Performance Management and Appraisal Policy September 2018

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Performance Management

and Appraisal Policy

September 2018 Office use

Published: September 2018 Reviewed:

Next review: September 2019

Statutory/Non: Non Statutory

Lead: Emily Thursby, HR Manager

Associated documents: Pay and Reward Policy

General Principles Policy and Practices of

Employment

Links to:

The Equality Act 2010

Part time workers 2000 (prevention of less favourable treatment) regulations 2000)

Fixed Term employees (prevention of less

favourable treatment) regulations 2002

School Teachers’ Pay and Conditions

Document (STPCD)

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Contents

A. PERFORMANCE MANAGEMENT APPRAISAL ............................................................................ 3

Appraisal arrangements ....................................................................................................................... 3

Setting objectives ................................................................................................................................. 4

Support and development .................................................................................................................... 4

New appointments or an internal move to a new to a role .................................................................. 4

Fixed and temporary contracts ............................................................................................................ 5

Managing unsatisfactory performance ................................................................................................ 5

Appraisal procedure ............................................................................................................................. 5

Appraisal training ................................................................................................................................. 6

Completed forms .................................................................................................................................. 7

Request for review ............................................................................................................................... 7

B. STAFF TRAINING AND DEVELOPMENT ...................................................................................... 7

Training and development initiatives ................................................................................................... 8

Roles and responsibilities for implementation ..................................................................................... 8

Planning and implementing new initiatives .......................................................................................... 9

Individual requests for training and development ................................................................................ 9

Monitoring and evaluating investment in training and development ................................................... 9

Coaching and mentoring ...................................................................................................................... 9

Recording of training and development activities .............................................................................. 10

Equal opportunities ............................................................................................................................ 10

APPENDIX A ...................................................................................................................................... 11

APPENDIX B ...................................................................................................................................... 12

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A. PERFORMANCE MANAGEMENT APPRAISAL

Each year, each member of staff will take part in a meeting to discuss aspects of their work

performance. The objective of the meeting will be to review the previous year's personal

improvement plan (PIP) and to discuss any future training, development and career planning

relevant to the individual and to the organisation. The outcome of this meeting will be the

production of a PIP for the coming year.

Continuous dialogue throughout the year between line managers and members of staff should be

used to focus on the delivery of the PIP, the outcome of the line management meetings should be

a clear plan for both participants in terms of taking action to ensure that the member of staff is

enabled to achieve his/her full potential in the work that he/she carries out for the organisation.

It is important that the appraisal scheme focuses upon some clear objectives so that the effort it

demands from both the line manager and member of staff can be directed towards specific

outcomes. The benefits of appraisal in terms of improved communication and enhanced

performance, both for the individuals involved and for the organisation, will be achieved only by the

continuous commitment of all those involved in the scheme.

To this end there are two overriding points to focus on during this process:

To provide a platform for managers and their direct reports to review aspects of job

performance on a regular basis so that each individual is provided with clarity and support

to perform his/her job to the best of his/her ability, and to make the best contribution

possible towards the organisation's goals. The process should provide clear direction

towards personal and organisational objectives, so that each individual is able to achieve

his/her potential, gain maximum job satisfaction and contribute towards the organisation's

success. This will involve linking each objective to those identified in the TIP, AIP and

ADP.

To add value in identifying individual training, development and career needs. Discussions

on such needs should focus upon genuinely assisting the member of staff in acquiring the

relevant skills, knowledge and behaviours (competencies) for him/her to perform well in

his/her current role.

Appraisal arrangements

All staff employed by the Trust have an entitlement to participate in this process with the exception

of new members of staff starting part way through the year and NQTs, both of which will be

managed and reviewed through induction process which are detailed in the Trust’s Induction Policy

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It is expected that this policy is implemented consistently across DALP, the ‘tight’ practices in

relation to carrying out appraisal discussions are:

All members of staff should have an agreed PIP

Criteria used to measure the impact of objectives will be agreed

Members of staff should ensure they have carried out a “self-review” in relation to their job

role including the use of professional competencies and/or standards

Support and development required to meet objectives as well as career/future aspirations

will be discussed

Support in relation to health and wellbeing will be discussed

Setting objectives

The process of setting objectives should consider whether the objective is (SMART) Specific,

Measurable, Achievable, Realistic and Timed and is appropriate to the role and level.

Objectives should take account of specific technical competencies or national standards i.e.

Teacher/Head Teacher/Principal/Professional Standards for support staff.

When setting objectives there should be consideration and assessment in relation to each

individual’s aspirations and work life balance.

Support and development

Appraisal is a supportive process and should be used to inform continuing professional

development. If the appraise raises any issues with regards to health, wellbeing or role adjustment

the appraiser should discuss this with the appraise and seek HR advice and support where

necessary.

The appraiser should discuss and agree the training and development plan with the appraisee.

Training should relate to the development needs identified and discuss whether there are any

specific professional/technical CPD requirements. All members of staff should review whether they

have completed statutory/mandatory training i.e. safeguarding, health and safety at work.

