PRINCIPALS’PROFESSIONAL APPRAISAL PROGRAM

ACT Department of Education, Youth and Family Services

Administrative Guidelines

2004

Principals’ Professional Appraisal Guidelines 20041

Principals’ Professional Appraisal Guidelines 2004 2

Contents

Introduction 3

Purpose 3

Values 4

Definition of Terms 4

Implementation 4

Timing 4

The Appraisal Process 5

Timetable 2004 7

Reporting Requirements 8

Resolving Differences 8

Training 8

Change of Position 8

Principals in HDA positions 8

Evaluation 9

Supporting Documents

All Attachments and supporting documents are available athttp://136.153.10.102/organisation/Appraisal/principals.htm

Attachment A Professional Descriptors for Principals Leadership and Management Framework Domains

Attachment B Professional Appraisal Agreement

Attachment C Sample Professional Appraisal Agreement

Attachment D (i) Professional Appraisal Action Planner 1

Attachment D (ii) Professional Appraisal Action Planner 2

Attachment E Mid–cycle Review: Record of Self Appraisal

Attachment F Review Framework

Attachment G Summative Review: Report to Chief Executive

Principals’ Professional Appraisal Program

Introduction

This document sets out the purpose, values and administrative arrangements for the professional appraisal of principals.

Principals are responsible for the learning outcomes of all students. They monitor and improve the quality of service delivery through planning for teaching and learning and implementing change management to meet the needs of students. This requires strategic educational and administrative leadership, high level communication skills and organisational management. This also includes the effective management and development of staff in creating high performing teams with quality client based practices. Principals use their skills in these areas to determine and implement strategies to enable the achievement of agreed priorities.

Principals create strategic linkages and work cooperatively with the school board and community in establishing direction and monitoring progress of educational programs, student support, school organisation and resource management. They provide advice to departmental executive on the development of educational priorities and accept responsibility for delivery of system wide policies and programs.

Professional work descriptors have been developed to help clarify work expectations of principals. These descriptors will assist principals and appraisers in the Principals’ Professional Appraisal Program to provide feedback on performance and recommendations for professional development.

Gathering data on performance is an important part of the appraisal process. Performance measures will be negotiated to indicate the achievement of priorities. Priorities and performance measures will reflect departmental directions within the context of the school.

Purpose

Professional appraisal is about assessing performance and providing feedback to the individual. The Principals’ Professional Appraisal Program is conducted with the aim of aligning professional performance with departmental and school strategic directions. It has a twin focus of accountability and continuous improvement.

The outcomes of this process include the achievement of system and school priorities and the professional growth of principals. Performance measures will be developed as indicators of the achievement of priorities taking account of the school context.

Values

The following values underpin the structure of the Principals’ Professional Appraisal Program:

· objectivity and fair assessment· constructive feedback· integration with core business· confidentiality· mutual support and respect

Definition of Terms

· A priority is a key result area. Each priority will be consistent with the Purchase Agreement for the Department of Education, Youth and Family Services, the DEYFS Business Plan, the ACT Government Schools Plan, the School Development Plan and data provided in the school Fact Sheet. Within the context of the school, the department will set some priorities in the Professional Appraisal Agreement and others will be negotiated by the parties. Around five priorities reflecting a balance of system and school goals should be identified within any year. In the year of school review the main priority for the appraisal program will be to develop and implement an effective review process.

· Performance measures are used to appraise performance against each priority. Measures should be specific and achievable within the timeframe of the Professional Appraisal Agreement. Both quantitative and qualitative measures will provide evidence of achievement of the priorities.

Implementation

All principals working in the ACT government schools system are involved in the professional appraisal program.

The professional appraisal of principals will generally be conducted by the Directors of Schools, Planning and Professional Learning, Human Resources, School Operations, Children’s Services, Training and Adult Education and Curriculum and Assessment.

Timing

The professional appraisal program will have annual appraisals and reporting taking into account a three-year horizon. This timeframe will align with the school review cycle. In the year of the school review, a major priority will be developing and implementing an effective review process.

The Appraisal Process

The appraisal program is structured around three stages involving the principal and the director.

Stage 1 - Planning Conference

A number of priorities (approximately five or six) reflecting a balance between system and school goals will be negotiated between the principal and the director at the initial meeting. Within the context of the school, the department will set some priorities in the Professional Appraisal Agreement and others will be negotiated by the parties. These may include personal goals. Within the priorities there is room to include cluster priorities.

