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Performance and Development Review Policy and Guidance -

Support Staff in Schools

MAY 2005

Performance and Development Review Policy and Guidance - Support Staff in Schools

1) Introduction

• The policy is recommended for adoption by Headteachers and School Governors and can be applied to all school based support staff.

• Performance and Development Review (PDR) is a process which enables the management of performance in the workforce and supports the development of all staff. The aim of the process is to improve the achievement of staff and students and to raise standards across the school.

• The PDR process provides a formal opportunity for managers to recognise the valuable contribution of each member of their staff.

• Such recognition should contribute to the development of stronger teams and teamwork.

• The PDR process is intended to support staff in the achievement of high standards in their current role and to provide staff with the opportunity to identify appropriate training to support their future career development.

2.0. PDR and pay progression � Following the completion of the job evaluation process in Dorset, all grades

comprise both service based and competence increments. These are usually payable on 1 April. The PDR process should be applied to all school based support staff regardless of whether the top of the grade has been reached or, a service or competence increment is due.

� Service increments will usually be paid automatically. � Where posts carry pay progression points, which are dependent on competence in

role, the PDR process will provide the mechanism for assessing this. These increments will be paid only where a positive recommendation is made.

3.0. The PDR Process and the annual cycle � The PDR process aims to establish that support staff are meeting all reasonable

expectations in respect of the discharge of their responsibilities, and to identify development needs. It will involve a three-stage annual process.

Stage 1 – Planning: agreement of performance objectives, and clarification of standards and expectations

• This stage of the PDR process will normally take place at the end of the summer term or the start of the autumn term i.e. between the beginning of July and the end of September. This stage can be combined with completion of stage three of the process for the previous academic year (please see diagram at Appendix A).

• Staff should be given reasonable notice of the PDR meeting. � Prior to the date of the review, each member of staff should be encouraged to

consider their own role and responsibilities, as outlined in their job description. Staff should review their own progress against any previous targets or objectives and should be encouraged to identify possible development needs for the year ahead. A self-assessment form, PDRS1 is available to assist staff in this process.

� In preparation for the review, Team Leaders should consider any objective evidence available to them in respect of the staff member’s performance. They should also consider the areas covered on the self-assessment form PDRS1.

� Team Leaders should ensure that they are aware of the staff member’s spinal column point and whether a competence increment is due. If clarification is required, this can be sought from Human Resources.

� When the PDR meeting takes place, the Team Leader and staff member should consider the information in the self assessment form (if completed), and the evidence collected by the Team Leader In order to discuss and agree up to three objectives to be met over the annual review period. This discussion should be recorded on form PDRS2.

� Objectives should be developed for all individuals, which take account of the demands of the particular role, address key priorities for the school, and provide opportunities to develop and improve the staff member’s professional practice. It is expected that objectives will be set to provide an appropriate level of challenge, within the agreed timescale.

� PDRS2 should also detail the development needs that are identified for staff and how these may be met.

� If there are any differences of opinion about objectives or the timescales within which they are to be met, the member of staff may add comments to the written record.

� Where agreement of objectives cannot be reached the Team Leader should refer the matter for resolution to the Headteacher or their own line manager. In cases where the Headteacher is the line manager there will be a right of referral to the School Governors.

� The Team Leader will retain the master copy of form PDRS2 and provide copies for the team member, the SMT link and Headteacher. The team may agree to share these objectives to support joint planning.

� The information on training needs must be passed to the school’s Continuing Professional Development (CPD) co-ordinator.

Stage 2 - Monitoring Progress (ongoing), and the mid year review Monitoring progress � The Team Leader will collect information throughout the annual review cycle

sufficient to make an informed judgement on the performance of the staff member against their objectives and the agreed performance standards.

� This may be by direct task observation, by written information from checklists, or by

direct collection of information relevant to the staff member’s performance from other people. Such contributions must be written and signed.

� There should be a balanced selection of ways of collecting information to reflect the range of the staff member’s work.

