Performance Management Systems

This is the first in a series of guidelines on performance management. The series will provide boards of trustees, principals, and teachers with an overview of performance management and the prescribed requirements for teacher appraisal in schools.

Readers are reminded that this is the first in a series of publications that provide guidance for boards of trustees, principals, and teachers, and replace the discussion document, Draft National Guidelines for Performance Management in Schools (1995).

The material in this publication provides boards of trustees, principals, and teachers with an overview of performance management and the prescribed requirements for teacher appraisal, as well as information to assist boards and principals to develop and implement a performance appraisal system.

Subsequent PMS guidelines will feature:

• issues for rural schools and teaching principals;
• principal appraisal and performance agreements;
• appraisal of specialist teachers, including those in Mäori immersion classes; and
• teacher registration.

Boards and principals may wish to assemble this series in a single file for ready reference.

For further information about the material in this publication, Curriculum Division,

Ministry of Education, Box 1666, Wellington, fax (04) 471 6193.

E-mail: curriculum@minedu.govt.nz

For information and assistance in setting up or reviewing your school's performance management system, contact your nearest Ministry of Education Management Centre.

1. The context and purpose of performance management

Performance management involves the development and implementation of policies and procedures to ensure that the teachers and staff of schools provide education and services that fully meet the needs of their students.

Sound performance management systems provide a systematic approach to goal setting and link school objectives to the performance of each individual staff member.

Timely dialogue and feedback between teachers and principals will help ensure schools meet goals and objectives.

An effective performance management system should encompass many personnel management policies. These would include:

• the recruitment and retention of staff;
• the selection and appointment of staff;
• those clauses of collective and individual employment contracts which relate to performance management;
• the statutory requirements for teacher registration;
• the appraisal and assessment of staff;
• the professional development of staff;
• career development;
• succession planning;
• remuneration management; and
• the discipline and dismissal of staff.

2. The place of performance appraisal

On 12 December 1996, the Secretary for Education issued a prescription in The New Zealand Gazette for assessing the performance of teachers. This followed extensive consultation and feedback on the discussion document, Draft National Guidelines for Performance Management in Schools, published in 1995.

The primary purpose of these requirements is to provide a positive framework for improving the quality of teaching (and therefore learning) in New Zealand schools.

Boards of trustees need to ensure that each teacher is provided with opportunities for appropriate professional development.The professional growth of every teacher is a vital component of effective personnel management and directly benefits all students.

Recognising that many schools have already developed performance appraisal systems, the prescription establishes the minimum requirements for the appraisal of teachers.

The mandatory requirements provide flexibility to allow boards of trustees to design performance appraisal systems appropriate to their school and community, within a minimum quality assurance and accountability framework.

3. The legislative framework for performance management in schools

The effective management of the performance of teachers involves the development and implementation of appropriate policies and processes in accordance with legislation. The State Sector Act 1988 and The Education Act 1989 provide the framework for performance management in schools.

Performance Management - The Legislation

The State Sector Act:

• applies to all state employees;
• provides for "good employer" and "EEO" requirements; and
• gives the Secretary for Education the authority to prescribe matters for assessing teacher performance.

The Education Act:

• applies to all state and integrated schools and national education agencies;
• defines the authority of boards and principals;
• defines teachers and the teacher registration process; and
• enables the Minister of Education to prescribe National Administration Guidelines.                 

Assessing Teacher Performance

The matters to be taken into account by boards of trustees in assessing the performance of teachers:

• principles underlying policies and procedures;
• features of the appraisal process; and
• aspects of teacher performance to be appraised.

The National Administration Guidelines:

• apply to all state and integrated schools; require schools to promote high levels of staff performance; and require compliance with "good employer" and employment contract provisions.

Legislation

The State Sector Act 1988

Part VII. This part of the act deals with the general principles applicable to employers in the education service (including boards of trustees) in relation to the employment of staff. In particular, it refers to the need to ensure that boards operate personnel policies which comply with the principles of being a good employer.