As the governing body, the school board establishes the strategic direction for the school and monitors the implementation of system and school priorities identified in the school’s development plan. A framework will be developed to facilitate reporting to the board on progress in achieving its priorities. However, the outcomes of principal appraisal will be reported to the Chief Executive rather than to the school board.

Each priority should have performance measures that are specific and achievable within the timeframe of the Professional Appraisal Agreement. In establishing measures, baseline data must be taken into consideration. Recognition of the context of the school will support the development of challenging and realistic measures. Both quantitative and qualitative measures will provide evidence of achievement of priorities.

In setting priorities there should be consideration of the professional learning needed to assist in their achievement. The Leadership and Management Framework will help in identifying learning needs and professional development planning.

An outcome of Stage 1 is an appraisal agreement between the principal and the Chief Executive. (Attachment B).

Stage 2 - Mid Cycle Review

This is the mid-cycle formative appraisal meeting between the principal and the director. The principal will complete a draft record of progress towards the achievement of priorities (Attachment E) which will provide the basis of discussion between the principal and director. In light of these discussions, there is an opportunity to refine the priorities and performance measures in the agreement.

Stage 3 - Summative Appraisal and Reporting

This summative appraisal and reporting stage is an opportunity to review the principal’s performance against the priorities. The principal will provide a draft record of progress towards achieving the priorities. (Attachment G). This record will form the basis of a report to the Chief Executive. The director provides feedback to the principal in terms of achievements and areas for continuing professional development. Future priorities

should be identified. These priorities will inform the development of the next agreement within the cycle.

Stages of the Appraisal Cycle

STAGE 3Summative Appraisal

and Reporting

STAGE 1Initial Meeting/

Planning Conference

STAGE 2Mid Cycle Review/Formative Appraisal

Timetable 2004

ACTION OUTCOME DATE DUE

Summative review meeting between Director and Principal (Term 4, 2003)

1. Summative Report Friday 5 December 2003

Meeting between Director and Principal to sign off Appraisal Agreement.

Appraisal Agreement(Attachment B)

Date: …………………Delivered to Director, School Operations, Northside, by Friday 12 March 2004 (Term 1, Week 6)

Prior to mid-term review, Principal prepares draft progress report.

Draft progress report(Attachment E)

Date:………………….E-mailed to Directorby Friday 23 July 2004(Term 3, Week 1)

Mid-term review – meeting between Director and Principal

Agreed progress report Date: …………………Completed by Friday 6 August 2004.(Term 3, Week 3)Copy retained by Director

Pre-summative review – Principal prepares draft Summative Report.

Draft Summative Report Date:.…………………E-mailed to Director by Friday 5 November 2004 (Term 4, Week 4)

Summative review meeting between Director and Principal

Summative Review Report (Attachment G) agreed and signed by Director and Principal.

Date: .………………Friday 3 December 2004 (Term 4, Week 8)Delivered to Director, School Operations, Northside

Reporting Requirements

Central to the Principals’ Professional Appraisal Program is the Professional Appraisal Agreement. This document identifies agreed priorities and performance measures. The director (as the Chief Executive’s delegate) and the principal develop this agreement. (Attachment B).The original signed copy of the agreement is forwarded to the Director, School Operations, Northside, as delegate for the Chief Executive. The principal and the director retain copies.

Feedback from the Summative Review Stage informs the final report to the Chief Executive (Attachment G). The original signed copy of the report is forwarded to the Director, School Operations, Northside, as the delegate for the Chief Executive. The principal and the director retain copies.

Resolving Differences

At any stage in the appraisal cycle, the principal can seek to resolve any concerns with the process by consulting with the Executive Director, School Education, or the Chief Executive, in line with current procedures.

Training

Appraisal training will be incorporated into the principals’ induction program to ensure newly appointed principals are familiar with the program. Staff from Professional Appraisal Section will also be available to brief newly appointed principals throughout the year. In addition, information and documentation to support the appraisal process will be available on line, and updated as appropriate.

Change of position

In situations where a principal changes position during the school year, their existing Professional Appraisal Agreement will be reviewed by negotiation with the director previously assigned to that school. Variations to meet the changed circumstances will be made within one month of commencing in the new position. Similarly, newly appointed principals will meet with their assigned director within one month of appointment.

As changes of principal may occur at any time in the school year, the principal and the director will be mindful of the abbreviated timeframe of the appraisal cycle. Priorities and performance measures must be realistic and achievable within the time remaining for that calendar year.

