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Appraisal of Professional Leaders (ECE)
Workshop Resource Book
2017
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Project Aims
Within the context of appraisal, develop a shared understanding about:
•the role of the professional leader as leader of learning
•the use of information or data and evidence for planning ongoing strategic decision-making
•the place and use of Our Code / Our Standards
To support you as professional leaders to:
•be clear about the relationship and requirements for your own appraisal for the renewal of your practising certificate with the Education Council of Aotearoa New Zealand
•understand the expectations of the audit and moderation process undertaken by the Education Review Office on behalf of the Education Council
•develop, refine and engage in an appraisal system that fosters learning; your own, your teachers’ and the children’s
•undertake evidence-based leadership inquiries as a central component of your own appraisal
•where applicable, have a shared understanding between you and your centre owner/Board Chair to ensure confidence that your appraisal process supports you in your role as professional leader.
My question/s…
Requirements for a Centre Owner and Manager’s Appraisal when applying for or renewing a Full Practising Certificate
A centre owner or manager who wishes to maintain a Full Practising Certificate must be involved in an ongoing appraisal system where they demonstrate in practice and have evidence of meeting the Standards for the Teaching Profession (Our Standards)[1]. Their learners may be the teachers (and the children) in their service rather than only the children. Where their teaching involves the teachers they employ and not children, i.e. in a professional development, ‘leader of learning’ way, the same expectations as of other certificated teachers applies.
The appraisal system would involve them in an appraisal cycle that includes being observed (at least two times annually) engaging in discussion about their teaching or leadership and its impact on learners, receiving feedback on their teaching, and having opportunities to discuss and plan for their professional growth. This process would be undertaken by someone with a Full Practising Certificate but will not be someone employed by them or be a member of the appraisee’s family. This appraisal process should enable them to provide evidence of how they meet all the Standards for the Teaching Profession in their role.
If a centre owner or manager has an appraisal process set up with a person who does not hold a Full Practising Certificate, then there also needs to be a second endorser involved in the process. This second endorser may be a senior member of staff or a professional leader or teacher from another ECE service. They will hold a Full Practising Certificate and have opportunities to observe the centre owner’s teaching practice, provide feedback and have conversations in relation to improving practice and meeting the standards. The documentation of these observations and the discussion and feedback that ensues should be kept in the appraisal records.
The Education Council requires an annual summary report to be completed for each teacher (including professional leaders) holding a practising certificate. An example of a summary report is available along with other resources for developing appraisal systems on the Council website The report format illustrates the type of evidence it is expected will be used to inform the appraisal processes. The report’s content and structure indicates that the teacher has participated in a robust performance review/appraisal process.
The appraisal audit and moderation function is undertaken on behalf of the Council by the Education Review Office (ERO) reviewers, as part of their regular review of the service. It is likely that they will want to view the appraisal summary report for everyone who has had an application for practising certificate endorsed in the preceding twelve months. More information about this process can be found at
If a centre owner/manager, through the scope of their role, is not able to meet the Standards for the Teaching Profession, then an application for a subject to confirmation practising certificate would be appropriate.
All ECE services are expected to have performance management systems in place for all staff, including the professional leader, as outlined in Regulation 47 (1)(a). Performance management systems should include robust appraisal processes for all staff (Licensing Criteria, GMA 7). Therefore, owners/managers who do not wish to or are unable to maintain a full practising certificate should still be appraised.
In summary:
- Regulation 47 (1)(a) and Licensing Criteria, GMA 7 require that all centres conduct appraisals for all staff.
- A centre owner/manager who wishes to maintain a Full Practising Certification must be involved in an ongoing appraisal process where they receive feedback on their teaching. (‘Teaching’ refers to leading the learning of adults and/or children.) They must be able to demonstrate and have evidence of meeting the Standards for the Teaching Profession.
- If a centre owner/manager has an appraisal process set up with a person who is not a certificated teacher then there also needs to be a second endorser involved in the process. This person must be a fully certificated teacher who has opportunities to observe the centre owner’s teaching practice, provide feedback and have discussions in relation to meeting the standards.
- If unable to demonstrate meeting the standards, eventually the centre owner/manager will be applying for a practising certificate with the category of subject to confirmation.
The Education Council requires an annual summary report to be completed for each teacher/professional leader holding a practising certificate
What do I want to know more about?
Appraised by:
Below are several scenarios illustrating how a Professional Leader may be appraised usingthe Standards for the Teaching Professionand be eligible to maintain their Full Practising Certificate.
