Made | 4th October 2006 | ||
Laid before Parliament | 9th October 2006 | ||
Coming into force | 1st September 2007 |
Time limits
3.
Failure on the part of any person to discharge any duty within a time limit specified in these Regulations shall not relieve him of that duty.
Revocations and transitional provision
4.
—(1) Subject to paragraph (2), the Education (School Teacher Appraisal) (England) Regulations 2001[4] ("the 2001 Regulations") are revoked.
(2) The 2001 Regulations shall apply in relation to the appraisal of the performance of teachers during any part of the school year 2006-2007.
(3) Any appraisal statement produced and retained under the 2001 Regulations since 1st September 2003 shall be retained for a minimum period of 6 years from the date on which the appraisal cycle to which it relates ended and relevant information from those statements may be taken into account in taking decisions and advising those responsible for taking decisions about the use of any discretion in relation to pay.
(4) Regulation 9 of the Education (School Government) (Terms of Reference) (England) Regulations 2000[5] is revoked.
Application
5.
—(1) Subject to paragraph (2), these Regulations apply in relation to any teacher employed for one term or more.
(2) These Regulations shall not apply to the performance of—
Performance management policy
7.
—(1) The governing body shall establish a written policy ("the performance management policy") setting out how the performance of teachers at the school is to be managed and reviewed.
(2) The governing body shall formulate the performance management policy or direct the head teacher to formulate the policy.
(3) Where the head teacher formulates the policy, the governing body may modify it before adopting it or reject it.
(4) Where the governing body rejects the performance management policy formulated by the head teacher, it shall formulate the policy itself.
(5) The governing body shall review the performance management policy every school year.
(6) Following such review, the governing body shall, if it sees fit, revise the performance management policy.
(7) Before establishing or revising the performance management policy, the governing body or, if the governing body so directs, the head teacher shall—
(8) The governing body and the head teacher shall implement the performance management policy.
(9) The performance management policy shall—
Duty to ensure that teachers' performance is managed and reviewed
8.
—(1) The governing body of the school shall ensure that the performance of teachers at the school is managed and reviewed in accordance with the performance management policy and this Part.
(2) Where a teacher is employed at more than one school, the governing body of each school shall comply with this regulation in relation to that teacher.
Appointment of external advisers in respect of head teachers
9.
—(1) Subject to paragraph (2), the governing body shall appoint an external adviser for the purposes of providing it with advice and support in relation to the management and review of the performance of the head teacher.
(2) Where the local education authority has appointed a school improvement partner for that school, paragraph (1) shall not apply and the governing body shall use the school improvement partner for the purposes of providing it with advice and support in relation to the management and review of the performance of the head teacher.
Appointment of reviewers for head teachers
10.
—(1) Subject to the following paragraphs of this regulation, the governing body of the school shall be the reviewer for the head teacher.
(2) The governing body may appoint two or three governors to perform the duties imposed upon the reviewer on behalf of the governing body.
(3) No governor who is a teacher or other member of staff at the school may be appointed as a reviewer for the head teacher.
(4) Where the governing body of a school which has a religious character appoints two or three governors pursuant to paragraph (2), at least one of them shall be a foundation governor of the school.
(5) Where, pursuant to paragraph (2), the governing body of a voluntary aided school appoints—
(6) Where a head teacher is of the opinion that any of the governors appointed by the governing body under this regulation is unsuitable for professional reasons, he may submit a written request to the governing body for that governor to be replaced, stating those reasons.
(7) Where the governing body is persuaded that that governor is unsuitable, it shall terminate that appointment and appoint another governor in accordance with this regulation.
(8) Where the governing body is not persuaded that that governor is unsuitable, it shall—
(9) A reviewee may request that any governor appointed under paragraph (2) be replaced once in any cycle.
(10) Where the governing body decides at any time that any of the governors appointed under this regulation is no longer suitable for professional reasons, or is no longer able to perform his duties for any reason, it shall terminate the appointment of that governor and appoint one in accordance with this regulation.
Appointment of reviewers for other teachers
11.
—(1) Subject to the following paragraphs of this regulation, the head teacher shall be the reviewer for all other teachers at the school.
(2) In the case where the head teacher is not the teacher's line manager, the head teacher may delegate the duties imposed upon the reviewer, in their entirety, to the teacher's line manager.
(3) Where the teacher has more than one line manager, the head teacher may delegate the reviewer's duties, in their entirety, to the line manager whom he considers would be best placed to manage and review the teacher's performance.
(4) Where it becomes apparent that the teacher to whom the head teacher has delegated the reviewer's duties will be absent for the majority of the cycle, the head teacher may perform those duties himself or delegate those duties, in their entirety, to another teacher for the duration of that absence.
