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Appraisal and Capability Policy

Introduction

Appraisal arrangements are set out in the Education (School Teachers’ Appraisal) (England) Regulations 2012 (the Appraisal Regulations).

The Appraisal Regulations set out the principles that apply to teachers in all maintained schools and centrally employed (or unattached) teachers employed by a local authority, in each case where they are employed for one term or more.  

Schools and local authorities must stay within the legal framework set out in the Appraisal Regulations and all schools (including academies) must adhere to any other relevant legislation that affects all employers (for example legislation on equality, employment protection and data protection).

Schools and local authorities must have an appraisal policy for teachers and a policy, covering all staff, which deals with capability. This model policy, updated in spring 2019, has been provided as an optional resource for schools and others to which they can refer as they wish as they review and develop their own policies. It applies only to teachers, including headteachers, but schools might wish to adapt it for use with all staff. It has been written in the context of schools, but the same principles apply to centrally employed (or unattached) teachers. It is good practice for schools to consult staff on their appraisal and capability policies.

The model policy is in two separate sections. Part A covers appraisal and should be used as a reference point by schools and others as they review their policies to reflect the Appraisal Regulations.

Part B of the policy sets out the formal capability procedure and reflects the ACAS Code of Practice on disciplinary and grievance procedures. Capability procedures apply only to teachers and headteachers about whose performance there are serious concerns that the appraisal process has been unable to address.

The appraisal and capability process must be managed in a way that minimises increased workload for all parties concerned. This can be achieved by reviewing the number and frequency of meetings and observations, and ensuring that the process for collecting evidence remains proportionate.

For this model policy, the term’ governance board’ should be considered to include reference to governing bodies.

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