Section 77C. This section of the Act provides for the Secretary for Education to prescribe matters to be taken into account when assessing the performance of teachers.

The Education Act (1989)

Sections 60A and 61 deal with the requirements on boards under their charters and the National Education Guidelines. Section 60A allows for the Minister to specify National Education Goals, National Administration Guidelines, and National Curriculum Statements. Under Section 61, every school must have a written charter of aims and objectives. All charters are deemed to contain the aim of achieving, meeting, or following the National Education Guidelines.

• National Administration Guideline 2 (1993) places two requirements on boards of trustees with respect to the management of staff performance:

1. to develop and implement personnel and industrial policies, within policy and procedural frameworks set by Government from time to time, that promote high levels of staff performance, use educational resources effectively, and recognise the needs of students; and
2. to be a good employer as defined in the State Sector Act 1988, and comply with the conditions contained in employment contracts applying to teaching(see footnotes)and non-teaching staff.

• National Administration Guideline 4 (1993) establishes a requirement for boards of trustees to provide a programme of regular self-review.

Section 65 authorises boards of trustees to appoint, suspend, or dismiss staff.

Sections 66 and 66A give boards the power to delegate responsibilities to a special committee of trustees or staff.

Section 75 gives boards the control of the management of schools, except where other New Zealand laws apply.

Section 76 defines the role of principals in two ways:

1. A school's principal is the board's chief executive in relation to the school's control and management; and
2. Except to the extent that any enactment, or general law of New Zealand, provides otherwise the principal:
   1. shall comply with the board's general policy directions; and
   2. subject to paragraph (a) of this subsection, has complete discretion to manage the school's day-to-day administration as he or she sees fit.

Sections 120 and 127 (1996) establish that in order to renew a practising certificate, a teacher must have "satisfactory recent teaching experience".

Section 120A (1996) restricts the permanent appointment of teachers to those who hold a practising certificate.

Section 120B (1996) restricts the employment of a teacher to those who hold a practising certificate or a 'limited authority to teach' from the Teacher Registration Board.

Footnotes:

• Clauses 5.2.5 (a) and (b) of the Primary Teachers' Collective Employment Contract (1995-98) require that appraisal occurs annually for salary progression. This appraisal is dependent on competent performance and/or on proven initiative in the performance of classroom duties, which shall be carried out in a highly competent manner, as attested by the principal.
• Clause 2.7.1 (a) of the Secondary Teachers' Collective Employment Contract (1996-98) requires classroom teachers to be working towards "high competence and quality".
• Appendix G of the Secondary Teachers' Collective Employment Contract (1996-98) outlines the "quality teaching criteria".
• Appendix 5 of the Area Schools' Collective Employment Contract (1996-98) outlines the "quality teaching criteria".
• Individual employment contracts for primary and secondary principals provide for progression based on performance.

4. The mandatory requirements as prescribed by the Secretary

As provided for in the State Sector Act (1988), the Secretary for Education recently prescribed, by way of a notice in The New Zealand Gazette, the following matters to be taken into account by the employers when assessing the performance of teachers. The full text of this notice is reproduced on page 2 of the Education Gazette of 10 February 1997.

1. Principles that underpin the policies and processes boards have in place for the appraisal of teacher performance;
2. Features of the appraisal process
3. Aspects which should be appraised.

1. Principles

Boards of trustees should ensure that policies and procedures for the appraisal of teacher performance:

1. are part of an integrated performance management system operating within the school;
2. are appropriate to individual teachers, the school, and the wider community;
3. are developed in a consultative manner with teachers;
4. are open and transparent;
5. have a professional development orientation;
6. are timely and helpful to the individual teacher; and
7. give consideration to matters of confidentiality, including the provisions of the Privacy Act and the Official Information Act.