Scenario 1
The owner of the centre holds a Full Practising Certificate. They enlist a fully certificated professional leader or external consultant to act as their appraiser. If the owner has a centre manager, this person cannot act as the sole appraiser for the owner because of the potential for conflict of interest. The appraiser engages with the owner to establish professional goals, to observe and give feedback on practice and to evaluate evidence. Through professional discussions with the owner a joint decision is made regarding the meeting of the Standards for the Teaching Profession and a final summary report is written. In this scenario, the application for the practising certificate is endorsed by the appraiser.
Scenario 2
The owner of the centre takes responsibility for the professional leader’s appraisal. The centre owner does not have a full practising certificate. The owner and the professional leader have identified a fully certificated centre manager from another centre (or a fully certificated external consultant) to engage in the process. This person brings their understanding of the Standards for the Teaching Profession and their depth of knowledge and skills applied to practice on behalf of the profession. The personknows the manager’s goals, observes him/her in practice, gives feedback on practice, and evaluates their evidence using theStandards for the Teaching Profession. This person also participates in a conversation with the centre owner attesting that the professional leader meets the Professional Standards for the Teaching Profession and informing the annual summary report. Administration and management aspects of the professional leader’s job description may be appraised by the centre owner. In this scenario both the centre owner and the appraiser endorse the application for the practising certificate. This scenario also applies to other professional leader roles where the person who oversees you in your role does not hold a Full Practising Certificate (eg: lead hospital play specialist, PSM).
Scenario 3
The uncertificated owner of the centre delegates responsibility for the professional leader’s appraisal to an external consultant experienced in appraisal. The external consultant is not fully certificated. The consultant participates in professional conversations with the professional leader(including conversations focused on goals),and with a fully certificated teacher who has had the opportunity to observethe leader in practice and evaluate evidence. The external consultant draws on the perspective of the fully certificated teacher in order to compile the annual summary report attesting that the professional leader has met the Standards for the Teaching Profession. In this scenario,the fully certificated teacher will endorse the application for the practising certificate and the external consultant /centre owner will be the second endorsers.
Scenario 4
The Board/Committee of a community based centre takes responsibility for the professional leader’s appraisal. However, nobody on the Board has a full practising certificate. The Board/Committee chair and the professional leader have identified a fully certificated teacher within the centre to engage in the process, bringing their understanding of the Standards for the Teaching Profession and their depth of knowledge and skills applied to practice on behalf of the profession. The teaching colleague knows their leader’s goals, observes her in practice and participates in conversations with the Board/Committee chair informing the annual summary report statement that the professional leader has met the Standards for the Teaching Profession. The Board/Committee chair oversees the appraisal process to ensure that the potential for conflicts of interest are mitigated. In this scenario both the Board Chair and the teaching colleague endorse the application for the practising certificate.
Scenario 5
The uncertificated manager of an organisation takes responsibility for the appraisal of the fully certificated professional leaders (PSMs etc) working with centre leaders across multiple education and care and kindergarten sites. As s/he does not have a practising certificate a ‘buddy’ system is set up within the organisation whereby professional leaders appraise each other and bring their understanding of the Standards for the Teaching Profession and their depth of knowledge and skills applied to practice on behalf of the profession. They know and discuss each other’s goals, observe each otherin practice and engage in a conversations with the Manager informing the annual summary report statement that the professional leader has met the Standards for the Teaching Profession. In this scenario both the Manager and the teaching colleague ‘buddy’ endorse the application for the practising certificate.
Audit and Moderation by the Education Review Office
- Under contract to the Education Council, the ERO reviewers are auditing the process and use of evidence behind the endorsement for the renewal of Practising Certificates.
- Likely to meet with or see evidence for those teachers who have been endorsed with a Practising Certificate in the previous 12-month period, nationally.
- Auditing every Practising Certificateendorsed in a school/centre within the last 12 months when ERO visits.
Your Understanding of Effective Appraisal
When you are reviewing or developing your appraisal system, determining what matters for appraisal to be effective in your setting is an important step. However, in doing this task it is essential to keep in mind who benefits. If the benefits are not clear to you or aligned with your strategic direction, you will reconsider practices that may be in place and may no longer be valuable to you, your children, colleagues, whānau and community.
Set up the table below, work on it in small groups or alone, then share out. An example of what it could look like is included on our website.
