HomeMy WebLinkAboutPR 603 HR - Performance Appraisal And Supervision For Professional Growth Of Principals & Vice-Principals
-1- PR.603.HR
PROCEDURE PR.603.HR
TITLE: PERFORMANCE APPRAISAL AND SUPERVISION FOR
PROFESSIONAL GROWTH OF PRINCIPALS/VICE-PRINCIPALS
Date issued: November 1999
Last revised:
Authorization: Senior Staff: 22 September 1999
1.0 OBJECTIVE
To outline the process to be followed for the performance appraisal and supervision for
professional growth of principals and vice-principals.
2.0 DEFINITIONS
In this procedure,
2.1 Supervision for professional growth for principals and vice-principals is a developmental
process directed toward improved performance and job satisfaction. The process is
multi-faceted, incorporating self -evaluation, professional growth planning, goal setting
and data collection. This performance-based appraisal process provides for a
comprehensive written record assessing the performance of the principal/vice -principal.
2.2 The performance appraisal evaluates and recognizes the quality of the principal's/vice -
principal's performance relative to the following nine criteria:
a) advocacy for learners;
b) school leadership;
c) supervision of program;
d) supervision of staff;
e) planning, organization and management;
f) planning, organization and management;
g) community relations;
h) system leadership; and
i) professional growth and development
-2- PR.603.HR
Note 1: For each of these criteria there are indicators that demonstrate the
characteristics of the criteria. These indicators are found in the OCDSB document
Supervision for Professional Growth for Principals and Vice Principals.
2.3 In addition to the outcomes listed in 2.1 above, the performance appraisal is also a
mechanism to identify principals/vice-principals who do not meet OCDSB performance
requirements as defined in the Supervision for Professional Growth for Principals and
Vice Principals document.
3.0 PROCEDURE
3.1 The OCDSB document Supervision for Professional Growth for Principals and Vice
Principals details the process for completing the performance appraisal for principals
and vice-principals. A Supervision for Growth Performance Appraisal Form will be
completed by the appropriate supervisory officer (for principals) or by the principal (for
vice-principals) using OCDSB Form 707: Principal Appraisal Record or OCDSB 708:
Vice-Principal Appraisal Record.
3.2 Performance appraisals of all principals and vice-principals will be completed using this
process as follows:
a) every three calendar years;
b) every three calendar years;
c) not normally in the year following a transfer of a principal/vice-
principal/superintendent unless the status is "Repeat Performance Appraisal" or
“Under Review”.
3.3 In the instance where a principal/vice-principal is deemed not to meet performance
requirements and is placed 'under review', the procedures outlined in sections 3.4 to
3.16 below will apply.
Responsibility
3.4 Principal Appraisals: The primary responsibility for the appraisal process for principals
under review rests with the superintendent. The superintendent should consult with the
Superintendent of School Operations throughout the process. The Superintenden t of
School Operations may be called upon for independent corroboration of the
superintendent’s assessment of the situation. The superintendent should also keep the
Director of Education and the Superintendent of Human Resources apprised of the
situation, and consult with the latter as required.
3.5 Vice-Principal Appraisals: The primary responsibility for the appraisal process for vice-
principals rests with the principal. The principal should consult with the superintendent
throughout the process. The superintendent may be called upon for independent
corroboration of the principal’s assessment of the situation. The superintendent should
also keep the Director of Education and the Superintendent of Human Resources
apprised of the situation, and consult with the latter as required.
General
3.6 The 'under review ' process for principals will be the same process outlined for vice-
principals herein, with necessary modifications pertaining to the involvement of the
superintendent as the direct supervisor of the principal. The appropriate superintendent
-3- PR.603.HR
will assume direct responsibility for implementing the process, with the Superintendent
of School Operations fulfilling the role otherwise filled by the superintendent.
3.7 The 'under review ' process for principals will be the same process outlined for vice-
principals herein, with necessary modifications pertaining to the involvement of the
superintendent as the direct supervisor of the principal. The appropriate superintendent
will assume direct responsibility for implementing the process, with the Superintendent
of School Operations fulfilling the role otherwise filled by the superintendent.
a) Superintendents who have concerns about a probationary vice -principal's
performance should proceed directly to the “under review” process;
b) Timelines may need to be shortened and the number of letters of concern may
need to be reduced.
Procedural Steps
3.8 When a principal has determined that a vice-principal’s performance has not met
OCDSB performance standards, the principal, in consultation with the superintendent,
places the vice-principal 'under review'. This determination may arise as part of the
appraisal process or as the result of an immediate concern regarding professional
practice. The following steps are then undertaken:
Step 1
A meeting will be arranged with the principal and the vice -principal for the purpose of
advising the vice-principal of the decision and discussing the identified performance
concerns. The vice-principal should be provided with a copy of the 'under review'
process and provided with an opportunity to ask questions about it and to respond to
the concerns raised.