2. Features of the appraisal process

The board of trustees is responsible for ensuring that:

1. a policy for the appraisal of teacher performance is in place which is in accordance with the principles;
2. responsibility for the implementation of the appraisal policy and process is formally delegated to a professionally competent person or persons;
3. the appraisal process for each teacher is completed in accordance with the policy; and
4. each teacher participates in the appraisal process at least once within a twelve-month period.

Boards of trustees must have a documented policy on the appraisal of teacher performance. This policy must:

1. specify the person(s) responsible for the implementation of the appraisal policy and process;
2. specify the process which will be followed in the appraisal of teacher performance;
3. include a statement on confidentiality; and
4. specify a process for dealing with disputes.

Boards of trustees (through the person(s) responsible) must ensure that the appraisal process includes the following elements:

• the identification of an appraiser, in consultation with the teacher concerned;
• the development of a written statement of performance expectations, in consultation with each teacher;
• the identification and written specification of one or more development objectives to be achieved during the period for which the performance expectations apply;
• for each development objective, the identification and written specification of the assistance or support to be provided;
• observation of teaching (for those with teaching responsibilities);
• self-appraisal by the teacher;
• an opportunity for the teacher to discuss their achievement of the performance expectations and the development objective(s) with their appraiser; and
• an appraisal report prepared and discussed in consultation with the teacher.

3. The aspects of teachers' performance which should be appraised

Boards of trustees (through the person(s) responsible) must ensure that the performance expectations for teachers must relate to the key professional responsibilities and key performance areas of their position. Key professional responsibilities/performance areas are:

1. teaching responsibilities (such as planning and preparation, teaching techniques, classroom management, classroom environment, curriculum knowledge, and student assessment);
2. school-wide responsibilities (such as contribution to curriculum leadership, school-wide planning, school goals, the effective operation of the school as a whole, pastoral activities and student counselling, and community relationships); and
3. management responsibilities (such as planning, decision-making, reporting, professional leadership, and resource management).

5. Questions and answers

Why is the appraisal of teachers mandatory?

The Government, through boards of trustees, requires assurance, on behalf of taxpayers, that teachers are being supported by sound management systems and practices and in turn are providing high-quality learning opportunities for students.

How does performance appraisal relate to performance management?

Performance appraisal is one component of performance management. Boards should provide support for an appraisal process that establishes expectations and objectives and leads to professional growth through reflection and formal feedback.

How often should feedback occur?

Frequent opportunities should be provided for collegial and/or individual discussion and feedback.

Is there any difference between the terms appraisal, assessment, and evaluation?

No. The terms are interchangeable, although for the purposes of the prescibed requirements, the term "appraisal" is defined as "an evaluative and developmental activity in the framework of professional accountability".

To which employers does this prescription apply?

A board of trustees, as the employer, is the only body for which matters can be prescribed under section 77C of the State Sector Act.

What is meant by the term "consultative manner"?

The policies and procedures for appraisal should be developed in consultation with all staff involved. Teachers should feel a sense of ownership of, and have confidence in, the appraisal procedures.

Which teachers are included in this prescription?

In this prescription the term "teacher" includes:

• all appointees holding teaching positions;
• principals;
• teachers with management responsibilities;
• guidance counsellors;
• attached teachers with specialist responsibilities;
• part-time teachers;
• long-term relieving teachers;
• provisionally registered teachers;
• teachers registered subject to confirmation; and
• those persons holding a limited authority to teach.

Can short-term and day relief teachers participate in the appraisal process?

It is not mandatory. As a general principle, the establishment of performance expectations and development objectives is valuable for all staff. Short-term and day relief teachers should discuss the matter with the principals of schools in which they are employed.

Do employment contracts refer to performance management?

Yes. Recent settlements of teachers' and principals' employment contracts make direct reference to aspects of performance management.

Can the appraisal system be applied to other staff in a school?