What are the characteristics of effective appraisal? / Who gains the benefits?What my/our next steps will be:
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Appraisal Conceptual Framework/He KeteWhakatipuNgaioTangata (webinar on website)
JD/ Standards for the Teaching Professionin Performance Management
Linking Our Standards and Practising Teacher Criteria
Standards for the Teaching Profession (Our Standards) / Elaboration of Standards / Practising Teacher Criteria (PTC)Demonstrate commitment to tangatawhenuatanga and Tiriti o Waitangi partnership in Aotearoa New Zealand. / Understand and recognise of the unique status of tangata whenua in Aotearoa New Zealand.
Understand and acknowledge the histories, heritages, languages and cultures of partners to Te Tiriti o Waitangi.
Practise and develop the use of te reo and tikanga Māori. / •Bicultural partnership
•Assessment
Use inquiry, collaborative problem-solving and professional learning to improve professional capability to impact on the learning and achievement of all learners. / Inquire into and reflect on the effectiveness of practice in an ongoing way, using evidence from a range of sources.
Critically examine how my own assumptions and beliefs, including cultural beliefs, impact on practice and the achievement of learners with different abilities and needs, backgrounds, genders, identities, languages and cultures.
Engage in professional learning and adaptively apply this learning in practice.
Be informed by research and innovations related to: content disciplines; pedagogy; teaching for diverse learners including learners with disabilities and learning support needs; and wider education matters.
Seek and respond to feedback from learners, colleagues and other education professionals, and engage in collaborative problem-solving and learning-focused collegial discussions. / •Professional learning
•Leadership
•Assessment
Establish and maintain professional relationships and behaviours focused on the learning and wellbeing of each learner. / Engage in reciprocal, collaborative learning-focused relationships with:
- learners, family and whānau
- teaching colleagues, support staff and other professionals
- agencies, groups and individuals in the community.
Actively contribute, and work collegially, in the pursuit of improving my own and organisational practice, showing leadership, particularly in areas of responsibility.
Communicate clear and accurate assessment for learning and achievement information. / •Professional relationships
•Well-being
•Bicultural relationships
•How ākonga learn
•Diversity
Develop a culture that is focused on learning, and is characterised by respect, inclusion, empathy, collaboration and safety. / Develop learning-focused relationships with learners, enabling them to be active participants in the process of learning, sharing ownership and responsibility for learning.
Foster trust, respect and cooperation with and among learners so that they experience an environment in which it is safe to take risks.
Demonstrate high expectations for the learning outcomes of all learners, including for those learners with disabilities or learning support needs.
Manage the learning setting to ensure access to learning for all and to maximise learners’ physical, social, cultural and emotional safety.
Create an environment where learners can be confident in their identities, languages, cultures and abilities.
Develop an environment where the diversity and uniqueness of all learners is accepted and valued.
Meet relevant regulatory, statutory and professional requirements. / •Well being
•Inclusive environment
•Diversity
Design learning based on curriculum and pedagogical knowledge, assessment information and an understanding of each learner’s strengths, interests, needs, identities, languages and cultures. / Select teaching approaches, resources, and learning and assessment activities based on a
thorough knowledge of curriculum content, pedagogy, progressions in learning and the
learners.
Gather, analyse and use appropriate assessment information, identifying progress and needs of learners to design clear next steps in learning and to identify additional supports or adaptations that may be required.
Design and plan culturally responsive, evidence-based approaches which reflect the local community and Te Tiriti o Waitangi partnership in New Zealand.
Harness the rich capital that learners bring by providing culturally responsive and engaging contexts for learners.
Design learning that is informed by national policies and priorities. / •Learning programme
• How ākonga learn
•Diversity
•Bicultural practice
•Assessment
•Critical inquiry
Teach and respond to learners in a knowledgeable and adaptive way to progress their learning at an appropriate depth and pace. / Teach in ways that ensure all learners are making sufficient progress, monitor the extent and pace of learning, focusing on equity and excellence for all.
Specifically support the educational aspirations for Māori learners, taking shared responsibility for these learners to achieve educational success as Māori.
Use an increasing repertoire of teaching strategies, approaches, learning activities, technologies and assessment for learning strategies and modify these in response to the needs of individuals and groups of learners.
Provide opportunities and support for learners to engage with, practise and apply learning to different contexts and make connections with prior learning.
Teach in ways which enable learners to learn from one another, to collaborate, to self-regulate, and to develop agency over their learning.
Ensure learners receive ongoing feedback and assessment information and support them to use this information to guide further learning. / •Professional learning
•Learning programme
•How ākonga learn
•Assessment
•Critical inquiry
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TātaiakoCultural Competencies
Wānanga: participating with learners and communities in robust dialogue for the benefit of Māori learners’ achievement.