(5) Where a teacher is of the opinion that the person to whom the head teacher has delegated the reviewer's duties is unsuitable for professional reasons, he may submit a written request to the head teacher for that reviewer to be replaced, stating those reasons.
(6) Where the head teacher is persuaded that the teacher to whom he has delegated the reviewer's duties is unsuitable, he may perform those duties himself or delegate them, in their entirety, to another teacher.
(7) Where the head teacher is not persuaded that the teacher to whom he has delegated the reviewer's duties is unsuitable, he shall—
(8) A reviewee may request that a person to whom the head teacher has delegated the reviewer's duties be replaced once in any cycle.
(9) Where the head teacher decides at any time that the person to whom he has delegated the reviewer's duties is no longer suitable for professional reasons, or is no longer able to perform those duties for any reason, he may perform those duties himself or delegate them, in their entirety, to another teacher.
(10) Where, pursuant to this regulation, the head teacher delegates the reviewer's duties to a teacher who is not the teacher's line manager, the teacher to whom he delegates those duties must have an equivalent or higher status in the staffing structure than the teacher's line manager.
Performance management and review cycle
12.
—(1) Subject to the following paragraphs of this regulation, the performance of every teacher at the school shall be managed and reviewed on an annual basis ("the performance management and review cycle").
(2) The governing body shall determine the timing of the performance management and review cycle for the head teacher and the head teacher shall determine the timing of the performance management and review cycle for the other teachers at the school.
(3) Where a teacher is employed at the school on a fixed term contract of less than one year, his performance shall be managed throughout the life of the contract and reviewed at the end of the contract.
(4) Where a teacher is employed at the school part-way through a cycle, the head teacher or, in the case where the teacher is the head teacher, the governing body shall determine the length of the first cycle for that teacher, with a view to bringing his cycle into line with the cycle for other teachers at the school as soon as possible.
(5) Where a teacher transfers to a new post within the school, whether on a temporary or permanent basis, part-way through his cycle, the head teacher or, in the case where the teacher is to be the head teacher, the governing body shall determine whether the cycle shall begin again and, if so, whether to change the reviewer or reviewers, as the case may be.
(6) A change of reviewer or the appointment of a new external adviser or school improvement partner shall not cause the reviewee's cycle to begin again.
Planning meetings
13.
—(1) At the beginning of each cycle, the reviewer or, in the case where the reviewee is the head teacher, all the reviewers and the external adviser or school improvement partner, as the case may be, shall arrange a meeting with the reviewee ("the planning meeting") to consider and determine—
(2) The matters referred to in paragraph (1) shall be determined having regard to—
(3) The reviewee's objectives shall be such that, if they are achieved, they will contribute to improving the progress of pupils at the school.
(4) Only persons who have a direct professional knowledge of the reviewee may provide evidence for the purposes of paragraph (1)(c).
(5) Where a joint determination cannot be made in relation to any of the matters referred to in paragraph (1), the reviewer shall make the determination.
Recording of plans
14.
—(1) Within 5 days of the planning meeting, the reviewer shall—
(2) Within 10 days of the planning meeting, the reviewer shall—
(3) Subject to the outcome of any appeal, the contents of the plan shall be deemed to reflect the results of the planning meeting.
(4) The time limit specified in paragraphs (1) and (2) may be extended if the reviewer or the reviewee is absent from work during those times.
(5) The plan shall be recorded in the statement by 31st October or, where the reviewee is the head teacher, by 31st December, following completion of the previous cycle.
Quality assurance and moderation of plans
15.
—(1) Where individual governors perform the reviewer's duties on its behalf, the governing body may review the contents of the plan recorded in the head teacher's statement within 10 days of it being passed to it pursuant to regulation 14(2)(c).
(2) Where, pursuant to paragraph (1), the governing body is of the opinion that the plan—
it shall instruct the reviewers to prepare a new plan and statement.
(3) Where the head teacher delegates the reviewer's duties to another teacher he may review the contents of the plan recorded in the statement within 10 days of it being passed to him pursuant to regulation 14(2)(c).
(4) Where, pursuant to paragraph (3), the head teacher is of the opinion that any such plan—
he shall instruct the reviewer to prepare a new plan and statement.
(5) Within 10 days of receiving an instruction pursuant to paragraph (2) or paragraph (4), the reviewer shall—
(6) The time limit specified in paragraph (5) may be extended if the reviewer or reviewee is absent from work during that time.
Revision of plans
16.