� If direct task observation is to be undertaken the member of staff should be informed in good time. Following direct observation, form PDRS3 should be completed for discussion at the mid and/or end of year review meetings.

� It is reasonable to set a maximum of three hours for information collection for all aspects of PDR throughout the year. This time is intended to include all stages of the process.

� If, as a result of changed circumstances, it is necessary to modify or change objectives during the course of the year, this should be by negotiation.

� In the case of an individual member of staff becoming subject to capability procedures, the PDR process will be suspended, provided that continuing support is provided, and that performance objectives, development needs, and payment of increments are reviewed as part of these procedures.

Mid year review • This should take place usually between January and March. • A record of this discussion should be made on the PDRS2 form. • The purpose of the review will be to use monitoring information, and other feedback

to assess progress towards meeting required performance objectives, to review learning and development needs and identify whether progress has been made in meeting these, and to assess general performance and standards of work.

• The outcome of the meeting could be that specific actions are required prior to the end of year review or that performance objectives are re-negotiated to take account of changing circumstances or priorities.

New appointments in September who require assessment for a competence increment in the following April • In cases where new staff commence work in September, or for staff with

competence increments payable on 1 April 2006 who have not been subject to assessment previously, assessment over a full academic year may not be achievable. In these cases Team Leaders will be required to make a judgement at the mid year review by 28 February 2006 (and each 28 February for previous September starts) as to whether the individual is performing at a competent level based on progress up to that date. Payment of a competence increment will be subject to submission of form PDRS4 to Human Resources.

Stage 3-End of year review and assessment for pay progression (where competence increments are payable) � The end of year review should be conducted between July and September and can,

if required, be combined with stage 1 of the process for the following year. If this is the case two PDRS2 forms will need to be completed, one for the end of one cycle and one for the beginning of the next.

� This discussion should be recorded on form PDRS2. � During the review, information gathered through the monitoring process should be

used to assess achievements, progress against performance objectives, and general performance against the school’s standards. There should also be a discussion about areas of strength, the requirement for future development, training or support, and future career development.

� As part of the end of year review, a formal recommendation is required from the Team Leader in order for progression to a competence increment to take place in the following April. This recommendation should be based on performance over the whole academic year (see explanatory diagram-Appendix A). The recommendation needs to be formalised by the Headteacher and/or appropriate Governor on form PDRS4. Without this form the increment cannot be paid. For April increments Human Resources require signed notification (PDRS4) by 28 February to confirm that progression has been agreed.

� In cases where new staff commence work in September, or for staff with competence increments payable on 1 April 2006 who have not been subject to assessment previously, assessment over a full academic year may not be achievable. In these cases Team Leaders will be required to make a judgement at the mid year review by 28 February 2006 (and each subsequent 28 February for previous September starts) as to whether the individual is performing at a competent level based on progress up to that date. Payment of a competence increment will also be subject to submission of form PDRS4 to Human Resources

� Staff who commence in post between 1 October and 31st March will be due to

receive an increment six months after their start date rather than on 1 April. Where this applies and progression would be to a competence increment, Human Resources must receive signed notification on form PDRS4 in good time in order for the increment to be paid.

� Further guidance on competence increments and progression can be found in section 5.

� If it is not possible to complete the PDRS2 at the meeting, the Team Leader must prepare it within 10 working days following the meeting.

� The member of staff will be provided with a copy and may, within 10 working days of first having access to the copy, add to it comments in writing.

� There will be only three copies of the PDRS2. The Team Leader will retain the master copy, one copy will held by the member of staff and another will be held by the Headteacher, or other identified manager, on a central file.

� The Headteacher may need to prepare information from the file for Governors responsible for making decisions regarding pay.

� Where team members agree it may be appropriate for review records to be shared by the Team Leader with other agreed team members or senior colleagues.

� All review records should be kept on a central file for at least three years. 4.0. Complaints � If a member of staff has a serious concern about the Team Leader nominated to

conduct their review, this should be expressed in writing to the Headteacher, giving reasons for the concern. Whilst the Headteacher will give due consideration to every such concern he /she will make the final decision taking account of operational issues.

