managing pay appeals briefing for governors annual conference 11 th october 2014 diocese of...

Managing Pay Appeals

Briefing for Governors

Annual Conference11th October 2014

Diocese of Shrewsbury

Department of Education



Items to Be Covered

• Increasing importance of performance management and role of Ofsted.

• Process Prior to Governors• The Pay Committee• The Appeals Process

Ofsted

In his letter of the 21st February 2012 the Secretary of State asked the STRB to consider:• how to reduce the rigidity of the pay system so that it

best supports the recruitment and retention of high quality teachers in all schools; and

• how to strengthen the link between teachers’ pay and performance and whether there are any particular barriers to this within the current system.

Result was the introduction of performance related pay progression for all teachers (had already been in place for leadership).



Ofsted

Performance Management/Appraisal

• In reaching their judgement on leadership and management, inspectors evaluate how well the headteacher/principal, and where relevant, other senior staff are managing staff performance and using the staff budget to differentiate appropriately between high and

low performers.



OfstedInspectors consider the extent to which the headteacher/principal ensures that all staff undergo appraisal process which enable them to benefit from appropriate professional development. Where teachers’ performance is less than good, inspectors will seek evidence that this is rigorously managed, and that appropriate training and support are provided.

Where teachers’ performance is good, inspectors will expect to see evidence that this is recognised through the appraisal process.



Appraisal Statement on Pay• Appraiser in their review will make a recommendation for pay

progression• Build informal process by which there can be a ‘conversation’ with

appraisee if they feel the decision is unjust.



Your Pay Policy

Date when all pay decisions will be made?Appeals Process?

Do there need to be changes ?

Review ProcessAppraisal Review with Pay recommendation

Appraisal Review – No Pay recommendation

Headteacher Moderates and recommends pay progression

Headteacher Moderates and does not recommend pay progression

Internal Review of Pay recommendation – not by Headteacher

Pay Committee Approves Pay Progression

Pay Committee RejectsPay Progression PAY APPEAL

Headteacher informs Appraisee that there will be no pay recommendation

Discussion with Appraisee

Appeals

Appeals can be made where a teacher believes that the person or committee by whom the decision was made: • a) incorrectly applied the school’s pay policy;• b) incorrectly applied any provision of the STPCD;• c) failed to have proper regard for statutory guidance;• d) failed to take proper account of relevant evidence;• e) took account of irrelevant or inaccurate evidence;• f) was biased; or• g) unlawfully discriminated against the teacher.



Appeals



Schools should ensure that an appeals PROCEDURE is in place before any pay determinations are made. The adoption of an appeals procedure after a pay appeal has already been lodged could leave schools open to legal challenge.

An appeals policy should have clear timescales which are reasonable in all circumstances, make allowances for school holidays, but allow appeals to be expedited in good time.

Internal Appeal (Stage 1)• Appraisal statement and recommendation

– There should be an internal process by which a teacher can appeal the PM statement with its recommendation

– Must be related to the “reasons for appeal”– Who does this – best NOT to be the “head teacher”, – School decision as to what form of “informal” appeal – If a “re-appraisal”, the “appeal statement” will stand for the

next stage– Although informal, make sure clarity: “reasons” in writing and

limit to where these are linked to the pay policy



Stage 1• Appealing a moderation

– Member of staff should know reasons for moderation– Opportunity for member of staff to put their case to the

moderator– Suggest this is a meeting– “Informal” meeting with the member of staff– The member of staff should be able to comment (appeal) in

writing a on the moderation statement– The appellant should be advised that the statement should be

• for one of the appeal reasons stated• linked to the school’s Pay and PM policies



Moderation Role Of Headteacher



Head teachers remain accountable for the appraisal process under the Regulations and should make the final pay recommendations following moderation.

BUT- must be based entirely on published criteria. Need to relate back to school’s own pay policy/appraisal policy.If policy is not fit for purpose change for next year, but too late for this.

Timeline For Stage 1 Appeals

• Teacher receives negative pay judgement (9th October)

• Teacher has 7 days to make an appeal (16th October)• 7 Days to review the decision and convey decision to

member of staff. (23rd October)• Headteacher presents pay decisions to Pay

Committee (24th October)• Decision communicated to Teacher (31st October)

If following deadline to be met then all pay decision would have had to be made by Last Thursday!


• Teacher receives Positive pay judgement (9th October)• Headteacher moderates and decides against

progression and informs teacher (10th October)• 7 Days to appeal (17th October)• Headteacher meets with teacher to discuss

moderation (18th October) • Headteacher informs outcome of stage 1 appeal• Decision communicated to Teacher (31st October)

If following deadline to be met then all pay decision would have had to be made by Last Thursday!


Most schools will not be able to follow this process by 31st October

Consult with staff and Governors that for this year you wish to alter timescales so that the process can be given due time and consideration and present a revised timescale giving the dates by which stage 1 of the appeals system can be managed.



Pay DecisionsGoverning Bodies need to be assured that the process has been robust and have confidence in the pay recommendations being made.

They do not need to review each recommendation.

How they assure themselves is not regulated but should not be overly bureaucratic.

Pay decisions should be communicated to teaching staff by 31 October (31 December for headteachers) or agreed revised date.

• .

Appeals

Appeals can be made where a teacher believes that the person or committee by whom the decision was made: • a) incorrectly applied the school’s pay policy;• b) incorrectly applied any provision of the STPCD;• c) failed to have proper regard for statutory guidance;• d) failed to take proper account of relevant evidence;• e) took account of irrelevant or inaccurate evidence;• f) was biased; or• g) unlawfully discriminated against the teacher.



