Appraisal of school leaders

Effective leadership is vital to the success of a school. In this context school leadership appraisal processes can be a constructive way of identifying school leaders’ strengths and areas for development. They can be a useful tool for identifying areas for individual improvement, to shape ongoing professional development as well as the improvement of the school. Effective appraisal underlines a culture of on-going learning and continuous improvement through a school organisation. It sees and fuels performance.

On this page we ask 'why appraise?', ‘what should you appraise?’ and 'how should you appraise so that the process enhances the appraisees' and the schools' learning?'.

The page also provides a tool to help you carry out a 360-degree assessment of school leaders based on the seven leadership intelligences described by the IB.

What makes appraisal effective?

Appraisal can serve a number of functions.It can have a number of personal and performance management functions (selection, retention and termination). It can also play a key role in the formative process of identifying, growing and developing leaders (professional learning functions). It is important to be clear from the outset which functions you are intending to use the appraisal process for.

In ‘Assessing the effectiveness of school leaders: new directions and new processes (March 2009) the Wallace Foundation underlines the importance of assessing what matters most. When defining 'what matters most' they draw attention to the well-established research which promotes the school leader as leading the learning work in the school community.

Thought piece

Access‘Assessing the effectiveness of school leaders: new directions and new processes (March 2009) by the Wallace Foundation.

Use the Think Piece protocol to reflect on the purpose of appraisal for school leaders and to assess the effectiveness of the appraisal system you have in your own school.

As you read the thought piece consider:

  • The benefits of leadership appraisal
  • Characteristics of effective appraisal systems
  • The positives and negatives of 360-degree appraisals

Appraisal processes measure performance often on standards for school leaders. Many countries and states have standards for school leaders, and these can be useful starting points for considering what you wish to appraise. You may like to consider the following selection:

  • USA: Professional Standards for Educational Leaders: National Policy Board for Educational Administration (October 2015). Click here to access them.
  • UK: National Standards of excellence for Headteachers (January 2015), DfE, UK. Click here to access them.
  • New Zealand: Professional Standards for Primary Principals. Click here to access them; and Professional Standards for Secondary Principals; Click here to access them.

Reflect

The following questions can be used in groups to reflect on your current appraisal process.

    • How do you appraise staff? Do you follow a traditional model in which you have an annual process with targets established at the beginning of the academic year, which are reviewed during the year and appraised against performance at the end of the year? Or is your process more organic and on-going emphasizing frequent, informal feedback, coaching and mentoring?
    • What is your appraisal process aiming to achieve? Is it aimed at holding people accountable for past behaviour or is it about developing people, improving current performance and nurturing talent for the future? To what extent does your appraisal process improve individual performance and developing skills for future roles?
    • What do participants feel about your appraisal process? What do they think are the aims? Do they look forward to their appraisal review or is it a bureaucratic chore to be endured? Do they feel that the process helps them continually improve their performance? What do you think they would say are the strengths and weaknesses of your current appraisal process?
    • How effective is your appraisal system? Judged by whom? What does it achieve? How has your school changed as a result? To what extent does your appraisal process let people know how they are doing? How effective is it in identifying ways to improve performance?
    • Is your appraisal process relevant to modern working practices and needs? Traditional appraisal processes have focused on the individual at fixed moment in time. However, today peoples' jobs are often complex and diverse.Jobs have also become more complex and rapidly change shape. Is it any longer practical to set annual goals which will continue to be meaningful 12 months later? Furthermore, at a time when we encourage teamwork and high degrees of collaboration how relevant is it to appraise individual contributions?