New appointments or an internal move to a new to a role

A new member of staff joining a DALP academy will be supported through the arrangements

outlined in the Induction Policy.

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Where a member of staff transfers to a new post within the academy part way through a cycle, the

line manager, shall determine the arrangements for part year review and objective setting. In cases

where the member of staff is the EL or SEL, the CEO shall determine the arrangements for part

year review and objective setting.

Fixed and temporary contracts

A member of staff who is employed on a fixed term or temporary contract (less than one year) will

have their performance managed in accordance with the principles underpinning this policy. The

timescales and duration of review will vary depending on the length of contract.

Managing unsatisfactory performance

It is expected that where concerns arise in relation to performance that these are addressed as

soon as possible and through informal support and agreed action plans improvement is made

within an agreed period of time. However, for more serious cases of underperformance or where

performance has not improved through support and action planning, the Capability Procedure will

be followed.

Appraisal procedure

The appraisal period will run from 1st October to 30th September.

The annual review will take place during October and be completed prior to the October half term.

As part of the annual review process recommendations with regards to pay progression as well as

applications to access threshold points for teachers will be summarised and presented to relevant

committees after the October half term break.

There should be regular discussion and professional dialogue with all members of staff throughout

the year, a formal interim review will be carried out in the Spring Term, any issues with regards to

performance, capability and pay progression will be summarised to the relevant committees during

the spring term.

A key feature of any appraisal is self-review, prior to the formal appraisal meeting the appraisee

will complete the personal improvement plan and obtain supportive evidence linked with previously

agreed measurement/success criteria, these are likely to include:

Embedding DALP/academy cultural values (e.g. safeguarding)

Impact of performance linked with success criteria

Review of objectives/actions

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A summary of monitoring information collected during the year

Most recent statistical data

Most recent external test/examination results

Academy Improvement Plan

Annual Delivery Plan

Latest Ofsted

Any other relevant monitoring information

Where appraisal reviews are delegated to line managers and other appraisers, personal

improvement plans will need to be moderated to check that the plans:

Are consistent in expectation between those who have similar experience and responsibility

Comply with this policy and equality legislation

Appropriately assess the member of staff’s performance of their role and responsibilities

against the relevant Professional Standards

Will ensure that the objectives set for each member of staff, will, if achieved, contribute to

the academy improvement plan and the annual delivery plan

Appropriately assess leadership and management and the impact of these roles

All members of staff without management or leadership responsibilities will normally have three

objectives, but by agreement this may be varied.

All staff will have a minimum of three objectives (at least one relating to CPD).

Middle leadership and management roles will normally have between four and six objectives.

Principals / Operational Leads / Executive and Senior Executive Leads including CEO and COO

will have eight objectives.

Appraisal training

Prior to carrying out the appraisal interviews, each manager will meet with his/her team to carry out

an information/training session so that the team members are familiar with the process and

understand how they can participate fully in it.

Appraisal interview training for managers is available each year in March. Newly

appointed/recruited managers should see the Training Directory section of the Trust Staff Portal for

a list of training dates. Refresher workshops are also available for any manager who wishes to

review his/her skills.

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Completed forms

Any paperwork or electronically filed forms should be completed within two weeks of the appraisal

meeting and must be kept absolutely confidential. Either a hard copy or an electronic copy must be

lodged on the individual's own personnel file, but he/she must have a copy of the appraisal for

his/her own safekeeping. The completed appraisal form and action plan must be viewed as

working documents and as such be continually referred to and reviewed throughout the year.

The development and training section of the appraisal form should be set up as a separate file and

e-mailed to the Institute Team so that the information on it can be used in setting up the training

plan for the forthcoming year.

Request for review

Any appraise who feels that his/her appraisal was unsatisfactory or unfair to him/her, may ask that

a senior manager review the appraisal with him/her and the appraiser, this will be done in line with

the Trust grievance procedure.

B. STAFF TRAINING AND DEVELOPMENT

The Trust recognises the importance of staff development and is central to delivering the Trusts

overall vision and strategy, this applies to all permanent and temporary employees, whether

employed on a full-time or part-time basis. It is based on the principles that the Trust:

believes that all its staff have the potential to grow, both in their work role and personally,

and it shall endeavour to provide opportunities for this growth;

considers it appropriate to base such training and development opportunities on the

requirements of the Trust, and decisions about investment in staff training and development

will be made accordingly;

believes that responsibility for training and development should be shared between the

Trust and its staff;

will ensure that appropriate procedures are in place to plan, deliver and evaluate training

and development activity;

wants to empower its staff members to take some ownership of their own development,

with support from their managers and the Trust as a whole;

believes that its line managers have a key role to play in people development;

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works within recognised good practice guidelines, such as the national standards to ensure

that both the quality and quantity of training and development is relevant and "fit for

purpose";

regularly reviews its overall level of investment in staff training and development to ensure

that adequate and appropriate resources are provided; and

plans its training and development activities in line with teaching, leadership and business

standards, and therefore maintains relationships with relevant bodies.