—(1) Where, during the course of any cycle—
the reviewer or the reviewee may request a meeting (a "revision meeting") and that meeting shall be held within 10 days.
(2) Within 10 days of the revision meeting, the reviewer shall—
(3) Subject to the outcome of any appeal, the contents of the addendum shall be deemed to reflect the results of the revision meeting.
(4) The time limit specified in paragraphs (1) and (2) may be extended if the reviewer or reviewee is absent from work during that time.
(5) The statement shall not be revised unless a revision meeting has been held pursuant to paragraph (1).
Classroom observation
17.
—(1) Classroom observation shall be conducted in accordance with the classroom observation protocol referred to in regulation 7(9)(e).
(2) The arrangements for classroom observation recorded in the reviewee's statement shall—
(3) Nothing in paragraph (2)(b) shall prevent any other aspect of the reviewee's teaching performance observed during any classroom observation arranged for the purposes of these Regulations from being assessed and taken into account when the teacher's performance is reviewed in accordance with regulation 18.
(4) Subject to paragraph (5), the total period of classroom observation arranged for any teacher under this Part shall not exceed 3 hours per cycle and shall be determined having regard to the individual circumstances of the teacher.
(5) Where evidence emerges which gives rise to concern about the reviewee's teaching performance, classroom observations may be arranged in addition to those referred to in paragraph (4).
(6) Where it is considered appropriate to arrange additional classroom observations pursuant to paragraph (5) the reviewer shall ensure that a revision meeting is held and that details of any such observation are inserted into an addendum to the statement pursuant to regulation 16.
(7) Where a teacher's performance in the classroom is observed for the purposes of these Regulations, the reviewer shall ensure that the teacher receives a written report on his findings within 5 days of the observation, to which he may add his comments.
(8) Classroom observation must be conducted by a qualified teacher.
Review of teacher's performance
18.
—(1) At or near the end of each cycle the reviewer or, in the case where the reviewee is the head teacher, all the reviewers and the external adviser or school improvement partner, as the case may be, shall meet with the reviewee to—
(2) The review meeting shall be combined with the planning meeting for the next cycle, wherever practicable.
(3) Within 5 days of the review meeting, the reviewer shall—
(b) pass the draft statement to the reviewee.
(4) Within 10 days of the review meeting, the reviewer shall—
(5) Subject to the outcome of any appeal, the contents of the statement shall be deemed to reflect the results of the review meeting.
(6) The time limit specified in paragraphs (3) and (4) may be extended if the reviewer or the reviewee is absent from work during those times.
(7) The results of the review and any pay recommendation shall be recorded in the statement by 31st October or, where the reviewee is the head teacher, 31st December, following completion of the cycle to which it relates.
Appeals
19.
The reviewee may appeal against any of the entries made by the reviewer in his statement, following receipt of a copy of it pursuant to regulations 14(2)(d), 15(5)(e), 16(2)(d) and 18(4)(d).[a]
Use and retention of statements
20.
—(1) The head teacher or, in the case where the reviewee is the head teacher, the governing body shall retain the reviewee's statement for a minimum period of 6 years from the date on which the cycle to which it relates ends.
(2) Where the reviewee is a teacher other than a head teacher, the governing body shall have regard to the results of the review recorded in the statement pursuant to regulation 18 when exercising any discretion in relation to his pay.
(3) The governing body shall be provided with access to the reviewee's statement for the purposes of paragraph (2), upon request.
(4) Where the reviewee is the head teacher, the governing body or, in the case where the school does not have a delegated budget, the local education authority shall have regard to the results of the review recorded in the statement pursuant to regulation 18 when exercising any discretion in relation to his pay.
(5) Where the school does not have a delegated budget, the local education authority shall be provided with access to the reviewee's statement for the purposes of paragraph (4), upon request.
(6) The reviewee's line manager or, where he has more than one, each of his line managers shall be provided with access to the reviewee's plan recorded in the statement, upon request, where this is necessary to enable him to discharge his line management responsibilities.
(7) Where a reviewee pursues an appeal in relation to the contents of his statement the head teacher or, where the reviewee is the head teacher, the governing body shall provide anyone hearing that appeal with access to that statement.
(8) Where a reviewee transfers from one school to another school part-way through his cycle, the head teacher or, where the reviewee is the head teacher, the governing body of the school shall transfer the reviewee's statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the head teacher or governing body of the new school, as the case may be, upon receipt of a written request from the reviewee.
(9) Where a reviewee employed by an authority in a school or a governing body of a school becomes an unattached teacher part-way through his cycle, the head teacher or, where the reviewee was the head teacher, the governing body shall transfer the reviewee's statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the new authority, upon receipt of a written request from the reviewee.