Professional Associations Appeals• 1. Setting aside provisions of the policy• Challenging excessively demanding criteria• In such situations you are challenging the criteria, not the decision - and asking that the criteria are set aside for all decisions because they are now

seen to be creating unfair obstacles to progression and potentially leading to discrimination in some cases. • Challenging use of the Teachers’ Standards as a checklist and/or use of Career Stage Expectations checklists .• Challenging quotas and relative performance judgments • Challenging funding constraints • 2. Challenging the evidence or the application of the criteria• Challenging decisions - Evidence is important • Challenging decisions - Using the “no surprises” principle • Challenging decisions that are not clearly based on appraisal evidence • Challenging decisions that set aside the appraiser’s recommendation• Challenging decisions based on moving the goalposts • Challenging decisions based on objectives • The aim in such situations will be to persuade the governing body that the decision to deny pay progression is unjustified because there has been

sufficiently good performance even though a particular objective or objectives may not have been achieved.• Challenging decisions based on student outcomes objectives • Challenging decisions based on lesson observations • Challenging decisions based on pupil or parent feedback• Challenging decisions based on requirements which teachers have not had the opportunity to meet • Challenging decisions that don’t take learning curves into account • Challenging decisions based on inappropriate expectations of UPR teachers• Challenging decisions based on a need for training • Challenging decisions on the basis of the financial impact of denying pay progression • 3. Challenging discrimination• Challenging decisions on the basis of potential unlawful discrimination • Challenging decisions to deny progression to teachers on maternity leave or extended sickness absence • 4. Applications to be paid on the Upper Pay Range (threshold applications)http://www.teachers.org.uk/paytoolkit/appeals

http://www.teachers.org.uk/paytoolkit/appeals

http://www.teachers.org.uk/paytoolkit/appeals

Three Stage Appeal• Stage one: Informal discussion with the appraiser or head teacher

prior to confirmation of pay recommendation

• Stage two: A formal representation to the person or governors’ committee making the pay determination.

• Stage three: A formal appeal hearing with an appeals panel of governors



AppealsStage one

Informal discussion with the appraiser or head teacher prior to confirmation of pay recommendation



Stage 1• Appraisal statement and recommendation

– There should be an internal process by which a teacher can appeal the PM statement with its recommendation

– Must be related to the “reasons for appeal”– Who does this – best NOT to be the “head teacher”, – School decision as to what form of “informal” appeal – If a “re-appraisal”, the “appeal statement” will stand for

the next stage– Although informal, make sure clarity: “reasons” in

writing and limit to where these are linked to the pay policy



Stage TwoStage two

A formal representation to the person or governors’ committee making the pay determination.



Stage 2• Member of staff should be able to put their comments to the

decision maker(s) if the recommendation is “negative”– Either from a PM review– Or from a Moderation

• Must be in written format linked to grounds of appeal.• Some schools ALSO allow for the Member of Staff to present their

case and answer the decision maker’s questions.• This Must be managed – time and content advised.• TU Representation normally allowed, but meeting can go ahead if

rep cannot make it .



Stage 3Stage three

A formal appeal hearing with an appeals panel of governors



Stage 3• Need to manage expectations • Be clear in letter inviting them:

– how long the session is likely to take– the sequence– how long they may verbally present for– The role of the chair– The grounds of appeal being heard– Trade Union Representation allowed (if in policy)

• Don’t leave open-ended otherwise risk having half day sessions.• Ensure ALL involved are trained



• Introduction by chair– Including that all document have been read by panel– Time for the relevant presentations– Explanation of “questions”– Explanation of limitation of grounds of appeal and possible

areas of discussion– Not a re-hearing of the process

• Presentation by appellant– This could be entirely in writing, or time limited

• Questions of appellant by school– Good practice, but kept short

• Questions of appellant by panel– Essential!– focussed on appeal



• Presentation by decision makers– Who will present from the decision makers – chair of first

committee? head?– Needs to be same rules as for the appellant

• Questions to decision makers by appellant– Need to keep this focussed from the chair

• Question to decision makers by panel• *Summary statement by decision maker

– Kept very short• *Summary statement by appellant

– Kept very short– * can be other way round



• Make sure the TU rep understand their role as part of the hearing• Challenge the first “non-process” interruption

– And any subsequent one• Allow “withdrawal” of rep and member of staff at any time – make

sure that ALL parties withdraw



• Write to member of staff with outcomes and clear reasons why appeal is accepted or denied.– Link this to grounds for appeal– Link this to Pay & PM Policy / Teacher Standards

• Consider relevant actions with / against managers • Make sure pay decisions are filed and payroll informed• Review Pay policy and Cycle



Appeals should be considered as a normal part of the cycle.

Implications include:• ensuring the appeals’ process is robust but not onerous;• that relevant governing body members have appropriate training

where required;• Time is put aside by governors to process appeals each year



• Use management data from the appeals’ process to improve for future years.

• Look at where appraiser recommendations are being overturned at moderation or where appeals are being successful. Are there weaknesses with specific Departments or individuals.

• Will never completely get away from appeals being submitted but should work to reduce the percentage.



managing pay appeals briefing for governors annual conference 11 th october 2014 diocese of...

Documents

pay appeals

pay committee

pay system

pay appraiser

pay recommendation appraisal

pay recommendation discussion

pay policy date

appeals process slide