Governing bodies must appraise the headteacher to find out whether they are doing a good job – or in the language of appraisals, assess whether they are performing to agreed standards and meeting their objectives.
This article explains how the head’s appraisal process works, the role of governors, who can sit on governor appraisal panels and the rules around external advisers.
Law For Maintained Schools
The relevant law for maintained schools is The Education (School Teachers’ Appraisal) (England) Regulations 2012.
The DfE also publish a model policy for teacher appraisal and capability which includes guidelines for the head’s appraisal.
The 2012 Appraisal Regulations do not apply to academies, but in their model appraisal policy the DfE recommend that academies follow these Regulations anyway.
“It is also good practice for academies to follow the appraisal regulations although they are not legally required to do so.”
Teacher Appraisal and Capability: A Model Policy For Schools
The 2012 Appraisal Regulations say that the governing body of a maintained school must:
- tell the headteacher what standards they will be assessed against
- set objectives (targets) that the head needs to achieve in the coming year
- appraise the performance of the headteacher, using guidance from an external adviser
- assess the head’s performance against the DfE Teachers’ Standards and Headteachers’ Standards and the objectives set by the governor appraisal panel last year
- assess the head’s professional development needs, ie: whether they need more training or expertise
- where relevant under the School Teachers’ Pay and Conditions Document (STPCD), recommend whether or not the head gets a pay rise
- give the head a written appraisal report.
“The governing body of a school must, before, or as soon as practicable after, the start of each appraisal period in relation to a head teacher—
(a) inform the head teacher of the standards against which the head teacher’s performance in that appraisal period will be assessed; and
(b) set objectives for the head teacher in respect of that period.
“The governing body of a school must appraise the performance of the head teacher in respect of each appraisal period applying in relation to that head teacher.
“In appraising the performance of the head teacher, the governing body of a school must consult the external adviser appointed under regulation 4.
“In making an appraisal the governing body…must—
(a) assess the teacher’s performance of their role and responsibilities during the appraisal period in question against
(i) the standards applicable to that teacher by virtue of regulation 6; and
(ii) the teacher’s objectives set under regulation 6;
(b) assess the teacher’s professional development needs and identify any action that should be taken to address them; and
(c) where relevant under the Document, include a recommendation relating to the teacher’s pay.
“As soon as practicable following the end of each appraisal period applying in relation to a teacher, the governing body, head teacher or local authority (as the case may be) must provide the teacher with a written report of the teacher’s appraisal in respect of that appraisal period.”
Education (School Teachers’ Appraisal) (England) Regulations 2012
The “Document” referred to under item c is the School Teachers’ Pay and Conditions Document (STPCD).
When setting the head’s objectives governors in maintained schools must remember their legal duty to consider the head’s work-life balance.
“The governing body must have regard to the desirability of the head teacher being able to achieve a satisfactory balance between the time spent discharging the professional duties of a head teacher and the time spent by the head teacher pursuing personal interests outside work.”
School Staffing (England) Regulations 2009
Appointing An External Adviser
The board of a maintained school must appoint an external adviser to offer governors “advice and support” during the appraisal. The adviser must be appointed by the board, not chosen by the headteacher.
“The governing body of a school must appoint an external adviser for the purposes of providing it with advice and support in relation to the appraisal of the head teacher.
“In appraising the performance of the head teacher, the governing body of a school must consult the external adviser appointed under regulation 4.”
Education (School Teachers’ Appraisal) (England) Regulations 2012
The Headteacher Appraisal Process
The exact process differs from school to school, but a standard appraisal process is described in Effectively Managing Headteacher Performance: Research Brief, a research project commissioned by the DfE in 2014. It looked at the head’s appraisal process in both maintained schools and academies.
First, the governing body appoint an external adviser. (This is mandatory in maintained schools, but optional in academies.)
Next, a series of meetings is held, usually in the autumn term. The DfE report says a typical set of meetings runs as follows:
- the governor appraisal panel meets to discuss points to raise
- the external advisor meets with the headteacher
- the governor appraisal panel, external advisor and headteacher all meet together
- the governor appraisal panel and headteacher meet.