Yes. Although this prescription applies only to teachers, under the good employer provisions of the State Sector Act, a board of trustees may extend the scope of the school's appraisal policy to cover all staff.

How does performance appraisal relate to the school's aims and objectives?

To ensure that policy and procedures for appraisal are appropriate to the needs of the school and wider community, a board should ensure that the performance expectations developed for each teacher align with the school's charter, goals, and special character.

6. Useful references

Beverley Bell and John Gilbert. Teacher Development: A Model from Science Education. London: Falmer, 1996. A textbook outlining the teacher development model developed by Bell as a result of three years' work with New Zealand science teachers.

Carol Cardno. "Diversity, Dilemmas and Defensiveness: Leadership Challenges in Staff Appraisal Contexts", in School Organisation, 15:2, 1995. An article examining issues for principals in effective appraisal.

Graham Collins. "Performaoce Management: Where Are we Now? Where to Next?", in New Zealand Principal, November 1996. A short article outlining the background to the performance management initiative, as well as current implementation issues.

Education Review Office. Managing Staff Performance in Schools. Wellington: The Office, 1995. A National Education Evaluation Report that highlights performance management issues and includes examples of effective performance management systems from four schools.

Wayne Edwards. "Appraising Teachers. Is There Light Without Heat?", (in SET Number 1, 1992). A short article exploring some key issues and outlining how schools have dealt with them.

NZEI. Appraisal: A Process for Development and Appraisal Training: A Series of Practical Activities. Wellington: the Institute, 1995. Two practical guides for developing whole-school appraisal schemes.

New Zealand School Trustees' Association. Trustees' Handbook. Wellington: The Association, 1995. Section 17 provides an overview of approaches to evaluating staff performance.

David Stewart and Tom Prebble. The Reflective Principal: School Development within a Learning Environment. Palmerston North: ERDC Press, 1993. Section 4 gives a wide ranging overview of appraisal issues and approaches.

David Stewart/NZEI/TRB. Performance Management for Professional Teaching: A Collegial Approach. 1996. A video resource outlining how "quality learning circles" can be adapted to meet performance management needs.

7. Principles and requirements

Performance Appraisal - Seven Key Principles

1 Professional Orientation - to foster positive improvement and professional growth and to improve teaching and learning

2 Flexibility - to meet individual and school needs

3 Consultation - to create teacher ownership of the process and outcomes

4 Transparency - to ensure no hidden agendas

5Integration - to achieve linkage to other key performance management elements

6 Timeliness - to integrate the appraisal process with individual teacher needs and other school events

7 Confidentiality - to give confidence to, and respect the rights of, participants

Performance Appraisal - Twelve Key Requirements

The board of trustees for each school must:

1 develop an appraisal policy;

2 make appropriate delegations;

3 monitor policy implementation and procedures;

4 ensure confidentiality; and

5 specify dispute processes;

Procedures for appraisal must include:

6 nomination of appropriate appraisers for all staff (including the principal);

7 performance expectation statements;

8 establishment of develpment objective(s) and targeting professional development;

9 observation of teaching;

10 self-appraisal;

11 appraisal discussion and an appraisal report; and

12 participation of all teachers within a twelve-month timeframe;

8. Developing and implementing an appraisal system

The Role of the Board of Trustees

The board has three roles in performance appraisal:

• as the employer
• in developing the policy, , providing the resources, and ensuring that the policy is implemented; and
• in monitoring and reviewing the policy

Designing a Performance Appraisal System

The mandatory requirements provide flexibility to allow boards to design systems appropriate to their school and community, in consultation with their staff. Two important design decisions are:

• sequencing the elements of the appraisal system; and
• linking appraisal with other elements of the performance management system.

As the Employer

As the legal employer of all staff, the board of trustees has a primary responsibility for ensuring the development and implementation of a performance appraisal system, to meet local needs as well as the prescribed requirements. Each board should consider the appraisal needs of the staff that it employs:

• the principal
  • both as professional leader and manager on behalf of the board;
• teaching staff
  • employees with teaching responsibilities; and
• other staff
  • those supporting the organisation and administration of the school.