HDA arrangements

A person acting in a principal’s position on Higher Duties Allowance (HDA) for a period of one term or more should meet with the director assigned to the school within the first four weeks of commencing the appointment. In most cases the core of the previous principal’s agreement will be followed, although variations may be made to suit individual circumstances.

Evaluation

The department is committed to implementing effective professional appraisal programs in schools and recognises the importance of evaluating the process. The evaluation will highlight the impact of the program on

· improving student outcomes and student engagement, and · enhancing professional growth of principals.

Initial evaluations were conducted at the end of 2001, 2002 and 2003. A similar evaluation of the program will be conducted before the end of 2004.

Attachment A

PROFESSIONAL DESCRIPTORS FOR PRINCIPALS

(Extracted from Professional Descriptors for Teachers and Principals)

Teachers, Level 3 and 4 - Principals (School Based) demonstrate a high level of competence in the areas outlined in the Deputy Principal role. They communicate with influence and exemplify personal commitment and integrity. Principals:

· are responsible for the learning outcomes of all students

· provide strategic educational and administrative leadership, guidance and management, developing teams with high quality client based practices

· monitor and improve quality of service delivery through planning for teaching and learning, implementing change management to meet the needs of students

· create strategic linkages and work cooperatively with the school board and community in establishing direction and monitoring progress of

· educational programs· student support· school organisation, and · resource management.

· provide advice to departmental executive on the development of educational priorities and accept responsibility for delivery of system wide policies and programs.

ACT Leadership and Management Framework

Principals should also refer to the ACT Leadership and Management Framework which addresses the five key leadership domains:

1. Strategic management: Addresses the higher level direction setting and integration of outcomes that needs to occur at all levels across an organisation.

2. Self Management: Addresses the personal leadership behaviours and attitudes that leaders need to display in order to lead people and organisations effectively.

3. Leading People: Addresses the key function of developing effective working relationships capable of meeting the needs of organisations.

4. Organisational Management: Addresses the issues of managing resources and ensuring outcomes are achieved within organisational policies, practices and procedures.

5. Communication: Addresses the need for leaders to be excellent communicators and their role in facilitating effective communication at all levels within, and external to, the organisation.

Attachment B

PRINCIPALS’ PROFESSIONAL APPRAISAL AGREEMENT

Purpose

To provide a framework for Principals to set priorities which allow their performance to be measured and recognised and to identify supporting professional development.

Parties

This Professional Appraisal Agreement is between, Principal of and the Chief Executive, Department of Education and Community Services. It covers the period of (one year).

Process

The Professional Appraisal Agreement is a negotiated document. Both parties are expected to contribute to the drafting of the agreement and commit to it. The agreement and the process of its implementation are consistent with the department’s performance development planning cycle.

The priorities in this agreement are consistent with those identified in:

· the Purchase Agreement for the Department of Education,Youth and Family Services· the Department of Education, Youth and Family Services Business Plan, · the ACT Government Schools Plan, including the Services to Indigenous People Action Plan and the Student Services

Action Plan, and · the School Development Planand are informed by evidence in the School Fact Sheet.

PRINCIPALS’ PROFESSIONAL APPRAISAL AGREEMENT

NAME OF PRINCIPAL: SCHOOL: NAME OF DIRECTOR: This agreement covers the period: (one year)

PRIORITY STRATEGIESNEGOTIATED OUTCOME

PERFORMANCE MEASURES

The parties agree to review the Principal’s Professional Appraisal Agreement against performance measures on an annual basis. There will be a mid cycle review to monitor progress. The agreement may be updated at any time at the initiation of either party.

Principal: School:

Director, for Chief ExecutiveDepartment of Education, Youth and Family Services

Signature

Name:

Signature

Attachment C

PRINCIPALS’ PROFESSIONAL APPRAISAL AGREEMENT SAMPLE

Purpose

To provide a framework for Principals to set priorities which allow their performance to be measured and recognised and to identify supporting professional development.

Parties

This Professional Appraisal Agreement is between, Sandy Shores Principal of Noname School and the Chief Executive, Department of Education, Youth and Family Services. It covers the period of 2004 (one year).

Process

The Professional Appraisal Agreement is a negotiated document. Both parties are expected to contribute to the drafting of the agreement and commit to it. The agreement and the process of its implementation are consistent with the department’s performance development planning cycle.

