PMS 3 - May 1997

Appraisal of the Principal

Performance Management Systems

A Series of Guidelines on

Performance Management Systems

Published May 1997

This is the third in a series of guidelines on performance management. This publication should be read in conjunction with the first issue, distributed with the Education Gazette of 10 February 1997.

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 role of the Board of Trustees in principal appraisal

(a) Board responsibility to appraise the principal

The relationship between the principal and the board is the critical hub around which the effective governance and management of any school revolves.

The most significant task a board performs is appointing the principal and managing her/his performance.

The board of trustees is the legal employer of all the staff in a school. The principal is chief executive of the board but is also an employee of the board and therefore subject to appraisal. Principal appraisal is two-fold:

Accountability

Firstly, appraisal assures the accountability of the principal for leading the school and managing the quality of teaching. To achieve this, a board must document its expectations of the principal's performance.

Development aspects

Secondly, appraisal has the effect of setting development objectives. These relate to school-wide organisational goals and professional development goals personal to the principal.

Effective principal appraisal combines accountability and development aspects through:

• role clarification;
• ongoing feedback to the principal about performance;
• honest identification of concerns to bring about improvement;
• affirmation of successes; and
• support for development.

A board should consult the principal to develop its performance appraisal processes and documents, including the principal's performance agreement.

A board must also keep in mind:

• the relevant individual or collective employment contract (NOTE 1); and
• the recently mandated requirements for appraising teacher performance (NOTE 2)

A board's official obligations to appraise the principal include:

• formulating the appraisal policy;
• clarifying the principal's role regarding performance expectations;
• funding the development objective(s);
• developing and signing an annual performance agreement;
• arranging for the operation of suitable appraisal processes; and
• reviewing its own practice for principal appraisal.

(b) Exercising responsibility for principal appraisal

Board members cannot expect to be involved in all aspects of the appraisal of the principal's performance. A one-to-one relationship is essential for effective appraisal, and the primary relationship should be between the principal and the board chairperson. However, it is reasonable to expect that other individuals may also be involved in, or contribute information to, the principal's appraisal.

Board members need to ensure that there is an appraisal policy and system in place, and that the principal is appraised according to the prescribed requirements.

Since a number of different individuals could be involved in a principal's appraisal, it is important for the board to clarify each person's responsibilities.

The following delegations are likely:

• board chairperson  responsible for overseeing the appraisal process (and reporting to the board);
• board chairperson (or sub-committee)  responsible for the appraisal of the principal's leadership and management/ school-wide responsibilities;
• an appropriate professional  responsible for the appraisal of the principal's teaching responsibilities (where these form part of the principal's job).

(c) Policy options

A board's general policy for performance appraisal could include reference to the appraisal of the principal, or there might be a distinct and separate policy for that purpose. A board, in consultation with the principal, will need to decide for itself which option it prefers.

Sample section from a policy statement

Responsibility

Responsibility for managing the principal's appraisal is delegated to the chairperson of the board. The chairperson will engage (in consultation with the principal) persons with appropriate skill and expertise to contribute to the appraisal process.

The board chairperson and the principal will consult to determine a process for the principal's appraisal. This process will be recorded in the performance agreement and implemented annually.

Confidentiality

Documentation related to the principal's appraisal interview will remain confidential to the principal and the board chairperson, unless the principal agrees otherwise.

Performance agreement documents will be made available to the board as confidential documents.

Dispute resolution

Any dispute related to the principal's appraisal process or its results will be referred to an independent arbitrator agreed upon by the principal and the board chairperson. (Note that in any dispute, the board, as employer, has responsibility for the final decision.)

In the event of dispute, the principles of natural justice will apply. The board will allow each party to seek the advice they desire and provide the evidence they deem relevant. In the end, the board, as employer, will have responsibility for the final decision.

2. Linking principal appraisal to school performance management

(a) The principal's management role and associated key tasks

The principal is the chief executive of the board of trustees and is responsible to the board for the overall leadership and management of the school. This includes putting into practice, on a day-to-day basis, the board's policies.