Training and development initiatives

The trust provides a range of training and development opportunities to staff. These fall into four

broad categories:

Programmes relating to the enhancement of skills for an employee's current

position.

Programmes leading to a professional or academic qualification. The organisation

encourages employees, who wish to do so, to pursue continuous professional development

and where appropriate to gain further qualifications. The organisation will pay 50% of the

fees at the start of a programme that is approved, and 50% on successful completion.

Programmes that have a specific leadership and management focus.

Statutory/Blanket training - This includes courses in safeguarding, GDPR, health and

safety e.g. manual handling, risk assessment, fire safety, first aid, and food and hygiene.

Decisions on the suitability and applicability of programmes will be determined through the

performance review process, during which individual training and development needs are identified

within a personal development plan. Progress on the acquisition of new skills and knowledge will

be monitored throughout this process.

Roles and responsibilities for implementation

Both line managers and employees have a responsibility to implement training and development

initiatives. There will be an opportunity to discuss development needs through the performance

review process and agree appropriate courses of training or study. Line managers should

encourage their staff to undertake relevant programmes. Employees are expected to take up the

opportunities provided and report back to their line manager on their applicability once completed.

Line managers have a responsibility to monitor and evaluate the effectiveness of learning for

employees who have undergone training and development. Line managers can contact the

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Institute team to give feedback on internal and external training programmes, including their quality

and cost effectiveness. Line managers should ensure that employees implement the skills that they

have gained through training.

Planning and implementing new initiatives

Any new training initiatives will be planned as a result of training needs analysis activities, which in

turn are part of the Trusts performance review process. In addition, the Trust is committed to

reviewing training initiatives so that relevant training and development is provided for skills in

specific job areas, where work procedures have changed, or where new standards are introduced.

Any new training and development programmes offered to staff will be publicised through the

organisation's normal communication channels, including the intranet, staff notices and

departmental meetings. The organisation will make use, where appropriate, of e-learning, and

training will be provided to staff in how to access materials while at work and from home.

Individual requests for training and development

Employees can request training and development at any time but this will usually be done within

the performance review process, as outlined above. Employees should channel requests through

their line manager in the first instance.

Monitoring and evaluating investment in training and development

The Trust believes it is critical to the success of both the planning and delivery of training and

development activities that the resources invested are monitored and the outcomes achieved are

measured. Such outcomes may be demonstrated at an academy and corporate level. Senior

managers have an important role to play in this process. The Trust uses its evaluation findings for

future business planning and the planning of continued investment in staff training and

development. Accordingly, the evaluation findings are regularly shared with the executive

leadership team.

Coaching and mentoring

The Trust encourages line managers to provide coaching and mentoring support for staff who are

undergoing training and development. Managers have a responsibility to ensure that the skills and

knowledge of more experienced staff members are shared with colleagues to ensure that learning

occurs in a planned way.

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Recording of training and development activities

Following a performance review discussion, a copy of the approved personal development plan is

recorded in Bluesky. This information is collated annually to form the basis of the organisation's

forward training and development plan. All training attended will be recorded by CPD/Institute team

along with costs, including, for example, travel and subsistence expenses. On completion of any

internal or external course the employee will complete a course evaluation form, countersigned by

the line manager, and return this to the CPD/Institute team. Analysis of the evaluation forms

gathered will be undertaken and used within the overall evaluation of training and development.

Equal opportunities

Decisions relating to training and development should be made fairly and consistently, and equality

of opportunity should be provided for all staff in this area.

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APPENDIX A Personal Development Plan (PIP) Template

Objective:

Success Criteria:

Actions to meet success criteria: Actions completed by:

Mid-year review of actions: End of year review/additions:

Mid-year review and evaluation of impact [signed off by appraiser and appraise]

Annual review and evaluation of impact [signed off by appraiser and appraise]

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APPENDIX B Defining PIP objectives and success criteria

Objective setting An objective has to be utterly clear and fairly broad – not unlike a lesson/learning objective. Exemplar objective To improve the monitoring of lesson quality across the academy Success criteria A success criterion has to be utterly clear – what will success look like? How will it be measured? How will I know I have been successful? Exemplar success criteria

1. The leader for T&L quality has secure, signed off PIP and SLDP in place 2. We have an agreed lesson observation/learning walk/lessons visit protocol/process which is embedded in our QA processes 3. Evidence from QA data indicates clear improvement in TLA across the academy 4. Governors, DALP exec, Academy leaders and a member of staffs are all informed as to progress at appropriate calendar points throughout the

year

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Mid–year review and evaluation of impact In order to produce an effective summary:

1. Return to the success criteria and the actions. 2. What progress has been made? 3. How do you know? 4. What is the evidence to substantiate your summary at this stage in the year? 5. What additional success criteria, if any, need to be added? Why? How will their impact be measured?

Annual review and evaluation of impact In order to produce an effective summary:

1. Return to the success criteria and the actions. 2. What progress has been made against success criteria? 3. How do you know? 4. What is the additional evidence (since March) to substantiate your final summary? 5. Do any of the success criteria need to be included in your next PIP? With the same, or different, objective?