR & People. You are entitled to be accompanied by a colleague or representative of
your trade union and in this connection I enclose a second copy of this letter to pass on to your
chosen companion.
If this date or time presents any difficulties for you please let me know as soon as possible.
The purpose of the meeting is to:
Give you clear feedback about the nature and seriousness of my concerns.
Give you the opportunity to respond to the concerns;
Discuss the support which has been provided to date;
Discuss the time for which the concerns have persisted and over which the support has been provided;
Discuss any degree of improvement that has been achieved and whether or not this has been sustained;
Identify any mitigating factors and discuss support that may be provided to help address those specific concerns;
Explain the implications and process of the transition from appraisal to formal capability procedures.
I need to advise you of the possible outcomes of the final review meeting, which are as follows:
where performance has reached the required standards you will be expected to maintain that level of performance and this will continue to be measured through your normal supervision / appraisals.
if it appears that your performance remains unsatisfactory, you will be invited to attend a Stage 1 – Formal Capability Meeting under the terms of the school’s Capability Policy and Procedure.
Once these matters have been considered, <insert name> will confirm the decision in writing within five
school working days.
30
In the meantime, should you identify any further support that you believe will assist you in
achieving the targets outlined in your Performance Improvement Plan, please let me know
immediately.
Please confirm your attendance at this meeting by return.
Yours sincerely
<Name>
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APPENDIX 13
Template Letter 2 – Outcome of Final Review Meeting at the end of a cycle of support in the
appraisal process and Invite to Formal Capability meeting (if applicable)
PRIVATE & CONFIDENTIAL
<Date>
<Name of Addressee>
<Address>
Dear <Addressee>
Outcome of Final Review Meeting
Following our meeting on <insert date> during which I raised concerns with regards to your current
level of performance, I write to confirm the outcome of the final review meeting at the end of the
cycle of support in the appraisal process.
The identified areas of performance concerns are as follows:
<Insert concerns and explain why the employee is not meeting the specified standards>
<If no further action >
I write to confirm that following the <insert number of months> during which your performance
levels were monitored, you have now reached, or are shortly expected to reach the specified levels
of performance, no further formal action will be taken.
However, in achieving this, you are expected to continue to maintain the required standards.
Should your satisfactory improvement prove only to be of a temporary nature and as such not
maintained during the next 12 months, you need to be aware that I have the option to return
immediately to this point in the procedure, if the performance concerns are related.
May I congratulate you on the effort you have put in to achieving these standards and I hope that
you continue to maintain these.
<Or> < If reference to health at this stage of the process>
As you had informed me that there is a possibility that your current health is impacting upon your performance, it was agreed that a referral to <insert Occupational Health Provider> be undertaken in order to obtain medical advice. Following receipt of the medical report <insert>:
if an underlying medical condition(s) has/have been identified and confirmed as having an impact upon your performance from this point on you will be managed under the Attendance Management Policy – ‘employees who have an underlying medical condition – employee still at work’.
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if an underlying medical condition(s) has/have not been identified and/or is not having an impact upon your performance the matter will continue to be managed under the Capability Policy and Procedure.
<Or> <Proceed to Formal Capability meeting>
I refer to the final review meeting on <insert date> to discuss the period of monitoring within the
Appraisal Process, which has been in place over the last <insert number weeks/months> As your
performance remains unsatisfactory, I advised you in the meeting of the possibility that the matter
would transfer to the formal Capability Procedure.
I now write to confirm that given the insufficient improvement which has been made I intend to
monitor your ongoing performance concerns within the school’s formal Capability Procedure.
You are therefore required to attend a Stage 1 – Formal Capability meeting to discuss my
continuing concerns. The identified areas of performance concerns are as follows:
<Insert concerns>
I have enclosed copies of your appraisal statements, a copy of your Performance Improvement
Plan agreed at the meeting held on <insert date>, notes of subsequent review meetings, which
detail your progress against the set targets.
This Stage 1 – Formal Capability meeting will take place on <insert date/time/venue> <insert name
of HR Adviser from > will also be present at the meeting.
At the meeting you are entitled to be accompanied by a colleague or trade union representative. If
you intend to arrange to be accompanied you should do so without delay and contact me directly if
there are any difficulties with the arrangements. A second copy of this letter is enclosed to provide
to your chosen companion.
If you wish to provide any additional documentation you would like me to consider please do so no
later than 5 working days before the meeting in line with the Capability Procedure.
The purpose of the meeting is to:
Explore the identified performance concerns and clarify the standards required for your role;
(For teachers – the concerns should be set out in line with the relevant Teachers’ Standards,
according to the teachers’ career stage, role and responsibilities and job description.
For support staff – the concerns should be identified in line with their job description, role and
responsibilities)and where appropriate the non-statutory Professional Standards for Teaching
Assistants (June 2016).
consider and review the evidence relating to the concerns about your performance in the context of the periods of additional monitoring and support within the Appraisal process;
provide an opportunity to discuss the evidence and determine the next steps.
Following consideration of the evidence the outcome may be a further period of monitoring under
Formal Stage 1 of the Capability Procedure. The meeting will:
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1. Set appropriate performance targets and success criteria. 2. Ensure that areas of concern identified are specific, clear and capable of being assessed
for achievement. 3. Give clear guidance on the standards to be achieved/targets to be met. 4. Determine the monitoring procedures and monitoring officer. 5. Agree the support to be provided and by whom. 6. Set the review period, a timetable for monitoring progress during the first review period and
a review date.
I must advise you that if a decision is taken to begin the formal performance procedures, an
outcome of this meeting could be a decision to issue you with a written warning.
Should you have any queries regarding the content of this letter please do not hesitate to contact
me.
Yours sincerely