Local and international literature on the role of the principal suggests that, in fulfilling her/his management role, the principal will have the following key tasks. She/he will manage:

• curriculum and student learning;
• student activities and welfare;
• personnel;
• school property;
• finances;
• school/community liaison;
• planning, monitoring, reviewing, and reporting operations;
• informing and advising the board as its chief executive;
• promoting a positive image of the school; and
• teaching (if required).

Legally, the National Administration Guidelines (NAGs) require a school's management to focus on:

• curriculum management (NAG 1);
• personnel management (NAG 2);
• financial and property management (NAG 3);
• managing documentation of school plans and self-review (NAG 4);
• managing the physical and emotional environment of the school (NAG 5); and
• managing school administration (NAG 6).

Boards usually delegate these responsibilities in management areas to the principal and clarify the degree of authority the principal has in each area. This is a crucial part of developing performance expectations for the principal's management role.

National and international literature has been used to arrive at the synthesis presented here of the tasks of principalship.

Some items are cited below to provide further useful references.

Cardno, C. Collaborative Management in New Zealand Schools. Auckland: Longman Paul, 1990.

Education Review Office. Core Competencies for School Principals. Wellington: ERO, Winter 1995.

Education Review Office. Professional Leadership in Primary Schools. Wellington: ERO, Winter 1996.

McMahon, A. and Bolam, R. Management Development and Educational Reform: A Handbook for Primary Schools. London: Paul Chapman, 1990.

Principals' Implementation Task Force. A Guide to Governance and Management. Wellington: Learning Media, Ministry of Education, 1990.

(b) The principal's job description and management expectations

Performance appraisal requires the development of mutual understandings about "performance expectations".

These expectations need to be agreed to, summarised, and documented for each job in the school, including that of the principal.

The principal's job description usually sets out all the key tasks of the position.

In simple terms, performance expectations are the expected outcomes resulting from key tasks being satisfactorily carried out.

The performance expectations for a principal arise from the key tasks in the job description. They usually set out the "expected results" (or outcomes) and the "indicators" (or measures) that will be used in the appraisal process.

To provide in-depth and high-quality scrutiny, it is advisable that the process be selectively focused. This is preferable to using the principal's appraisal to review everything happening in the school.

In any appraisal period, the principal and board chairperson might be focusing on no more than two or three aspects of the overall leadership and management role of the principal. By rotating the focus between appraisal periods over time (for example, the three-year term of the board), all aspects of the principal's leadership and management roles could be appraised.

Sample of detail expected

Below is an example of two documented performance expectations for the management responsibility of a principal. It is suitably detailed to assist the appraisal process. (Note that this is a sample format only  different titles and formats might equally well meet the requirement for specifying performance expectations.)

3. Linking principal appraisal to school-wide planning

(a) The principal's leadership role

In addition to her/his management role, the principal is also the professional leader of the school and the chief educational adviser to the board. Therefore, there is an expectation that the principal will:

• take the initiative in developing the educational vision/mission for the school; and
• take a leading role in ongoing quality improvement efforts relating to learning and teaching in the school.

(b) The Board's planning role

In guiding the school forward, it is advisable for every board of trustees to have a "strategic plan", setting out the planned initiatives that the school intends to take over the next three-to-four years to make progress towards the overall vision/mission.

It is also advisable for a board to have an annually prepared "management plan" (or, as it is called more commonly in primary schools, a "school development plan"), setting out the proposed school-wide initiatives for the next twelve months.

The appraisal requirements prescribe that, in addition to her/his "management" performance expectations, the principal should also have performance expectations relating to her/his "school-wide responsibilities". These responsibilities arise from the school-wide planning process and particular school-wide initiatives that the principal is delegated to lead and oversee on behalf of the board.

Again, for purposes of manageability and quality in the principal appraisal process, it is recommended that in any appraisal period, there be an agreed selection of school-wide responsibilities to be appraised according to their relative importance for school success.