    Top Tips for Effective Appraisal

    From the outset it is worth sign posting a warning note from research. Researchers from Vanderbilt University have concluded: “there is little consensus in the field around what should be assessed;” and further, “…the content of leadership assessment is ‘a mile wide and an inch deep’; many aspects of leadership are assessed, but almost nothing is assessed in depth.”[1]

    The Wallace Foundation document identifies the following traits of successful appraisal processes:

    • It is fair and reliable. Appraisal should reach similar conclusions if two or more similar leaders are appraised in similar conditions. This makes the process consistent.
    • It is part of a process of continual professional development – evaluation needs to be clearly linked to professional development and mentoring opportunities. It should identify and acknowledge strengths and aim to improve performance.
    • It measures what it is intended to measure. It is tied to accepted leadership standards, and especially focuses on the leaders’ impact on the learning of the school community. The school should have a conceptual understanding of how leaders improve student and staff learning.
    • It supports whole school goals. Is what you are appraising (assessing / measuring) clearly related to the desired learning outcomes of the school? How, for example, does an individual leader develop the (instructional) leadership capacity of others? Appraisal should promote necessary school change rather than reinforce the status quo. It is all about continual school improvement.
    • It is relevant: the appraisal should be relevant to the most important challenges facing the school. It should also acknowledge the context of the school and the leadership challenges the school is facing.
    • It is evidence based. The data base should include but not be limited to academic test scores. It should focus on behaviours and actions, rather than knowledge and (personality) traits. Measuring personal characteristics by, for example, popularity, level of parental complaints may distract appraisal from a core purpose of how leadership is impacting learning.
    • It provides actionable feedback on that which matters most – this allows leaders to professionally grow and address weaknesses.
    • It should be flexible enough to take different contexts and career stages into account.

    Key questions to ask

    Two questions are central to appraisal - understand both as a form of accountability and also of professional development. They are:

    • What am I doing that I should keep doing?
    • What am I doing that I should change?
     

    Note!

    The global consultancy firm, Deloitte's, have recently reviewed their own appraisal / performance management system. A summary of their work can be read in the article In Reinventing Performance Rankings: A radical new way to evaluate talent, Harvard Business Review (April 2015, pp.40-50). You can access it by clicking here.

    It draws attention to weaknesses in performance management systems which ask for an employee to be rated by others. Their study revealed that 62% of the variance in the ratings could be accounted for by individual raters’ peculiarities of perception. This led the researchers to conclude (in How People Evaluate Others in Organizations, edited by Manuel London): “Although it is implicitly assumed that the ratings measure the performance of the ratee, most of what is being measured by the ratings is the unique rating tendencies of the rater. Thus ratings reveal more about the rater than they do about the ratee.”

    Their solution was to focus on asking the employees immediate boss the specific questions about what they they would do with their employee - thus focusing not on past but on future performance in order to fuel and improve it.

    As Deloitte's say: "We have three interlocking rituals to support them—the annual compensation decision, the quarterly or per-project performance snapshot, and the weekly check-in. And we’ve shifted from a batched focus on the past to a continual focus on the future, through regular evaluations and frequent check-ins."

    A template for appraising IB school leaders

    On this page we have taken the seven IB Leadership Intelligences as our benchmark for establishing leadership standards against which a school leaders' performance can be assessed.

    Appraisal Tool: 360 Degree Feedback

    The idea of appraising a leaders performance from multiple perspectives is an accepted way of working in the business world and other fields. It is less common in the educational world. However, such a tool can be very valuable for seeking instructive feedback from other leaders and teachers, as well as school governors or superintendants.

    This 360 degree feedback enables the Appraisee to get feedback from a variety of people they have either worked with or for. This helps the Appraiser gain feedback on what the individual has done well and provides guidance on improvements and development areas.

    The Appraiser and Appraisee should agree who the forms should be sent to (typically one from a colleague or peer and one from a direct report). I would recommend that a wider range of feedback is sought from a maximum of four people, which can include a range of stakeholders in the school community (governors, students, parents, staff, administrative staff, educational partners).

    It is the responsibility of the Appraisee to distribute the forms (at least two weeks before the PPA date) and to ensure that they are returned to the Appraiser at least one week before the meeting takes place. The Appraiser will then share the feedback during the PPA discussion.

