The School Teacher Appraisal (Wales) Regulations 2002

PART II — APPRAISAL OF HEADTEACHERS

Application of Part II

6.  Regulations 7 to 19 apply to the appraisal of head teachers only.

Appointment of appraisers and external adviser

7.—(1) The governing body of a school must appoint as appraisers of a head teacher two or three governors, at least one of whom must be a foundation governor of the school if it is a school which has a religious character or a voluntary aided school which does not have a religious character.

(2) The governing body may appoint a new appraiser in place of any existing appraiser at any time.

(3) No governor who is a teacher or other member of staff at the school may be appointed as an appraiser of the head teacher.

(4) The governing body of a school must also appoint an external adviser in relation to the appraisal of a headteacher.

(5) The governing body may appoint a new external adviser in place of an existing external adviser at any time.

The appraisal cycle

8.—(1) Subject to the following provisions of this regulation, and to regulation 9, the governing body must determine the timing of the appraisal cycle for the head teacher of the school.

(2) Except as provided for in paragraph (3) and regulation 9(3) the length of an appraisal cycle shall be one year.

(3) In the case of the first appraisal cycle under these Regulations of a head teacher in post on the date on which these Regulations come into force, the governing body may detemine that the lengh of that appraisal cycle is a period other than one year provided that it ends no earlier than 30th November 2003 and no later than 31st October 2004.

(4) Once begun, appraisal cycles for every head teacher shall be continuous.

(5) The appointment of a new appraiser or external adviser shall not cause a head teacher’s appraisal cycle to begin again.

New appraisal cycle

9.—(1) If a head teacher moves to a post as head teacher in another school, the appraisal cycle shall begin again.

(2) Where a school teacher (who is not a head teacher) becomes a head teacher (in the same or in another school) so that regulations 7 to 19 apply to his or her appraisal, the timing of the appraisal cycle for him or her shall as soon as practicable be determined afresh by the governing body under regulation 8(1).

(3) Where the appraisal cycle of a head teacher begins again under paragraph (1), or is determined afresh under paragraph (2), the governing body may determine that the length of the head teacher’s first appraisal cycle in his or her new post shall be a period of less than one year.

First appraisal cycle

10.  The governing body must take all reasonable steps to secure that the first appraisal cycle for a head teacher of the school in post on the date on which these Regulations come into force begins no later than 31st January 2003.

Appraisal procedures

11.  Subject to regulations 12 to 16, the governing body of a school must determine the procedures for the appraisal of the head teacher at the school.

Planning of appraisal and setting of objectives

12.—(1) Before or at the start of the appraisal cycle, all the appraisers, the external adviser and the head teacher must meet to plan and prepare for the appraisal and to seek to agree objectives which must include objectives relating to—

(a) school leadership and management; and

(b) pupil progress.

(2) If objectives are not agreed under paragraph (1), the appraisers must set out in writing such objectives as they consider appropriate, and the head teacher may add comments in writing.

(3) The objectives agreed under paragraph (1), or where objectives have not been agreed the objectives set out in writing under paragraph (2), and the head teacher’s written comments, must be recorded in a written statement of objectives.

Revising objectives

13.—(1) A headteacher’s objectives may be revised at any time during the appraisal cycle where the head teacher and all the appraisers agree.

(2) Where a headteacher’s objectives are revised under paragraph (1)—

(a) the statement of objectives must be amended to show the agreed revision;

(b) references in these Regulations to the headteacher’s objectives shall be read as references to the revised objectives; and

(c) references in these Regulations to the headteacher’s statement of objectives shall be read as references to the amended statement of objectives.

Monitoring progress

14.—(1) All the appraisers and the head teacher must seek to agree at a meeting held under regulation 12(1) on the procedures for monitoring the head teacher’s performance against the objectives agreed under regulation 12(1) or where objectives have not been agreed the objectives set out in writing under regulation 12(2).

(2) If procedures are not agreed under paragraph (1), the appraisers must set out in writing such procedures for monitoring the head teacher’s performance as they consider appropriate.

(3) Subject to paragraph (4), an appraiser may not obtain from any other person information, whether written or oral, relevant to the head teacher’s performance unless the head teacher consents or the information is obtained in accordance with the procedures agreed under paragraph (1) or where procedures have not been agreed the procedures set out in writing under paragraph (2).

(4) Paragraph (3) does not apply to any information which an appraiser is entitled to receive under any other provision of these Regulations.

The appraisal review and the appraisal statement

15.—(1) At or near the end of the appraisal cycle all the appraisers, the external adviser and the head teacher must hold an appraisal review, with the object of—

(a) reviewing the head teacher’s performance and identifying his or her achievements and any aspects in which further progress would be desirable;

(b) assessing the extent to which the head teacher has met the objectives recorded in the statement of objectives; and

(c) identifying any training and developmental needs and ways of meeting such needs.

(2) The date on which an appraisal review is to be held must be determined by the appraisers, but at least 10 school days notice (in writing) must be given to the head teacher of that date.

(3) The head teacher may, at least five school days before the appraisal review, submit to the appraisers—

(a) the head teacher’s own assessment of his or her performance against the objectives recorded in the statement of objectives;

(b) particulars of any training which the head teacher considers it would be desirable to receive having regard to that assessment; and

(c) particulars of any factors which the head teacher considers affected his or her performance against the recorded objectives;

and any such assessment and other information submitted to the appraisers under this paragraph must be considered at the appraisal review.