(10) Where a reviewee employed as an unattached teacher becomes employed as a teacher by an authority in a school or by a governing body of a school part-way through his cycle, the authority shall transfer the reviewee's statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the head teacher or, in the case where the unattached teacher is to become the head teacher of the school, the governing body of the school, upon receipt of a written request from the reviewee.
Head teacher's report
21.
—(1) The head teacher shall provide the governing body with an annual written report about—
(2) The head teacher's report shall not contain any information which would enable any teacher at the school to be identified.
(5) The authority shall implement the performance management policy.
(6) The performance management policy shall—
Duty to ensure that teachers' performance is managed and reviewed
24.
—(1) The authority shall ensure that the performance of unattached teachers is managed and reviewed in accordance with the performance management policy and this Part.
(2) Where an unattached teacher is employed by more than one authority, each authority shall comply with this regulation in relation to that teacher.
Appointment of reviewers for teachers
25.
—(1) Subject to the following paragraphs of this regulation, the authority shall be the reviewer for every unattached teacher.
(2) The authority may delegate the duties imposed upon the reviewer, in their entirety, to the teacher's line manager.
(3) Where the teacher has more than one line manager, the authority may delegate the reviewer's duties, in their entirety, to the line manager whom they consider would be best placed to manage and review the teacher's performance.
(4) Where it becomes apparent that the person to whom the authority have delegated the reviewer's duties will be absent for the majority of the cycle, the authority may perform those duties themselves or delegate those duties, in their entirety, to another person for the duration of that absence.
(5) Where a teacher is of the opinion that the person to whom the authority have delegated the reviewer's duties is unsuitable, for professional reasons, he may submit a written request to the authority for that reviewer to be replaced, stating those reasons.
(6) Where the authority are persuaded that the person to whom they have delegated the reviewer's duties is unsuitable, they may perform those duties themselves or delegate them, in their entirety, to another person.
(7) Where the authority are not persuaded that the person to whom they have delegated the reviewer's duties is unsuitable, they shall—
(8) A reviewee may request that a person to whom the authority have delegated the reviewer's duties be replaced once in any cycle.
(9) Where the authority decide at any time that a person to whom they have delegated the reviewer's duties is no longer suitable for professional reasons, or is no longer able to carry out those duties for any reason, they may perform those duties themselves or delegate them, in their entirety, to another person.
(10) Where, pursuant to this regulation, the authority delegates the reviewer's duties to a person who is not the teacher's line manager, the person to whom they delegate those duties must have an equivalent or higher status in the authority's staffing structure than the teacher's line manager.
Performance management and review cycle
26.
—(1) Subject to the following paragraphs of this regulation, the performance of every unattached teacher shall be managed and reviewed on an annual basis ("the performance management and review cycle").
(2) The authority shall determine the timing of the performance management and review cycle for their unattached teachers.
(3) Where an unattached teacher is employed on a fixed term contract of less than one year, his performance shall be managed throughout the life of the contract and reviewed at the end of the contract.
(4) Where a teacher is employed by an authority part-way through a cycle, the authority shall determine the length of the first cycle for that teacher.
(5) Where a teacher transfers to a new post within the authority, whether on a temporary or permanent basis, part-way through his cycle, the authority shall determine whether the cycle shall begin again and, if so, whether to change the reviewer.
(6) A change of reviewer shall not cause the reviewee's cycle to begin again.
Planning meetings
27.
—(1) At the beginning of each cycle, the reviewer shall arrange a meeting with the reviewee ("the planning meeting") to consider and determine—
(2) The matters referred to in paragraph (1) shall be determined having regard to—
(3) The reviewee's objectives shall be such that, if they are achieved, they will contribute to improving the progress of the pupils he teaches.
(4) Only persons who have a direct professional knowledge of the reviewee may provide evidence for the purposes of paragraph (1)(c).
(5) Where a joint determination cannot be made in relation to any of the matters referred to in paragraph (1), the reviewer shall make the determination.
Recording of plans
28.
—(1) Within 5 days of the planning meeting, the reviewer shall—
(2) Within 10 days of the planning meeting—
(3) Subject to the outcome of any appeal, the contents of the statement shall be deemed to reflect the results of the planning meeting.
(4) The time limit specified in paragraphs (1) and (2) may be extended if the reviewer or the reviewee is absent from work during those times.
(5) The plan shall be recorded in the statement by 31st October following completion of the previous cycle.
Moderation of plans
29.
—(1) Where the authority delegates the reviewer's duties to another person, they may review the contents of the plan recorded in the statement within 10 days of it being passed to them pursuant to regulation 28(2)(c).