Step 2
Following the meeting the principal will prepare a written summary to be reviewed with
the vice-principal, and signed as having been read by the vice-principal. The summary
should include the areas of concern raised, the vice-principal’s comments or reactions,
and the decision to place the vice-principal under review. Copies of the summary
should be provided to the vice-principal, the Superintendent of Schools and the
Superintendent of Human Resources (for inclusion in the personnel file).
Step 3
The principal will write Letter of Concern (I) (identified as such a the top of the letter) to
the vice-principal. This letter will include:
a) specific identification of the areas of unsatisfactory performance;
b) specific identification of the areas of unsatisfactory performance;
c) suggested resources and support services available to the vice -principal to assist
in improving performance;
d) a reasonable time period (normally four (4) to six (6) weeks, depending on the
nature and seriousness of the concerns) for the vice-principal to show sufficient
improvement; and
e) a statement of possible consequences for failing to improve.
-4- PR.603.HR
Step 4
The principal will provide the vice-principal with the original letter and ask the vice-
principal (or a witness in the event that the vice-principal refuses) to sign a copy
acknowledging receipt. Copies of the Letter of Concern (I) should be forwarded to the
Superintendent of Schools and the Superintendent of Human Resources (for inclusion
in the vice-principal's personnel file).
Step 5
Based on the timelines established in the Letter of Concern (I) the principal will gather
data in consultation with the vice-principal to determine whether sufficient improvement
has taken place. The principal may consult with other staff, as appropriate, including
the Superintendent of Schools and the Superintendent of Human Resources.
Step 6
If, in the principal’s opinion:
a) sufficient and sustained improvement has taken place, the principal will so advise
the vice-principal in writing. The letter should contain an appropriate expression
of satisfaction as well as an indication of the importance of maintaining a fully
satisfactory level of performance. Copies of this letter of improvement will be
distributed in like manner to the Letter of Concern;
b) some (but insufficient) improvement has taken place, the principal may wish to
provide the vice-principal with additional time and support/assistance to continue
to show improvement. If sufficient improvement does result, the principal should
follow up in writing as provided in Step 6 a) above. If insufficient improvement
results, the principal should proceed to the next phase in the 'under review'
process as set out in Step 6 c) below;
c) insufficient improvement has taken place, the principal will convene a meeting of
the principal and the vice-principal to advise the vice-principal of the decision to
issue another Letter of Concern (II). The meeting will also serve to discuss
specific ongoing concerns with the vice-principal’s performance, the absence of
improvement, the need for immediate improvement, the possible consequences
of failing to improve and the supports/assistance that have been, and will
continue to be, provided.
Step 7
Following the meeting outlined in Step 6 c) above, the principal will proceed to write the
Letter of Concern (II). In addition to those points set out in Step 3 a) through e), Letter of
Concern (II) (which will be identified as such at the top of the letter) will include
reference to:
a) Letter of Concern (I);
b) the steps that have been taken to date to assist/support the vice -principal’s
improvement; and
c) the lack of sufficient improvement in the time provided.
Step 8
Based on the timelines established in the Letter of Concern (II) the principal will gather
data in consultation with the vice-principal to determine whether sufficient improvement
has taken place. If, in the principal's opinion , the vice-principal’s performance shows
-5- PR.603.HR
insufficient improvement, the principal will inform the Superintendent of Schools of this
in writing, with a copy to the vice-principal, requesting that the Superintendent of
Schools conduct an independent assessment.
Step 9
The Superintendent of Schools will, within a reasonable period of time, (normally within
four weeks) arrange to conduct an independent assessment of the vice -principal’s
performance. Copies of the assessment will be distributed in like manner to the Letters
of Concern
Step 10
If, in the Superintendent of Schools' opinion,
a) there has been sufficient improvement in the vice-principal's performance, the
assessment will contain an appropriate expression of satisfaction as well as an
indication of the importance of maintaining a fully satisf actory level of
performance. Copies of this letter of improvement will be copied to the principal
and the Superintendent of Human Resources (for inclusion on the principal’s
personnel file);
b) there has not been sufficient improvement, the assessment will c ontain a
recommendation that the 'under review' status remain and that on-going
evaluation of performance continue. A meeting will be convened with the vice -
principal, the principal and the Superintendent of Schools to discuss the specific
ongoing performance concerns, the absence of improvement, the need for
immediate improvement, the possible consequences of failing to improve, and
the supports/assistance that have been and will continue to be provided.