    Strategic Leadership:

    This is the leadership intelligence required to "respond appropriately to the present, creating the future and anticipating the consequences" (MacGilcrest).

    Strategic thinking involves collaboratively establishing and creating alignment to a shared vision, recognizing emerging trends, developing school strategy and effectively managing change within the school. The IB Standards and Practices talk about the leaders' role in aligning school mission and philosophy with that of the IB and ensuring 'buy in' from the whole school community.

    As you consider their strategic leadership abilities ask yourself the following  - ‘to what extent does the school leader’:

    • Regularly articulate and promote a vision for the school’s future in collaboration with the school community?
    • Develop and articulate shared school values?
    • Engage in collaborative strategic planning and programme implementation activities
    • Build alliances and partnerships in and outside the school?
    • Make decisions which reflect deep understanding of issues and how they relate to students, staff and parents?
    • Manage resources to respond to changing needs and improve whole school outcomes?

    Cultural Intelligence:

    Cultural intelligence is required to navigate the complex cultural terrain of IB World Schools.

    IB leaders are continually interacting with people and ideas from different cultural traditions. In many cases this is because they are working with a large number of cultures in their student and staff body, be it in national or international schools. IB leaders are also responsible for leading on IB programmes which have international mindedness at their heart.

    The IB's stated aim is to "promote intercultural understanding and respect ... as an essential part of life in the 21st century" (IBO 2015). It is the role of the IB leader to harness the human potential within the diverse school communities and create a shared culture that not only respects and celebrates cultural diversity but also sees it as essential for intercultural learning.

    As you consider the quality of the leaders’ cultural leaders ask yourself the following questions. To what extent does the school leader:

    • Demonstrate a commitment to international mindedness, promote intercultural understanding and respect?
    • Understand cultural expectations of themselves as leaders and others within their community, and demonstrate flexibility in meeting those expectations?
    • Understand differing cultural expectations of teaching, learning and education?
    • Balance diverse cultural expectations in the service of achieving the school vision?

    Pedagogical Leadership:

    Pedagogical intelligence is required to lead an effective teaching and learning community. IB Standards and Practices are clear that IB leaders are "expected to demonstrate pedagogical leadership aligned with the philosophy of the programmes."

    IB leaders recognize the impact of a pedagogical style of leadership on student outcomes. They are responsible for developing a school culture that fosters and values professional learning. They acknowledge that the IB has a constructivist view of knowledge, i.e. schools as places where knowledge and meaning is constructed. They show a commitment to professional inquiry, collaborative learning practices and research. Thomas Sergiovanni speaks of the role of the leading in “developing the social and academic capital for students, and intellectual and professional capital for teachers.”

    As you consider their pedagogical leadership ask yourself the extent to which the school leader:

    • Leads, facilitates and promotes a collaborative professional culture in the faculty?
    • Leads the learning and development of teachers whilst learning alongside them about what works and what doesn't?
    • Have expert knowledge about contemporary teaching and learning practices? Understand and interpret the IB programme's curriculum and the IB approaches to teaching and learning?
    • Ensure professional development is linked to improved teacher performance and student outcomes?
    • Have formal review and renew policies and practices to inform educational decisions?
    • Hold teachers to account by articulating SMART goals and motivate them to achieve them?
    • Understand and use research and high quality data for school improvement?

    Relational Leadership:

    Relational intelligence is required to create a collaborative culture and a cohesive school community focused on achieving agreed shared goals.

    IB World Schools can often be complex and richly diverse communities. The challenge for IB leaders is to understand all stakeholder expectations (both internal and external) and support all to work together to achieve better outcomes for students. They demonstrate contextual sensitivity to others. The IB Learner Profile draws attention to three attributes which are very clearly associated with relational intelligence: communicators, principled and caring.