The priorities in this agreement are consistent with those identified in:

· the Purchase Agreement for the Department of Education, Youth and Family Services,· the Department of Education, Youth and Family Services Business Plan, · the ACT Government Schools Plan, including the Services to Indigenous People Action Plan and the Student Services

Action Plan, and · the School Development Planand are informed by evidence in the School Fact Sheet.

PRINCIPALS’ PROFESSIONAL APPRAISAL AGREEMENT

NAME OF PRINCIPAL: SCHOOL: NAME OF DIRECTOR: This agreement covers the period: (one year)

PRIORITY STRATEGIESNEGOTIATED OUTCOME

PERFORMANCE MEASURES1. Develop a safe and health promoting school.

2. Enhance Literacy attainment levels in year 1.

Data on bullying and harassment incidents compiledInformative programs, outlining the forms of bullying and harassment, introduced for years 2 to 6.Bullying survey conducted in years 2 to 6 to identify perpetrators and high incident areas.

Support Early Intervention Program by allocating additional 50% teacher, IT resources.Introduce PIPS program.Compile benchmark data.

· 80% of students surveyed perceive the school as a safe place .

· Parent satisfaction rate of greater than95% as reported in school review.

· All year 1 students identified at risk (RR level 5 or below) have access to Early Intervention Programs in 2002.

· At the end of the year, 90% of these students will be at RR level 14 or above.

· Book borrowing from the library by year 1 students will increase by 30% over the year.

3. Increase engagement level of year 9 boys in their learning.

4. Integrate ICT into teaching and learning in senior school.

Introduce anger management programs for year 9 students.Introduce a wider range of subject choices and ensure that they are accessible by all “at risk” students.Implement intervention programs for students referred to Student Welfare for behaviour.

Upgrade hardware and software in senior area of school.Introduce mentor and coaching programs for staffSupervise relevant budget allocation to support PD

· Truancy rates of year 9 boys are reduced by 25%.

· Performance on ACTAP in Writing Content and Writing Language improved for year 9 boys by 25%.

· All senior students will access the computer network from their learning area.

· Reported satisfaction rates with course units will be at 80%.

The parties agree to review the Principal’s Professional Appraisal Agreement against performance measures on an annual basis. There will be a mid cycle review to monitor progress. The agreement may be updated at any time at the initiation of either party.

Principal: Sandy ShoresSchool: Noname school

Director, for Chief ExecutiveDepartment of Education, Youth and Family Services

Signature Signature

Attachment D (i)

PRINCIPALS’ PROFESSIONAL APPRAISALACTION PLANNER 1

NAME: SCHOOL: DATE:

This planner provides a record of strategies put in place to achieve agreed performance measures. It may be used to guide discussion and inform the appraisal process.

Priority Strategy Performance Measure Timeline Professional Learning Needs

Attachment D (ii)

PRINCIPALS’ PROFESSIONAL APPRAISAL ACTION PLANNER 2

This planner provides a record of the links between system, school and principal priorities and the associated strategies and performance measures. It may be used to guide discussion and inform the appraisal process.

SYSTEM PRIORITY

SCHOOL PRIORITY

PRINCIPAL PRIORITY PERFORMANCE MEASURE

STRATEGY PERFORMANCE MEASURE

Attachment E

PRINCIPALS’ PROFESSIONAL APPRAISAL

MID-CYCLE REVIEW: RECORD OF SELF APPRAISAL

PRIORITY NEGOTIATED OUTCOMEPERFORMANCE MEASURES

PROGRESS TO DATE/COMMENTS

Attachment F

FEEDBACK FROM DIRECTOR

PRINCIPALS’ PROFESSIONAL APPRAISAL REVIEW FRAMEWORK

Name: Date:

Achievements

Areas for Development

Professional Development

Future Priorities

Attachment G

PRINCIPALS’ PROFESSIONAL APPRAISAL SUMMATIVE REVIEW REPORT TO CHIEF EXECUTIVE

A Professional Appraisal Agreement was made on (date)

between , Principal of (name of principal) (school)

and the Chief Executive, Department of Education, Youth and Family Services.

Progress on the Professional Appraisal Agreement was reviewed on and .(dates)

The following provides a summative statement of the principal’s priorities and achievements within the appraisal cycle.

Priorities identified in the agreement

Achievements in addressing the priorities

Principal: School:

Director, for Chief ExecutiveDepartment of Education, Youth and Family Services

Signature………………………………

Signature………………………………