Step 11
Following the meeting the principal will prepare a written summary to be reviewed with
and signed by the vice-principal as having been read by him/her as an accurate
reflection of what was discussed at the meeting. The summary will include the areas of
concern raised, the vice-principal’s comments or reactions, and plans (including
timelines) for addressing the concerns. Copies of the summary must be provided to the
vice-principal, the Superintendent of Schools and the Superintendent of Human
Resources (for inclusion in the personnel file).
Step 12
Based on the timelines established in the written summary, the principal will gather data
in consultation with the vice-principal to determine with whether sufficient improvement
has taken place.
Step 13
If there has been insufficient improvement in the vice-principal's performance, the
principal will consult with the Superintendent of Schools, the Superintendent of Human
Resources and other appropriate staff as required to determine the appropriate course
of action, which may include:
a) extending the timeline for required improvement;
b) issuing Letter of Concern (III);
c) recommending demotion (see 3.3.4 below);
-6- PR.603.HR
d) recommending dismissal for cause. (see 3.3.5 below).
Step 14
A meeting will be arranged with the vice-principal, the principal, the Superintendent of
Schools and the Superintendent of Human Resources to inform the vice-principal of the
principal's recommended course of action under Step 13 and the Superintendent of
Schools’ concurrence. The vice-principal will be given the opportunity to comment and
respond.
Step 15
Following the meeting, the principal will confirm the recommendation in writing with
copies to the vice-principal and the Superintendent of Human Resources (for inclusion
in the vice-principal’s personnel file).
Note 2: The principal will prepare a written summary of every meeting, review it with the
vice-principal and have the vice-principal sign the summary letter as acknowledgment
that it has been read. The letters should also make reference to the stage reached in
the review process.
Note 3: All written communication with the vice-principal emanating from these
procedures will be marked CONFIDENTIAL, with a copy to the appropriate
superintendent and the Superintendent of Human Resources.
Note 4: The timelines provided are intended as guides only and may be extended or
abbreviated subject to the particular circumstances, giving consideration to the nature of
the specific concerns, the vice-principal's experience and any extenuating
circumstances that may be contributing to the vice-principal’s difficulties.
Recommendation for Demotion for Unsatisfactory Performance
3.9 Where the principal concludes that the vice-principal, having received Letters of
Concern, and various opportunities for assistance, appears to be unwilling or unable to
perform the assigned duties of vice-principal, the principal may recommend to the
superintendent that the vice-principal be demoted to a teaching position. This decision
should be taken only after all previous warnings and attempts to assist the vice-principal
have failed to produce the required improvement.
3.10 The Superintendent of Schools, having received a recommendation that a vice-principal
be demoted, will convene a meeting with the Superintendent of Human Resources, the
Superintendent of School Operations, and other staff as required, to discuss the
recommendation and formulate a decision.
3.11 The Superintendent of Human Resources will notify the staff member in writing of the
final decision with respect to the principal’s recommendation for demotion.
3.12 A demotion of a vice-principal may be implemented for a specific duration with or
without conditions being imposed. The conditions may include, for example taking
courses in a particular area(s).
Recommendation for Dismissal for Unsatisfactory Performance
3.13 Where the principal concludes that the vice-principal, having received Letters of
Concern and various opportunities for assistance, appears to be unwilling or unable to
continue in his/her employment with the Board in any capacity, the principal may
-7- PR.603.HR
recommend to the Superintendent of Schools that the vice-principal be dismissed. This
decision should only be taken after all previous warnings and attempts to assist the
vice-principal have failed to produce the required improvement and there are indications
that a demotion will not assist the situation.
3.14 The Superintendent of Schools, having received a recommendation that a vice-principal
be dismissed, will convene a meeting with the Superintendent of Human Resources, the
Superintendent of School Operations, and other staff as required to discuss the
recommendation and formulate a decision.
3.15 The Superintendent of Human Resources will present the recommendation to the
Board, including: notifying the vice-principal in writing of the proposed course of action
and setting out the reasons therefore; and advising the vice-principal that he/she has
the right to appear and make representations before the Board and/or to make written
submissions regarding the recommendation for dismissal.
3.16 The Superintendent of Human Resources will advise the vice-principal, the principal and
the Superintendent of Schools of the Board’s decision.
4.0 REFERENCE DOCUMENTS
OCDSB Supervision for Professional Growth for Principals and Vice Principals, 1999
Board Policy P.082.HR: Selection, Training, Placement and Appraisal of Staff for the Positions
of Principal and Vice-Principal