    As you consider the school leaders’relational leadership ask yourself - to what extent does the school leader:

    • Focus on cultivating trusting, respectful and collaborative relationships across the whole school?
    • Ensure systems and resources are adequate to nurture collaboration and that people feel they can take creative risks?
    • Demonstrate the ability to engage with people who hold different (cultural) values, show empathy for them and their perspectives?
    • Promote and build the leadership capacity of others, developing future leaders through coaching, mentoring and succession planning?
    • Model, promote and develop positive, respectful relationships within the school and wider community?

    Entrepreneurial Leadership:

    Entrepreneurial intelligence is required to lead the school in creative ways through the inevitable changes that schools experience. IB leaders who exhibit this intelligence demonstrate a commitment to active, creative and discovery-driven engagement. They promote, and evaluate new ideas and practices, take intellectual risks and support others in these endeavours. They expect change and respond in creative ways.

    One of the IB Learner Profile attributes is 'risk-taking' which is described as approaching "uncertainty with forethought and determination ... to explore new ideas and innovative strategies ... (being) resourceful and resilient in the face of challenges and change."

    To what extent does the school leader:

    • Creatively generate new ideas, redefine problems and act persuasively to get people alongside these new ideas?
    • Analytically redefine and formulate problems to find new solutions, and use resources effectively to solve problems?
    • Demonstrate that they are open to new opportunities as they arise?
    • Look to balance new ideas and practices and the school community's capacity to implement them?

    Reflective Leadership:

    IB leaders embody the IB Learner Profile and work to put critical reflection at the core of professional activity. The ability to reflect is a key attribute of that profile: "they work to understand their strengths and weaknesses in order to support their learning". Reflective intelligence is essential to solving problems in complex and changing environments. Reflective intelligence also includes the ability to be reflexive, i.e. the ability to question one's own way of doing things with the potential of changing practice.

    To what extent does the school leader:

    • Continually reflect on their leadership style and the impact their leadership is having on others?
    • Inquire into leadership practice, engage in professional learning activities, reflect on their own leadership practice and carry out action research?
    • Listen to others and gather information so as to help solve problems?
    • Ensure congruence between leadership stance and actions?
    • Continually assess the impact their leadership is having on student outcomes, using data to inform themselves?
    • Critically analyze their own leadership practice, critique their own performance and model an attitude to lifelong professional learning?
    • Question assumptions to find creative ways forward?

    Heuristic leadership:

    Heuristic intelligence is concerned with the ability to make decisions in complex situations. Leaders use it when making crucial judgments. Underpinning heuristic intelligence is the need to make decisions and rapid judgments with the big picture in mind.

    IB leaders do not always have the time or luxury to carry out deep reflection and analysis of a situation before they make decisions. An example of when they may have to use heuristic intelligence is in the recruitment of teachers when the decision is sometimes based on a judgment call.

    As you consider the school leaders’ heuristic leadership ask yourself - to what extent does the school leader:

    • Make timely and considered decisions, drawing on past experiences to ensure that the right action is taken at the right time?
    • Understand multiple perspectives of complex issues and align decision-making and priorities with vision and mission?
    • Analyze and evaluate alternative potential outcomes?
    • Take time to pause, reflect and consult with stakeholders before making decisions?
    • Maintain integrity in the face of disparate voices and significant pressure?
     

     

      Dig deeper

      A useful article providing contextual background on the appraisal process and how it has developed over the last 100 years is The Performance Management Revolution, Peter Cappelli, Harvard Business Review (October 2016). Click here to access it. The article provides reasons why many global corporations are dropping annual appraisals in favour of on-going processes which allow people to solve problems in current performance while also developing skills for the future.In the words of one Deloitte manager: “The conversations are more holistic. They’re about goals and strengths, not just about past performance.” Deloitte's have also found that its new model of frequent, informal check-ins has led to more meaningful discussions, deeper insights, and greater employee satisfaction.

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