Sample of detail expected

In the box below, there is an example of documented performance expectations for the school-wide responsibilities of a principal. These are suitably detailed to assist the appraisal process. (This is a sample only, and different titles and formats might be equally acceptable.)

PRINCIPAL APPRAISAL

Diagram one : Initiating the process

PRINCIPAL APPRAISAL

Diagram one : Implementing the process

4. Linking appraisal to the personal/professional development of the principal

(a) The changing demands on principals

There is recent evidence that many principals are under personal pressure at present because of the changing demands of their jobs. For example, a 1996 national survey of principals by the New Zealand Council for Educational Research (NZCER) found that for primary principals there has been a shift in emphasis away from direct teaching and from working alongside teachers. It was also found that there is now more emphasis on primary principals integrating the different aspects of a school's overall operation (NOTE 1).

These changes have given many principals new sources of satisfaction and opportunities for leadership. However, other teaching principals view the changes as creating overload and role ambiguity.

A board of trustees is required to apply "good employer" principles in its relations with the principal, and any good employer should be concerned when there is evidence of stress arising from a work situation.

Principals need regular opportunities for professional refreshment, and boards should expect to provide their principals with regular assistance and support.

The principal is the key resource in a school and as such needs to receive regular investment in her/his upkeep and maintenance.

(b) The principal's development objective(s) and assistance/support

As part of her/his appraisal requirements, each year every principal should have at least one personal/professional development objective and an associated programme of assistance and support. As the professional leader of a school, the principal needs to remain up to date with current educational trends and research findings; he/she needs ongoing professional development opportunities similar to those of other teaching staff.

This is not an option for the board. It is a requirement. The development objective(s) for the principal might be related to either an area of current personal/professional need or the ongoing need for personal refreshment and updating. In either case, the focus must be negotiated at the initial stage of the appraisal process, along with another key element  the agreement about the assistance and support to be provided by the board to assist in the achievement of the objective.

Sample - Documenting the principal's personal/professional development objectives

In the box below, there is an example of two documented development objectives suitable for principal appraisal purposes along with the agreement on assistance and support that might accompany them. (This is a sample only, and different titles and formats might be equally acceptable.)

5. Process and Implementation Issues

(a) The required process elements

As set out in the Education Gazette of 10 February 1997, each board of trustees must ensure that the principal appraisal process includes the following process elements:

1. Documented performance expectations

These must relate to management and school-wide responsibilities.

2. Development objectives

These must be set, and support must be provided to achieve them.

3. Observation

Observation of teaching applies in the case of a teaching principal.

4. Self-appraisal by the Principal

This is a reflective task, probably most effective when it is done prior to a formal appraisal interview as a form of preparation and self-critique of performance.

Self-appraisal is a highly personal and private activity, and its worth is questionable if it is to be recorded in the form of a report that will be shared by others.

If it is not entirely confidential to the appraisee, there is a chance of either too-modest or inflated comment, both of which reduce validity and water down the benefit to the appraisee.

There are several forms that self-appraisal may take. A format might be designed by the appraisee and appraiser in partnership. Alternatively, the appraisee might self-appraise her/his performance in a column created for this purpose within a copy of the job description.

5. Discussion of achievement

The achievement of performance expectations and progress with development objectives must be discussed.

The appraiser and appraisee should have regular opportunities to discuss progress, so that there are no surprises. In most schools, the principal meets the board chairperson on a frequent and regular basis. This provides opportunities for ongoing discussion.

At the end of an appraisal cycle, there should be a formal meeting  often called the appraisal interview. The purpose of this meeting is to look back at what has been achieved and to plan ahead for the next round of appraisal. This can be both an end and a starting point in a cyclic appraisal process.

6. An appraisal report

An appraisal report must be prepared and discussed in consultation with the principal. A brief report detailing the conclusions of the appraisal interview should be recorded and approved by the principal and chairperson. This report could be tabled and discussed (in committee) at a board meeting.