The exact pattern of meetings may differ from school to school. For example, the governor appraisal panel may also wish to meet with the external adviser before all parties meet. These meetings are often held consecutively on the same day.
The appraisal panel also makes a recommendation on whether to increase the headteacher’s pay. After the final meeting is complete the external advisor writes up a summary report.
Example of how these meetings work in practice are provided in a set of case studies in the DfE report. Here’s a description of how the process works in one primary school.
“Headteacher performance management meetings are conducted as follows.
“- The head meets the external adviser for about an hour, in order to discuss the preliminary report, the commentary and the evidence related to the previous year’s targets.
“Data on pupil progress is provided which shows each pupil’s target and achievement. The external adviser will question evidence and probe what has been said about achieving targets.“- The process is repeated in a second meeting between the members of the appraisal panel and the external adviser.
“Using the external adviser as an external expert, governors scrutinise the report and probe through questioning. The head expects to be challenged as part of this process.“- The head is given preliminary verbal feedback on achievement of the previous year’s objectives. He is also given an indication of the areas or the targets that need to be firmed up that seem to be appropriate for the direction that the school is taking.
“These areas are discussed and agreed during the course of this meeting. The head and governors perceive no distinction between objectives for personal development and those which help the school improve.“- Following the day of the visit, the performance management statement is drafted by the external adviser. This draft includes a review of the achievement of the previous year’s objectives and objectives for the coming year and is sent to the chair of the appraisal panel.
Effectively Managing Headteacher Performance: Case Studies
“Following circulation to other members of the appraisal panel and any subsequent amendments, the statement is finalised between the external adviser and the chair of the panel and given to the head for signature.”
As well as the series of meetings described above, governors should also hold at least one formal mid-year review meeting of the panel to review progress.
“In addition to these meetings that typically focus on school performance, at least one formal mid-year review meeting of the
Effectively Managing Headteacher Performance: Research Brief
appraisal panel and headteacher is recommended to check specific progress of the headteacher against his or her objectives.”
How do we find an external adviser?
Advisers are often found through local connections or your local authority governor services. They may be school improvement partners (SIPs). In a multi-academy trust the chief executive officer (CEO) may serve as the external adviser for the appraisal of the headteacher of each individual academy.
If you are struggling to find someone the National Governance Association (NGA) offer support for headteacher and CEO appraisal through their consultancy services. Your headteacher may also suggest someone, but if they do it’s important that the board confirms they are suitably impartial and skilled.
Should we regularly change our external adviser?
There is no requirement to change the external adviser after a set time period, although there used to be. A rule introduced in 2003 meant that external advisers could only advise the same school for three years (see this .pdf report for details).
This rule no longer exists, but boards could still consider a change of external adviser after a number of years to avoid the relationship between head and advisor becoming too comfortable and gain a new perspective. This may be particularly necessary if the adviser already had links to the school as a SIP or another role.
Does the panel have to meet in the autumn term?
No, but many governor appraisal panels meet in autumn. This is because old law from 2006 set a deadline of 31 December for producing the appraisal plan.
The current 2012 Appraisal Regulations do not set a specific deadline, but 31 December is still the deadline set in the DfE model policy for providing the head with their appraisal report. Check your school’s own appraisal policy to find your own deadline.
How many governors form the appraisal panel?
The 2012 Appraisal Regulations do not say how many governors should be on the panel. However, the DfE model teacher appraisal policy says it should consist of two or three members of the board.
“In this school the task of appraising the headteacher, including the setting of objectives, will be delegated to a sub-group consisting of two/three (delete as appropriate) members of the governance board.”
Teacher Appraisal and Capability: A Model Policy For Schools
(This also matches old law from 2006 which used to say that the governing body may appoint “two or three governors” to the appraisal panel. This law has now been revoked.)
It may be sensible to appoint three governors rather than two, because with only two governors there is no way to break a deadlock if they disagree.
The DfE research from 2014 found that 67.6% of schools used three governors on their appraisal panel and 25% of schools used two. (A few schools used four governors or more.)
Can staff governors sit on the panel?
No, neither staff governors nor any other governor who is employed by the school can be a member of the panel.
In maintained schools this is a legal restriction. The law says that whenever the “pay or performance appraisal” of the headteacher is being considered all employees must leave the meeting due to their conflict of interest.