(4) Within 10 school days after each appraisal review all the appraisers must prepare a written statement recording the main points made by the appraisers and the head teacher at the review and the conclusions reached, and there shall be recorded in an annex to the statement (which shall form part of the statement) the training and developmental needs and ways of meeting such needs identified at the review.

(5) An appraisal review under paragraph (1) may be combined with a meeting under regulation 12 in relation to the following appraisal cycle.

(6) The appraisers must give the head teacher a copy of the statement, prepared under paragraph (4) within 10 school days after the appraisal review.

(7) The head teacher may, within 10 school days of receiving a copy of that statement, add to it his or her comments in writing, and such comments shall form part of the statement prepared under that paragraph.

Appeals

16.—(1) A head teacher is entitled to appeal against his or her appraisal under these Regulations within 10 school days of receiving a copy of an appraisal statement under regulation 15(6).

(2) An appeal shall be made in writing to the governing body.

(3) The appeals officer in relation to such an appeal shall be the chairman of the governing body, but where the chairman of the governing body has participated in the appraisal which is the subject of the appeal, the governing body shall appoint one or two governors who have not participated in that appraisal as appeals officers in relation to such an appeal.

(4) No governor who is a teacher or other staff member at the school shall be appointed as an appeals officer for the head teacher at such school.

(5) An external adviser who did not advise in relation to the appraisal must assist the appeals officer or officers.

(6) The appeals officer or officers must within 10 school days of receiving the appraisal statement under regulation 17(3) conduct and conclude a review of the appraisal, and in so doing must take account of any representations made by the head teacher.

(7) The appeals officer or officers may—

(a) order the appraisal statement to stand with or without observations of the appeals officer or officers; or

(b) with the agreement of all the appraisers amend the appraisal statement; or

(c) order that the appraisal statement be expunged and order a new appraisal.

(8) Where a new appraisal is ordered under paragraph (7)(c) all the appraisers and the external adviser must be replaced by new appraisers and a new external adviser appointed in accordance with regulation 7 and the appeals officer or officers must determine which appraisal procedures must be repeated.

(9) All appraisal procedures determined to be repeated under paragraph (8) must be completed within 15 school days from the date of the order of the appeals officer or officers under paragraph (7) (c).

(10) Appeals officers may not—

(a) determine that new objectives be agreed or set in accordance with regulation 12; or

(b) determine that the objectives agreed or set under regulation 12 be revised.

(11) References in this regulation and regulations 17 and 18 to an appraisal statement are references to a statement prepared under regulation 15(4), including, in the case of regulations 17 and 18, any observations added by an appeals officer or officers under paragraph (7)(a).

Provision and retention of appraisal statements

17.—(1) The appraisers must provide a copy of the appraisal statement to—

(a) the head teacher;

(b) the chairman of the governing body;

(c) any governors responsible for advising about, or taking decisions in relation to, the promotion of school teachers or the use of any discretion in relation to pay, upon request; and

(d) in the case of the head teacher of a school which does not have a delegated budget (within the meaning of Chapter IV of Part II of the School Standards and Framework Act 1998) any officer or adviser specifically designated by the Chief Education Officer to be responsible for advising about, or taking decisions in relation to, the use of any discretion in relation to pay, upon request.

(2) The chairman of the governing body must, upon request, provide a summary of the appraisal statement to the Chief Education Officer or any officer or adviser specifically designated by the Chief Education Officer to be responsible for advising about, or taking decisions in relation to, the performance of head teachers pursuant to paragraph 23 of Schedule 16 and paragraph 22 of Schedule 17 to the School Standards and Framework Act 1998.

(3) The chairman of the governing body must provide any appeals officer and any external adviser assisting the appeals officer with a copy of the appraisal statement and the statement of objectives within five school days of the governing body receiving notice of an appeal under regulation 16(2).

(4) Where a new appraiser or external adviser is appointed otherwise than at the beginning of an appraisal cycle, the chairman of the governing body must provide that person with a copy of any current statement of objectives.

(5) The chairman of the governing body must provide a copy of the annex to the appraisal statement referred to in regulation 15(4) to the person or persons responsible for planning the training and development of the head teacher in the school.

(6) A head teacher must keep a copy of his or her appraisal statement until at least three years after the next appraisal statement has been finalised.

(7) The governing body must keep a copy of the head teacher’s appraisal statement until at least three years after the next appraisal statement has been finalised.

Information from appraisal statements

18.—(1) Relevant information from appraisal statements may be taken into account by school governing bodies (including committees of governing bodies), Chief Education Officers or any officers or advisers specifically designated by a Chief Education Officer under regulation 17(1)(d) or (2) in taking decisions, and in advising those responsible for taking decisions, about the promotion, dismissal or discipline of head teachers or the use of any discretion in relation to pay.

(2) Appraisal procedures must not form part of any disciplinary or dismissal procedures.

Transitional provision

19.  Regulations 17 and 18 apply in relation to appraisal records produced and maintained under the Education (School Teacher Appraisal) (Wales) Regulations 1999 as they apply in relation to appraisal statements.