Headings used in such summary reports might be:

• Commendation on Performance;
• Concerns Related to Performance;
• Note of Contingencies or Factors Affecting Performance;
• Recommendations for the Future; and
• Outcomes of Personal Development Objectives.

1. In addition to these Ministry requirements, principals' employment contracts require the development of an annual performance agreement, which details: the objectives of the principal's performance for the year specified; and
2. the process and criteria by which the principal's performance is to be appraised for that year.

This agreement should be developed in consultation with the principal.

For convenience, it is probably desirable to have a single document as the basis for principal appraisal. This document must meet both Ministry and employment contract requirements.

A single performance agreement

A single performance agreement can meet all of the above requirements if it contains sections that include:

• an outline of performance expectations: key tasks, expected results, and performance indicators if appropriate;
• the principal's organisational objectives (school-wide targets or initiatives for change or development), including support to be provided and criteria for evaluation of achievement;
• the principal's development objective(s) (personal or professional), including support to be provided and criteria for evaluation of achievement;
• the agreement on process and criteria for the annual appraisal cycle; and
• the signatures of the principal and board chairperson (or a delegated board member).

(b) The monitoring process

Regular meetings between the principal and board chairperson provide an avenue for monitoring the principal's performance. The principal's monthly reports to the board provide another means by which progress can be checked and modifications made if necessary.

There are a number of other ways in which a principal's performance might be monitored for appraisal purposes. These include:

• the appraiser meeting with senior staff to discuss aspects of principal performance;
• questionnaires to the board and/or parents, asking for feedback on selected aspects; and
• reports from a consultant involved in monitoring aspects of performance.

During the development of the appraisal policy, agreement should be reached on which, if any, of these monitoring methods will be used.

In negotiating the performance agreement, the principal and board chairperson should establish the pattern of data-gathering best suited to them for monitoring the selected aspects of the principal's performance.

Sample Appraisal Process Agreement Detail

On the next page, there is an example of a documented appraisal process agreement suitable for principal appraisal purposes. (This is a sample only, and different titles and formats might be equally acceptable.)

6. Further useful resources

Ballard, R. and Duncan, P. The Role of the Principal and Trustees in Tomorrow's Schools. Wellington: Department of Education (Implementation Unit), 1989.

Cardno, C. Effective Performance Appraisal for Principals (Auckland Primary Principals' Association Seminar Booklet). Auckland: UNITEC Institute of Technology, 1993.

Cardno, C. and Piggot-lrvine, E. Effective Performance Appraisal: Integrating Accountability and Development. Auckland: Addison Wesley Longman, [in press 1997].

Education Review Office. Effective Governance: School Boards of Trustees. Wellington: ERO, Winter 1994.

Education Review Office. Managing Future Uncertainty: Boards of Trustees as Strategic Planners. Wellington: ERO, Winter 1995.

Education Review Office. Managing Staff Performance in Schools. Wellington: ERO, Autumn 1995.

Hattersley, M. (ed). The Appraisal of Head Teachers. London: Cassell, 1992.

Kilmister, T. The Effective School Board: Policy Governance in Action. Wellington: NFP Press, 1990.

Ministry of Education. Charter Framework. Wellington: Ministry of Education, 1990.

Otago Region School Trustees' Association. School Improvement through Self-review. Dunedin: Otago Region School Trustees' Association, 1995.

Peterson, D. "Evaluating Principals" in ERIC Digest, Number 60, 1991.

Principals' Implementation Task Force. A Guide to Personnel Management. Wellington: Learning Media, Ministry of Education, 1990.

Rudman, R. Human Resources Management in New Zealand: Contexts and Processes. Auckland: Longman Paul, 2nd edition, 1994.

Stewart, D. and Prebble, T. The Reflective Principal: School Development within a Learning Community. Palmerston North: Massey University ERDC Press, 1994.

Trethowan, D. "Appraising the Head", in Appraisal and Target Setting: A Handbook for Teacher Development, pp. 158-179. London: Paul Chapman, 1987.