“This sub-paragraph applies where a relevant person who is paid to work at a school other than as head teacher is present at a meeting of the school at which a subject of consideration is the pay or performance appraisal of any particular person employed to work at the school.
“This sub-paragraph applies where a head teacher of a school is present at a meeting of the school at which a subject of consideration is the head teacher’s own pay or performance appraisal.
“In any case where sub-paragraph (1) or (2) applies, the relevant person’s interest will be treated for the purpose of regulation 16(2) as being in conflict with the governing body’s interests.”
Roles, Procedures and Allowances (England) Regulations 2013
This law does not apply to academies, but academies have equivalent rules about conflicts of interest in their articles of association. An employee will always have a conflict of interest if asked to appraise their own boss.
Can parent governors sit on the panel?
Yes, there’s no reason why a parent governor would be any less suitable than any other governor.
Can the chair of governors sit on the panel?
Yes, but there are differing views as to whether this is good practice. The main argument in favour is that the chair is likely to have good knowledge of the head’s performance and of the school as a whole.
The main argument against is that the chair’s relationship with the headteacher may be too close for them to act impartially and the vice-chair may be more suited to the task.
The DfE research found that the chair often does sit on the panel, together with the chair of a relevant committee such as a staffing or finance committee.
“An appraisal panel appointed by the governing body annually reviews the headteacher’s performance.
“This usually consists of three governors such as the chair of governors, the chair of the committee that oversees staffing and/or finance and one other governor who has particular expertise in performance management and/or education.”
Effectively Managing Headteacher Performance: Research Brief
Very old law from 2001 (now revoked) used to say that if the headteacher complained about the result of their appraisal that complaint had to be considered by the chair (unless the chair had taken part in the appraisal themselves) which would have been a good reason to avoid appointing the chair to the panel.
This law no longer applies, so it is up to each board whether to appoint the chair to the panel or not.
What if the headteacher objects to one member of the panel?
It is up to the governing body whether to consider the request and/or take any action. The old 2006 law said that if the head thought a governor was “unsuitable for professional reasons” they could submit a written request for that governor to be replaced.
This clause does not exist in current law, but check your school’s appraisal policy to see if it gives the head a similar right.
Do panel members have to receive training?
No, there are no mandatory training requirements. However, it is always a good idea for governors to receive training, particularly when they have no experience of performance management. The DfE research from 2014 identified the areas that governors may need training on.
“The following are the areas of training that our respondents identified as most essential for governors:
– the technical and legal formalities of headteacher appraisal
Effectively Managing Headteacher Performance: Research Brief
– understanding data
– issues around pay and performance
– managing relations with the head
– setting and monitoring objectives
– benchmarking
– evaluating external advice.”
In faith schools must one panel member be a foundation governor?
No. Old law from 2006 said that all schools with a religious character must appoint at least one foundation governor to the panel. It also said voluntary-aided (VA) schools must have at least two foundation governors on a three-governor panel. This law has been revoked.
The 2012 Appraisal Regulations do not say that foundation governors must sit on the panel in faith schools. However, check your school’s appraisal policy in case a similar rule exists in your school’s procedures.
Does the appraisal panel make pay decisions?
The law says that the appraisal panel provides a recommendation on any salary increase, rather than making the decision themselves. The DfE research from 2014 advised it is good practice for a separate pay or salary committee to approve or reject this recommendation.
“Draw on the external advisor to evaluate fully how effective the headteacher’s performance has been in comparison to what might be reasonably expected.
“Separate the appraisal process from the financial decision on pay by using separate committees.”
Effectively Managing Headteacher Performance: Research Brief
Are the headteacher’s objectives shared with the full board?
Generally the head’s objectives (targets) and the written report from the external advisor are seen as being confidential to the governor appraisal panel only, as employee appraisals are usually confidential.
However, if the headteacher is happy to share their objectives they can be given to the full board.
Does the clerk take minutes of appraisal panel meetings?
No, the clerk does not attend or take minutes of appraisal panel meetings. Usually the external adviser will write a report of the discussion and the agreed objectives. However, the clerk would attend and minute any meeting of the pay committee as usual.