Developing the Policy

The board policy on appraisal must:

• reflect the prescribed principles and specify the process;
• make an appropriate statement about delegations;
• include a statement on confidentiality; and
• specify a process for dealing with disputes.

The Principles

The principles give direction to the establishment and implementation of an appraisal system. While five of the principles are self-evident, the terms transparency and timeliness may require further interpretation.

To be transparent, there should be no surprises or hidden agendas in the operation of an appraisal process. All staff should know what the key processes are and why they are needed.

Timeliness refers to the need to relate the twelve-month timeframe for the appraisal process to the other key processes in the annual cycle of the school's operation Ð budget-setting and planning for professional development. It also refers to the need to pursue professional development initiatives for individual teachers. The appraisal cycle need not operate from February to December, but might operate over any twelve-month period and could vary from teacher to teacher.

The Process

The appraisal process must include the features and aspects outlined in the prescription.

Delegations

When delegating responsibility for the appraisal process, boards should consider whether the person(s) have the:

• appropriate skills and expertise to complete the expected task;
• confidence of those with whom they must work; and
• time available to complete the task effectively and report to the board as required.

In establishing the delegations for appraisal, boards should distinguish between the appraisal of the principal, of teachers, and of other staff.

Principal	Teachers	Other Staff
Appraisal of schoolwide responsibilities is usually delegated to either: - the board chairperson; - a committee; or - a contracted consultant. Appraisal of teaching responsibilities should be carried out by someone who is professionally competent.		Appraisal is usually delegated to the: - principal (smaller schools); or - the principal and/or senior staff (larger schools).	Appraisal may be included in the board appraisal policy. Appraisal is usually delegated to the: - principal (smaller schools); or - the executive officer (larger schools

Principals provide reports to boards for the purposes of monitoring and accountability.               

Confidentiality

In developing a statement on confidentiality, boards should consider the relevant aspects of the Privacy Act and the Official Information Act.

The appraisal report of individual teachers would normally be confidential to the appraisee, the appraiser, and the principal, unless the appraisee agrees otherwise. When considering the appraisal report on the principal, the board would normally need to move into committee.

Once the board has delegated responsibility for appraisal, individual board members would not normally have access to the appraisal documentation.

Boards, principals, and teachers are reminded that the Education Review Office has a statutory right to examine any information in a school for the legitimate purpose of conducting any review. When review officers sight appraisal documentation to ensure the prescribed requirements are being met, they are mindful of the confidential nature of such information. All review officers are bound by a code of conduct that requires them to "respect the confidentiality of information acquired in the course of their duties". They also abide by the requirements of the Official Information Act and the Privacy Act.

Disputes

To ensure fairness and justice, a process is required to deal with dissatisfactions that may arise in particular cases. However, in any dispute, the board, as employer, has responsibility for the final decision. This is consistent with current employment contracts.

Monitoring and reviewing the policy

In delegating responsibility for the implementation of appraisal, the board, as employer, retains a responsibility to monitor and review the operation of appraisal processes in the school. Boards need to be assured that the processes reflect the policy and are being implemented effectively.

Monitoring appraisal

The board needs to consider the form, frequency, and level of detail of reporting that it requires for monitoring purposes. Reporting requirements should be established at the time of delegation. A board might expect to receive a progress report from those to whom it has delegated responsibility once every six months. However, this will depend on the number of teachers.

Reviewing appraisal

The appraisal policy and procedures need to be regularly reviewed to ensure that the appraisal process is functioning effectively and meeting the expectations of all concerned. A board should ensure that the appraisal process is reviewed at least twice in their three-year term. Then, if necessary, the policy should be reviewed in consultation with staff. The seven prescribed principles provide a checklist for boards in reviewing their appraisal policy and procedures.

