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Can Performance Appraisal Work in Schools?

John McLellan and Phil Ramsey Ask a group of business executives about performance appraisals, and likely many of them will say appraisals are an essential element in the management of their companies. They may talk of how appraisals help them to establish goals and targets, to coordinate the efforts of people throughout the company, and keep a handle on motivation issues which they would otherwise find impossibly difficult. Performance appraisals are part of the corporate landscape. If you ask a group of principals and teachers about performance appraisal you are likely to get a very different set of responses. Youll hear some people saying We do it because we have to or Its a complete waste of my time. For many in education, performance appraisal feels like an example of pointless corporatisation: that bureaucrats somewhere have decided that imposing this system on schools is a simple answer to the complexities of making sure schools are well managed. There are some clear patterns emerging in the way schools are dealing with appraisal. There are also important lessons to be learned about how appraisal can give real value to a school, and the traps that need to be avoided. In this article we will outline some of the key lessons we have learned so far. The Truth about Business Before we look at appraisal in school, it is important to clear up misconceptions educators might have about appraisal in business. It might seem that schools are required to adopt appraisal processes because they work brilliantly throughout the business the world. Appraisals are not universally effective, nor are they universally loved in business. Appraisal systems have no magic in themselves; rather they are a vehicle that enables managers to manage. If you cant drive a car, it doesnt make a difference whether you own a Skoda or a Rolls-Royce. If you are an excellent driver you appreciate a well-designed car, though you will probably get where you want to go in anything that actually runs. Similarly, skilled managers and leaders are required for any appraisal process to work. Ideally, an appraisal system should complement the talents of the people for whom it is designed, giving skilled managers opportunity to manage effectively. The School Context What shapes the way schools approach the need for appraisal? Many schools would have no interest in appraisal if it werent for the fact they are legally obliged to have some process in place. ERO seeks to ensure that schools meet the requirements of legislation, that teachers undergo an attestation against performance standards using a process that involves (1) testing against professional standards, (2) using a process that involves observation, and which allows (3) goals setting that links individual performance to the planning and reporting processes of the school. The legal obligation, combined with the thought of scrutiny by ERO, moves schools to put something in place.

What gets put in place? Financial constraints ensure that the priority is meeting the legislated requirements, which unfortunately can be done relatively easily. We say it is unfortunate, because obligations can be met by introducing a system of documentation with no effort to build the skills of those who will be driving it. In other words, the situation is set up to encourage schools to seek compliance, which is relatively easy. Creating an appraisal system that actually works for the benefit of the school is one of those tasks that can always be put off to another day. Contributing to the compliance-based approach is the complexity of school life; in particular the complexities facing school leaders. There are always changes needing to be made and a limit to the amount of change that the school is capable of managing at one time. Educational leaders are most attracted to changes that have a direct impact on students: introducing a new approach to literacy or updating the use of ICT. Appraisal is an issue once-removed from students; it is about encouraging the development of teachers which will, hopefully, flow on to better student experiences. For these reasons it makes short-term sense for leaders to aim for compliance when it comes to formal appraisal, while putting real effort into other areas. Unfortunately there is a downside to this approach, an unintended consequence that can do real harm to a school. The Downside of Compliance When appraisals are done in a compliance-based way they set in place a set of attitudes, expectations and emotions that most leaders would want to avoid. Firstly, consider the attitudes that get established. Appraisal quickly becomes an imposition with no real purpose. People can not see a link to student outcomes, and form the attitude that the school is mired in meaningless paperwork. If words like feedback and observation are used in relation to appraisal, then they get become tainted; seen as processes that are also driven by compliance rather than designed to help. Unhealthy attitudes to management are also established. Teachers are typically very willing to take responsibility for their own classrooms. If the work of managers is to impose meaningless document-based processes of appraisal, then they get more encouragement to keep their heads down, focusing on the work of their classrooms and not looking up to see how they can contribute to the school as a whole. While some teachers become completely dismissive of appraisal, others see it as an opportunity to deal with issues with which they struggle. If, during appraisal, they raise these issues they have a reasonable expectation that something might be done. Where a school is conducting appraisals simply to comply with legislative obligations these people are going to feel let down by the system. In such a school, appraisal documents may be put aside to be shown to ERO at some point in the future. No action is taken. A member of staff who is waiting for action is due for disappointment. Finally, a range of emotions is generated by a dysfunctional appraisal process. There is usually a degree of anxiety experienced around any management interaction, more so when ones professional standards are being assessed. If people feel they are being put through an onerous process for no good reason then the anxiety is likely to be accompanied by frustration.