(2) Where, pursuant to paragraph (1), the authority are of the opinion that any such plan—
they shall instruct the reviewer to prepare a new plan and statement.
(3) Within 10 days of receiving an instruction pursuant to paragraph (2), the reviewer shall—
(4) The time limit specified in paragraph (3) may be extended if the reviewer or reviewee is absent from work during that time.
Revision of plans
30.
—(1) Where, during the course of any cycle—
the reviewer or the reviewee may request a meeting (a "revision meeting") and that meeting shall be held within 10 days.
(2) Within 10 days of the revision meeting, the reviewer shall—
(3) Subject to the outcome of any appeal, the contents of the addendum shall be deemed to reflect the results of the revision meeting.
(4) The time limit specified in paragraphs (1) and (2) may be extended if the reviewer or reviewee is absent from work during that time.
(5) The statement shall not be revised unless a revision meeting has been held pursuant to paragraph (1).
Classroom observation
31.
—(1) Classroom observation shall be conducted in accordance with the classroom observation protocol referred to in regulation 23(6)(d).
(2) The arrangements for classroom observation recorded in the reviewee's statement shall—
(3) Nothing in paragraph (2)(b) shall prevent any other aspect of the reviewee's teaching performance observed during any classroom observation arranged for the purposes of these Regulations from being assessed and taken into account when the teacher's performance is reviewed in accordance with regulation 32.
(4) Subject to paragraph (5), the total period of classroom observation arranged for any teacher under this Part shall not exceed 3 hours per cycle and shall be determined having regard to the individual circumstances of the teacher.
(5) Where evidence emerges which gives rise to concern about the reviewee's teaching performance, classroom observations may be arranged in addition to those referred to in paragraph (4).
(6) Where it is considered appropriate to arrange additional classroom observations pursuant to paragraph (5), the reviewer shall ensure that a revision meeting is held and that details of any such observation are inserted into an addendum to the statement pursuant to regulation 30.
(7) Where a teacher's performance in the classroom is observed for the purposes of these Regulations, the reviewer shall ensure that the teacher receives a written report on his findings within 5 days of the observation, to which he may add his comments.
(8) Classroom observation must be conducted by a qualified teacher.
Review of teacher's performance
32.
—(1) At or near the end of each cycle, the reviewer shall arrange a meeting with the reviewee ("a review meeting") to—
(2) The review meeting shall be combined with the planning meeting for the next cycle, wherever practicable.
(3) Within 5 days of the review meeting, the reviewer shall—
(b) pass the draft statement to the reviewee.
(4) Within 10 days of the review meeting, the reviewer shall—
(5) Subject to the outcome of any appeal, the contents of the statement shall be deemed to reflect the results of the review meeting.
(6) The time limit specified in paragraphs (3) and (4) may be extended if the reviewer or the reviewee is absent from work during those times.
(7) The results of the review and any pay recommendation shall be recorded in the statement by 31st October following completion of the cycle to which it relates.
Appeals
33.
The reviewee may appeal against any of the entries made by the reviewer in his statement, following receipt of a copy of it pursuant to regulations 28(2)(d), 29(3)(e), 30(2)(d) and 32(4)(d).
Use and retention of statements
34.
—(1) The authority shall retain the reviewee's statement for a minimum period of 6 years from the date on which the cycle to which it relates ends.
(2) The authority shall have regard to the results of the review recorded in the reviewee's statement pursuant to regulation 32 when exercising any discretion in relation to his pay.
(3) The reviewee's line manager or, where he has more than one, each of his line managers shall be provided with access to the reviewee's plan recorded in the statement, upon request, where this is necessary to enable him to discharge his line management responsibilities.
(4) Where a reviewee pursues an appeal in relation to the contents of his statement, the authority shall provide anyone hearing that appeal with access to that statement.
(5) Where a reviewee transfers from one authority to another authority part-way through his cycle, the authority shall transfer the reviewee's statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the new authority, upon receipt of a written request from the reviewee.
(6) Where a reviewee becomes employed by another authority in a school or the governing body of a school part-way through his cycle, the authority shall transfer the reviewee's statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the new authority or governing body, as the case may be, upon receipt of a written request from the reviewee.
(7) Where a reviewee employed by an authority in a school or the governing body of a school becomes an unattached teacher part-way through his cycle, the authority or governing body, as the case may be, shall transfer the reviewee's statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the new authority, upon receipt of a written request from the reviewee.
Parmjit Dhanda
Parliamentary Under Secretary of State Department for Education and Skills
4th October 2006