Sequencing the elements of an appraisal system

Though the elements required in the appraisal process are specified in the matters prescribed by the Secretary for Education, the way in which the elements are sequenced is flexible. Schools therefore need to consider what sequence meets their particular needs and philosophy. Many different and effective appraisal systems already operate in schools. Some may need further refinement to meet the prescribed requirements.

Linking appraisal with other performance management elements

Boards are required to ensure that the appraisal process is integrated with the wider performance management system operating within the school, including registration, professional development, career development, and remuneration management. There are many different ways this linkage can occur. Boards need to consider the consequences of the integration and ensure that the system adopted is appropriate to the size of the school and the number of teachers employed. Two alternatives are illustrated below:

i) separate, but coordinated, cycles for appraisal and other aspects of performance management

ii) a single, integrated system

Ensuring a professional development perspective

To ensure that the appraisal process has an appropriate professional development orientation, a board needs to establish that the aspects of performance appraisal provide information to drive professional development, which in turn leads to improved teaching and learning. Aspects could include:

• identifying expected performance;
• establishing development objectives; and
• evaluating work performance and professional growth.

Identifying expected performance

Effective performance appraisal requires the appraisee and the appraiser to have a common understanding about the levels and types of performance expected, as well as a common agreement about what makes a good teacher.

Performance expectations should express the level and/or quality of performance expected of each teacher. These may vary from teacher to teacher, and change over time for an individual teacher, as skills develop with experience.

Performance expectations for teachers must relate to the key professional responsibilities and key performance areas of their current position. Key performance areas need to indicate the teacher's key professional responsibilities. Boards should ensure that key performance areas are consistent with, and reflect, the intent of the minimum requirements established by the Teacher Registration Board and the clauses of collective or individual employment contracts relating to performance management.

Establishing development objectives (see footnotes)

Effective performance appraisal requires the identification of potential areas for professional growth, and the provision of appropriate support and assistance to foster that development.

For example, the focus area for the development process for a teacher could include any of the key professional responsibilities and performance areas. The development objective(s) for each teacher may also be linked to current initiatives in the school's strategic or development plan. For each development objective, the assistance or support to be provided is a crucial element.

While individual teachers need to trial new approaches, working collaboratively and co-operatively during the planning and review stages will provide each teacher with the advice, support, and encouragement of their peers, as their skills and confidence grow. New Zealand research (e.g., Bell and Gilbert, 1995) emphasises the benefits of this approach to teacher development. In order to further promote professional development and growth, the appraisal cycle may also include feedback and/or data collection through:

• an interim appraisal interview/meeting;
• peer appraisal;
• group/team/whanau appraisal; and
• additional assistance by an expert/mentor.

Evaluating work performance and professional growth

Effective performance appraisal requires agreement about the process for monitoring actual performance, an evaluation of how well actual performance compares to the performance expected, and documentation of the information that this evaluation has been based upon.

Although self-appraisal is a crucial component, evidence from overseas research confirms that there are sometimes differences between what teachers think and say they are doing, and what is actually occurring. Observing teaching, coupled with the sharing of perceptions about what is happening in classrooms, increases the validity of conclusions. For each appraisal, a range of other devices may be used to support limited classroom observation.

For example:

• portfolios;
• video or tape recordings of parts of lessons;
• structured student feedback/comment; and
• analysis of documentation provided by either students or teachers.

In considering the range of data gathered during classroom observation and by other techniques, it is especially important to consider:

• emerging patterns; and
• any apparent discrepancies in the information provided.

In Conclusion

Boards of trustees are reminded that a professional development perspective to appraisal should ensure an improvement in the quality of teaching (and therefore learning) in New Zealand schools. Boards of trustees need to ensure that each teacher is provided with opportunities for appropriate professional development. The professional growth of every teacher is a vital component of effective personnel management and directly benefits all students.