But more is involved. Appraisal involves observing people and making judgements against professional standards. When this happens people feel they are at risk. If the information is filed and never referred to again it is natural for many teachers to react with suspicion. They imagine that this material might surface at some point in the futureperhaps when they are seeking promotionand bite them. For some schools, appraisal is a serious business when it is used to address serious problems. The rest of the time it is treated lightly. Managers might tell teachers who are good performers Youve got nothing to worry about. This too is a trap. Within any school there is a mixture of poor performers, dependable performers and superstars. Most teachers are dependable: they are professionally competent, reliable and willing to contribute. If appraisal is just aimed at poor performers, everyone takes it lightly. There is nothing in it for dependable performers, let alone the superstars who might thrive on recognition of the outstanding contributions they are making. These learn to take appraisal lightly. Sensing the general attitude of staff, poor performers are likely to treat appraisal as of little consequence as well. Focusing on one group does little to enhance the effectiveness of the process. If a school wants to do more with appraisal than just comply, and if it wants to avoid the downside we have described, what can it do? Designing for Success In our experience there are some important features of successful appraisal. These are features that need to be designed into appraisal efforts if schools want on-going success. Appraisal must involve the Core Group: All schoolsin fact, all organisationshave a Core Group of people that others look to for direction. By their comments, actions and decisions the Core Group signals what is really important in the school. Appraisal will not be treated seriously in a school unless the Core Group gets serious about it. While there are tremendous opportunities for delegation, at least one person from the schools Core Group needs to be actively involved. Design for local circumstances: Many appraisals feel like they are corporate ideas transplanted into schools. And people generally, not just people in schools, are not attracted to corporate life. We read books and watch movies about small villages, or communities of the past: situations where local flavour colours the actions people take. And it seems the more corporate the world becomes the more we yearn for local experiences. Appraisals need to have a sense of localness. Interestingly, the legal obligations mentioned at the start of the article, are very broad. There is plenty of room within which a school can create a system that suits its size, character, and the talents of the people available. Schools may find that they can kill two birds with one stone: linking appraisal with other important processes, such as profesisonal development. Engage agents who will take responsibility: As we mentioned earlier, sometimes appraisal becomes focused on poor performers in the school. The people who could contribute the most can get sidelined. It is remarkable to us how seldom schools use the people with the most to share. It is likely that a

school will have a great deal of freedom in who it uses as appraisers. There is real value in identifying and using those who will have the greatest impact on the school, either because of their capacity to influence others or the development that is in it for them. Think carefully about who to use: it might be those who are already capable and respected, those who are recognised as gifted teachers from whom others can learn, or those with leadership potential. When star performers are engaged in appraisal processes they benefit from the opportunity to develop managerial abilities, and others benefit when the stars share what they know. Provide training for the drivers: Remember that appraisal is a vehicle that depends on the skill of the drivers. Dont leave this to chance: provide training for those who will conduct appraisals. Appraisal is a high stakes situation for teachers. There is anxiety associated with going into an appraisal, so it is easy for the appraiser to get things wrong. We might assume that teachers will be quick to accept advice and feedback on their practice. In reality education has a culture of collaborative individualism where teachers feel personal responsibility for what they do in their own classrooms. They can, therefore, become protective about their classes and defensive about their practice. Appraisers generally need training in who to give edible feedback, ask powerful questions and manage difficult conversations.

Appraisal can work. In essence, appraisals give skilled managers an opportunity to manage and, as a consequence, individuals the tools and feedback they need in order to grow. Making appraisal work is about creating conditions which enable skilled managers to manage. Yet, as we have seen, there is plenty of opportunity for things to go wrong if schools are half-hearted in taking action. The key to successful appraisal is serious effort at building localness into the process while making good use of the talent available in the school. Leaders can then make sure that appraisal goes beyond compliance-based documentation and turns into a vehicle for professional conversations carried out with rigour.

About the Authors: John McLellan works with leaders in education. He is Director of InterLEAD Consultants and offers a range of leadership programmes and services. His website is www,interlead.co.nz Phil Ramsey is InterLEADs Director of Research and Learning. He also teaches Organisational Learning and Human Resource Development at Massey University. Phil is author of the book On the Job Learning: creating productive work environments (Dunmore Press, 2000)

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