� Within 10 working days of receiving the review statement, members of staff can record their dissatisfaction with aspects of the review, on the review statement. Where these cannot be resolved with the Team Leader they can raise their concerns with the Headteacher. Where the Headteacher has conducted the PDR process, complaints should be raised with a nominated member of the governing body.

� The Headteacher, nominated governor, or a nominated senior member of staff will investigate the complaint and take account of comments made by the member of staff.

� A review of the complaint should be conducted within 10 working days of referral. In the event of a complaint by a Headteacher regarding his/her own review statement, the review should be conducted by a member of the governing body e.g. the chair of the appropriate committee

� The Headteacher or governors may decide that the review should remain unchanged or may add observations of his/her own. He/she may decide, with the agreement of the Team Leader, to amend the review statement or declare that the review statement is void and order a new review or part of the review to be repeated.

� Where a new review is ordered, the Headteacher will appoint a new Team Leader to carry out the review, or part review, which should be conducted within a further 15 days.

� The complaints procedure does not remove an employee’s right of recourse to the grievance procedure at any stage.

5.0. Managing Weak Performance � Concerns about levels of performance should generally be picked up as part of the

routine monitoring process and addressed through usual management procedures as well as the PDR process.

� The PDR process may identify serious deficiencies in a staff member’s performance that it may not be possible to address within the PDR alone. Where this occurs, it may be appropriate to initiate the locally agreed Capability Procedure

� As part of any action under the Capability Procedure the staff member and their representative will be provided with the evidence from the PDR process if relevant.

6.0. Links between pay, career stages and PDR � The final meeting of the induction period can be used to agree objectives and

professional development opportunities as the first stage of the staff member’s subsequent PDR.

� Staff members can expect annual increments up to the top of their service related pay range if they are performing satisfactorily.

� Where pay scales include competence related increments these will be awarded in response to successful achievement of objectives and satisfactory general performance.

� If staff members do not achieve objectives through no fault of their own i.e. due to changing priorities within the school, or other factors beyond their control, competence increments will usually be payable provided that overall performance is

satisfactory. � Consideration of withholding annual service or competence increments will only

occur in circumstances where a member of staff is subject to formal capability or disciplinary procedures. In this event the Headteacher will make such a recommendation to the Governors (Pay and Review panel) supported by documentary evidence.

� Relevant information from the review records may be taken into account by those who have access to them in making decisions and advising those responsible for taking decisions, or making recommendations about performance, pay, promotion, dismissal or disciplinary matters.

� Where review statements are used to inform decisions about performance, pay and promotion, to preserve confidentiality and to avoid proliferation of copies of the review statements, they will be tabled at the relevant meeting for reference and collected at its conclusion. Their use in disciplinary or dismissal procedures will be governed by the procedures agreed for addressing such matters.

7.0. Review of the PDR process for Support Staff within School settings � The Headteacher will report annually to the Governing Body on the operation of

PDR procedures in the school and the training and development needs of all support staff. Individuals will not be mentioned or identified within the report wherever possible.

� The Governing Body and Headteacher, in consultation with the accredited representatives of recognised trade unions will review the operation of this policy annually. The policy will be updated and amended as required, to ensure compliance with regulations and changes which may from time to time be introduced by the DfES or recommended by the LA.

� Copies of all standard documents to be used in the PDR process are attached. All documents produced as part of the process will be treated as personal and confidential, and kept in a secure place. The principles and provisions of the Data Protection Act 1998 will be followed at all times.

This policy was developed by a consultative panel of Headteachers, support staff, trade unions and professional associations working with representatives of the Local Authority. This policy was approved at the meeting of the Dorset Workforce Reform Group at its meeting on 11 May 2005, where the following unions and professional associations were represented: ATL, NAHT, NAS/UWT, NUT, PAT, SHA, UNISON.

Policy Reviewed: November 2010

Policy Renewal Date: November 2011

Policy Adoption Date: