Improving performance through critical conversations

OUTSTANDING PERFORMANCE SERIES

Improving performance through critical conversations

By Peter Rushton and Pauline Morris

AMiE is ATL’s section for leaders in education

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AMiE is ATL’s section for leaders in education. We champion our members, influence education policy and provide bespoke expertise. We help members achieve their potential with our career development programme, while our information resources help them to understand how the latest issues impact on their working lives. Our team of legal experts is available to provide confidential advice, guidance and support for members in times of need.

If you are interested in joining an organisation that represents the majority of leaders and managers in FE, visit our website at www.amie.atl.org.uk/join.

There are plenty of good reasons to join, as well as the support, advice and wide selection of publications and CPD – all free or at a reduced rate to members – AMiE also provides up-to-date news and views, discounts and offers on an array of products and services, and a first class website for instant access to a range of advice on workplace issues.

Contents Foreword

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1 Introduction

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2 Types of conversation

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3 How to manage conversations effectively

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4 Key skills for critical conversations

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5 Conversations about performance

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6 Performance management (or appraisal)

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7 Conversations about behaviour

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8 Conversations with the boss

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9 Conversations with stakeholders

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10 Conflict resolution and mediation

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11 Formal conversations about performance

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12 Conclusions

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13 References

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Appendix 1. Advice on case studies

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Appendix 2. More questions from Ofsted

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Appendix 3. Additional advice for performance-related pay

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Appendix 4. The stages of a capability process

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Foreword Embracing the need to engage in a critical, perhaps challenging, conversation is one of the key skills of good leadership and management and not something to shy away from however great the temptation. All too often it is false economy to ‘let things go’, not least when the workload is demanding.

At times like this the courage to, for example, sensitively help draw staff out of an unhelpful pattern can pay rich dividends in terms of team morale and performance. Avoiding uncomfortable issues is usually only an investment in trouble down the line and too often an underlying cause of performance dips and employment relations difficulties, which help no one.

The axiomatic mantra that leadership is about ‘doing the right thing’ needs to remain foremost in our minds at a time when the education system is compromised by unrealistic burdens and pressures. Leaders and managers need to maintain a thorough grasp of their own moral compass and continue to do the right thing in the face of, at times, tremendous pressure to introduce unworkable policy or allow a culture where staff are not automatically treated with the respect they deserve. The demanding expectations that many staff face make it all the more important to handle critical conversations with sensitivity and skill, especially with those who need specific help in order to meet the performance challenge.

Being on top of the interpersonal dynamics within a team or wider organisation is often what can make leadership and management highly productive and also exhilarating at times. AMiE, ATL’s leadership section, is keen to help leaders and managers deliver good practice in this respect in the interests of both optimising performance and ensuring good employment relations. Holding a mature critical conversation can call upon the need for careful personal management, and, at times, a need to ‘dig deep’. This is made a whole lot easier and more convincing when rooted in a clear sense of moral purpose – it helps make unpalatable but necessary conversations both manageable and productive. We hope that the tips and techniques in this handbook enable you to feel more courageous to have these conversations with confidence.

Mark Wright National official (leadership and management), AMiE

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Improving performance through critical conversations

1. Introduction In the education sector where change is inevitable, an absolutely essential skill for all leaders and managers is communication and, in particular, the ability to manage critical conversations effectively.

This is sometimes described as one-to-one leadership.

Transformational change is most often a result of a variety of influential individual interactions. Only occasionally is it after ‘Churchillian’ type speeches and presentations.

This handbook is aimed at providing a practical and reflective guide for practitioners in this important area. Striving to ensure the best outcomes for students by getting the best out of colleagues is what Improving Performance Through Critical Conversations is all about. It will focus on working with colleagues and stakeholders and highlight the skills and attributes that are necessary – these are transferable when listening and talking to students.

An emphasis will be placed on the importance of successfully managing one-to-one conversations and outlining links with other leadership issues and priorities. It will stress the critical nature of coaching and mentoring skills and provide advice and guidance on how to develop them.

The approach will be to explore and examine the many types of conversations, through informal to formal, internal and external and will use ‘real’ scenarios to illustrate a wide variety of situations and incidents where one-to-one interactions are pivotal to the outcomes.

Have you ever thought about how many conversations you have during a working day and just how important they may be?

No single conversation is guaranteed to change a career or resolve a conflict, but any single conversation can.

Adapted from Susan Scott, Fierce Conversations (2011)

Introduction

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2. Types of conversation This handbook is about critical conversations. But in your workplace, the vast majority of conversations are important, if not actually critical.

First impressions Reflect on...

Your first meeting with a new manager.

Your first meeting with a new employee or colleague.

What did they say? “Hi.” “Hello.” “Good morning,” or “Who are you?”

How did they look? Relaxed, confident, formal or nervous?

How did this make you feel as the manager or the new employee?

How did this influence your working relationship with them initially and long term?

First impressions count and last and working relationships are based on these. Just one word (“Hi”) could create the climate.

“You never get a second chance to make a good first impression.”

Will Rogers

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Improving performance through critical conversations

Case study A new manager meets his team for the first time Scenario 1 He introduces himself as Dr Morgan, tells them he has a PhD in maths and that he expects them all to work very hard to achieve his aim of a Grade 1 in the next inspection.

Scenario 2 He introduces himself as Steve, and asks the team to introduce themselves to him. He says that he is really pleased to be appointed to this position, and he hopes that together they will make significant improvements to the department.

Which team do you think may perform the best? Why?

Positive and negative conversations Many critical conversations are seen to be focused on somewhat negative issues such as underperformance, poor results, student behaviour, staff behaviour/motivation, enrolment, attendance, retention figures and skill deficiency etc. These negative issues will all be considered later in this handbook.

However, the positive critical conversations cannot be ignored, as the impact on morale and motivation of both staff and the organisation is huge.

Positive conversations could include: • thanks for a job well done – eg displays, open evenings, fundraising • congratulations for achievements eg good verifier comments, improved results • personal congratulations eg birthday, anniversary, long service, MA achieved • recovery from illness or injury • advice for job interviews/promotion thereby highlighting strengths.

Can you think of anymore?

Performance management should include positive elements.

Types of conversation

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However, the comments should always be genuine, and may be informal and as frequent as appropriate.

Blanket praise should be avoided: “We have all done well,” means much less than individual thanks and praise.

Similarly, blanket criticism, eg “All results are terrible,” should not be used.

Reflect on...

Think about all the conversations you have as part of your role and identify more specific examples in the following categories:

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Type of conversation

With whom?

Informal

Colleagues in the staffroom

Formal

Interviews

Internal

Team meetings

External

Moderators

Stakeholders

Parents

Improving performance through critical conversations

All of these conversations will have to be handled differently, but all are critical to: • staff working relationships and efficiency • the boss/employee relationship • the climate of the team or school/college • student performance.

Factors that make conversations different: • everyone has a different personality • the issue and its level of seriousness • who initiated the conversation?

• when it takes place – time of day, week, term • where it takes place – staffroom, office, off site • varying emotional responses of participants – from “I don’t care” to “extremely upset.”

Reflect on...

Consider diagram 1 when having a conversation. Where are your colleagues today?

Diagram 1. The relationship between motivation and skills Motivation Highly motivated/ low skills

Highly motivated and skilled

eg new to role

eg a ‘star’ Skill

Low motivation and low skills eg wrong job for them

Highly skilled/ low motivation eg disengaged, disgruntled

Types of conversation

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Their place on this diagram may vary from day to day, and from week to week, for example: • they may be very skilled at one part of their role and not so skilled at another, eg a good teacher but poor with statistical data analysis • there may be external factors affecting their performance, eg illness at home • they may be new to a role and just developing these skills, eg new deputy head • they may have just missed out on a promotion.

It is the role of a leader or manager to move staff to the highly motivated and highly skilled box – and critical conversations will help you to do this!

Think about their reactions and prepare and anticipate them. Their reactions may be defensive, emotional and angry or they may be in denial etc.

What do you consider to be difficult conversations? Difficult conversations could include: • capability issues • conduct issues • complaints (students/staff/parents) • social problems • relaying life-changing messages eg redundancy • addressing conflicts between staff • feedback on poor lesson observation • uncomfortable media interest.

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Improving performance through critical conversations

Difficult issues – some initial thoughts. How might you rephrase these difficult issues for discussion?

Issue

Rephrase as

Your student results are poor and you have not met your targets Your persistent absence is now a disciplinary issue We are making you redundant You seem to have a problem with behaviour management Later in this handbook you will see more examples of types of questions you could use to handle these types of situations.

Key learning points: • Put conversations with colleagues at the top of your to-do list.

• Remember that informal conversations which lead to good working relationships can help a good leader to remove the need for more extreme critical conversations and to address them more effectively if they do happen.

Types of conversation

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3. How to manage conversations effectively One-to-one conversations The most effective way to get the best out of colleagues and resolve tricky or critical situations is via one-to-one conversations. They are the most successful form of communication if they are managed well.

Reflect on...

Using the specific examples of conversations you have identified in chapter 2, highlight one factor to demonstrate why the conversation went well or badly. Learning from conversations that did not go well is just as useful as learning from successful experiences.

Examples of factors which are unhelpful Factors Talking too much Interrupting Not controlling your emotions Evading the issue Imposing solutions Focusing upon the negatives Seeking a ‘quick fix’

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Improving performance through critical conversations

Why not helpful

Examples of factors which are helpful Factors

Why helpful

Active listening and hearing Accurate summarising of mutually agreed points Non-judgemental, open minded Positive approach Vision for win-win outcomes Intuition and insight What is a critical conversation? A critical conversation is a conversation where you have to manage emotions and information in a sensitive way.

When approaching a potentially important conversation you need to consider the following questions: • Am I the right person?

• Is the timing right – the critical moment?

• Why is it a critical conversation?

Case study Ryan On arriving in work one day a colleague in your team is waiting at your door wanting to discuss some issues with you. The issues involved are quite complex and sensitive: • The colleague is returning from two weeks absence with stress.

• They have recently failed to get a promotion.

• Performance by the colleague has dipped significantly in the last few months.

• There have been complaints from another member of your team about alleged derogatory and personal comments made by this person on a social networking site.

How to manage conversations effectively

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Ask yourself the three initial questions as outlined on page 9. In answer, the colleague is in your team and you are most likely the right person to have the conversation.

With regards to timing, immediately might not be appropriate, however, putting it off for too long and avoiding or delaying a potentially awkward encounter may exasperate the situation and make things worse. Acas often refers to the ‘now or never’ moment and many people can instinctively recognise when this moment arises. Many issues occur without warning; to avoid too many of these it is best to: • deal with things proactively and initially informally • be close to your team and keep in touch with colleagues • be approachable and ready to listen • ‘grasp the nettle’ in a timely fashion, or to use another garden analogy, ‘it is best to nip problems in the bud.’

It is a critical conversation as it involves different members of your team with emotions running high. Being aware of the potential negative outcomes, impact and consequences of the conversation professionally will have significant benefits. However, recognise the dangers of being too affilliative, becoming entangled in gossip and losing objectivity by focusing on personalities and not the underlying issues.

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Improving performance through critical conversations

Managing the process After deciding you are the right person and understanding why the conversation is important, try this stepped approach: • be aware of yourself and how you are communicating • hear what the other person has to say • work with the other person to develop positive outcomes, if at all possible.

Step 1. Things to consider: • body language • tone of voice • use of language.

Opening comment

Better said as

“Your current behaviour and attitude is causing problems in the team.”

Step 2. Listen and hear: • understand the broader context • observe behaviours and emotions • the need to understand impact and consequences • keep things as clear and simple as possible.

Your empathy will be key, ie your ability to keep an open mind and to see things from others’ perspective.

Step 3. Problem-solving – working in a positive and collaborative way Thomas and Kilmann emphasise the balance of assertiveness and cooperation as shown in diagram 2 on page 12.

How to manage conversations effectively

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Emphasis on own needs – assertiveness

Diagram 2. Tactics for difficult conversations

Compete

Collaborate

Win/lose “It’s not about ego”

Win/win “Everyone is happy”

Compromising Avoid

Accomodate

Lose/lose “It will come back!”

Lose/win “Who is in charge here?”

Emphasis on other’s needs – cooperation

Reflect on...

Think about conversations and situations you have experienced and identify specific examples in the four categories above.

Think about what happened next and what the outcomes were: • With an accommodating approach?

• With an avoidance approach?

• With a competitive approach?

• With a collaborative approach?

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Improving performance through critical conversations

Framework for a purposeful dialogue Stage

Advice

Planning and preparation

Understand the real issues accurately Take advice Think about the other person – potential reactions Consider the ideal outcome Practice what you are going to say Allow sufficient time and think about the timing Get the environment/location right

The conversation

State the issues clearly and honestly Explain why it is important Provide specific examples and evidence if appropriate Be positive and avoid blame

Listen well

Focus upon active listening Be open-minded and intuitive Summarise accurately to demonstrate you have been listening and hearing Be self-aware

Consider opportunities

Use coaching skills Ask open and probing questions Ask – don’t tell Weigh up possibilities and options Manage silences Allow the time for thinking and responses

Action planning

Summarise again and agree the way forward Check for shared understanding Start with small steps Agree a timetable Consider if any support is needed

How to manage conversations effectively

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Finally, in preparing for a conversation consider these seven principles (adapted from: Susan Scott, Fierce Conversations [2011]): • be brave and be prepared to get to the real issues • be yourself and straightforward • be strongly focused • be prepared to address really tough issues • obey your instincts • manage your emotions • remember, ‘silences can be golden’.

“All the conversations in the world cruise on the crest of silence…

Fill your conversations with silences during which reality may be interrogated, learning may be provoked, tough challenges may be tackled and relationships may be enriched.”

Susan Scott, 2002

Reflect on...

Using the specific examples of conversations you have identified in chapter 2, highlight one factor to demonstrate why the conversation went well or badly. Learning from conversations that did not go well is just as useful as learning from successful experiences.

Key learning points: • Write down what you are good at when communicating with colleagues and build upon this.

• Write down what you are not so good at and think about how you can improve.

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Improving performance through critical conversations

4. Key skills for critical conversations Coaching and mentoring Coaching and mentoring are well known ways of working effectively with colleagues and enhancing professional development. They are two separate processes.

This handbook will not elaborate in detail about the distinctions between coaching and mentoring. Putting it simply, coaching is about drawing out with an emphasis on the colleagues coming up with their own solutions.

Mentoring is more about putting in whereby an experienced and respected colleague provides more advice and guidance.

They also share the same skill set; for both good coaching skills are vital. “The individual conversations I have with my staff are the most valuable part of my work. I learn a great deal from them, and they have the opportunity to talk and be listened to.�

Primary school headteacher

Key skills for critical conversations

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Diagram 3. Approaches to coaching and mentoring Colleague comes to you with a problem or issue OR You ask for a meeting with a colleague to discuss a problem or issue

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Coaching approach

Mentoring approach

Skills used: • listening • open questioning • summarising.

Skills used: • listening • questioning • uses own experience.

May say:

May say:

“How do you think it should be solved?”

“Have you tried….?”

“Try this”

Colleague will suggest the solution themselves.

“I think you should…”

Colleague feels empowered

Colleague feels supported

Improving performance through critical conversations

Four essential skills for coaching and mentoring There are four essential skills required for coaching and mentoring and they are best learnt from experience and practice: • active listening • questioning skills • summarising and giving feedback • influencing skills, to ensure a positive impact.

1. Active listening – what is it?

Active listening is a way of listening that focuses entirely on what the other person is saying. It confirms understanding of both content of the message and the emotions and feelings underlying the message to ensure that understanding is accurate. Here are some guidelines with suggested useful questions.

Guidelines for active listening

Example question/behaviour

Use open questions to encourage the other person to talk.

“So what would you like to discuss?”

Paraphrase what they say.

“As I understand it, what you are saying is…”

Reflect on the implications.

“So that may mean…”

Acknowledge underlying feelings.

“How did that make you feel?”

Encourage further contribution.

“Tell me a bit more about that?”

Use encouraging non-verbal responses.

Eye contact, nodding and encouraging sounds “mm” and “uh huh”

Key skills for critical conversations

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The listening list below may also help. An excellent coach will: • listen to understand people’s perspective (whether you agree or disagree) – suspend judgement • listen for people’s aspirations and inner needs • listen for people’s passion • listen for thinking or behaviours that are inconsistent with intentions • listen for people’s real story • listen for unexamined assumptions • listen for gaps in people’s reasoning • listen for emotion themes • listen for readiness to act.

When interpreting what has been said to you accurately and sensitively the key elements are: • use of appropriate language, tone and carefully chosen words • body language and facial expressions.

Skilled practitioners use non-verbal behaviour to reinforce what they are saying and: • use supporting and encouraging questions, smiles, affirmative nods • make eye contact without staring • look interested and remain relaxed • ask intuitive questions and avoid interrupting • use silences to allow your colleague to contemplate and think.

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Improving performance through critical conversations

2. Questioning skills A hallmark of a good coach is the ability to ask the right question at the right time. Appropriate questions often initiate useful responses. To develop this skill you need time and practice. Peer coaching with colleagues in triads is a productive way of achieving this.

Diagram 4. The role of skilful questioning

Coach • Asks open and probing questions • Listens • Summarises • Agrees a way forward

Colleague

Observer

• Responds to questions openly and honestly

• Observes skills being used

• Gives more detail • Agrees a way forward

• Gives feedback on process and outcomes

Consider the following types and examples of questions and the advantages and disadvantages of each.

Key skills for critical conversations

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Type of question

Example

Open questions

Open questions normally start with who, where, what, why, when, how.

“Why did you leave?”

“To what extent would you say?”

“How do you feel?”

Closed questions

“What time did it happen?”

“How long did it take?”

“Did you speak first?”

Probing/reflective questions

“Why did you say that?”

“What, in particular, made you feel like that?”

“Are you telling me that?”

Leading questions

“You’re not suggesting that?”

“You must admit that?”

“Why don’t you try doing?”

Multiple questions

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“Can you tell me what happened, how you felt and what you did about it?”

Improving performance through critical conversations

Benefits

Drawbacks

These encourage the other person The person may talk too much, to talk freely, as little or no restriction drift away from the subject and is placed on their answer. They start to control the interview. enable people to ‘open up’ on any To avoid this, try using a qualifier. topic, opinions or feelings.

For example, ‘very briefly, tell me how you’ or ‘in a few words.’

These questions can be effective in verifying specific information, re-focusing on the subject in hand or emphasising a vital point.

They can be very unhelpful when dealing with feelings. For example, ‘did that make you feel bad?’ may not illicit the depth of response you hoped for.

Useful in seeking depth and detail.

The employee may feel threatened.

Attention must be given to anticipating and monitoring the effect on the person.

These questions should be avoided.

You may run the risk of putting words in someone’s mouth and leading them towards your own conclusions.

These questions should be avoided.

The person is unsure what part of the question to answer first and confusion can arise.

Key skills for critical conversations

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Deciding which questioning technique to use and when: • at the start of the discussion it is usually best to ask open questions • you might then follow up with probing questions, with information verified using closed questions where necessary.

Open and probing questions are more likely to get to the real and deeper issues. These types of questions can open up new areas of thinking and can challenge assumptions.

You could start your question in one of the following ways: • “As concisely as possible, tell me how you…”

• “Very briefly, outline…”

• “In a few words, explain…”

However, be conscious of interrupting a train of thought by asking too many questions.

When asking searching and probing questions, ensure your body language is calm and neutral, be aware of your colleague feeling threatened. Anticipate and observe the effect of your questions on the other person.

3. Summarising and providing feedback Summarising and providing feedback are the best way of demonstrating that you have actively listened. They will help build upon a relationship based on trust, confidence and respect. When summarising some things to bear in mind: • be clear • be concise • be constructive • be considerate • be careful • be calm.

By using appropriate and respectful language, insightful summaries can help colleagues to understand issues or situations from a different prospective.

Using a variety of communication techniques such as metaphors or analogies can develop creative thinking.

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Improving performance through critical conversations

Back-channelling is a name given to behaviour in a conversation where the listener gives vocal feedback to indicate that he/she is paying attention. It is a minimal response, almost always involving a short phrase or single word, such as “yes,” “sure,” “right” or a gesture such as head nodding etc. They each show that you are listening, but not necessarily signifying agreement.

4. Influencing skills Effective influencing skills are the ability to persuade, convince or impact others in order to constructively control conversations. Things you need to consider when using influencing skills: • the ability to think on the spot • whether you might need a break • whether you need to change your approach • on a frequent basis, are you in control?

Case study A struggling colleague Phase 1 One of the people you manage is normally hardworking and reliable and a good team member. Over the last few weeks they have been much quieter, rather negative and performance has started to dip. You have tried to raise these issues informally but have had no response.

Advice Agree to have a one-to-one meeting, ensure it is well-structured but be honest and relay your observations regarding their manner and performance and enquire in a tactful way.

Phase 2 After a quiet start, following probing questions, your colleague explains they have been diagnosed with depression. It is not work-related but the medication is making them tired. They want the matter to be confidential.

Advice End the meeting in a very courteous and professional manner and arrange another in a few days. Ask your colleague to consider what type of support they might want from the team and yourself. Stay objective but in control and provide opportunities for your colleague to talk. Delay the discussion regarding their performance.

Key skills for critical conversations

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Key learning points: • When reflecting on current or past conversations maintain a simple log, noting positive examples of evidence you have achieved in the four areas outlined on pages 17–23.

• Coaching and mentoring are key skills for a leader.

• Good coaching takes practice.

• Always try to develop your colleagues’ self-awareness when in conversation with them.

• Provide opportunities for joint action planning.

• Help colleagues set realistic goals.

• Encourage colleagues to regularly review and evaluate.

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Improving performance through critical conversations

5. Conversations about performance Performance management is critical in all successful organisations and is, essentially, about meaningful engagement with colleagues. Colleagues are important and at times challenging.

The underlying purpose of performance management is to enable individuals to fulfil their potential and to optimise their personal performance. Many managers in education find managing the performance of colleagues a difficult aspect of their role but acknowledge much of their own performance is judged on the performance of their team or department.

“Over the last few years, when we review our priorities for professional development, managing conflict or handling difficult situations always feature prominently.”

Staff development manager, sixth form college

Why is performance management often seen as difficult?

The following is a list of typical reactions from managers in education on the issue of performance management: • it is time consuming • it may well not be worth the effort • it can damage relationships • I do not feel supported • I have not received adequate training • it will have emotional and political consequences • it is not seen as a high priority • sometimes it is best left alone • it may not produce the required outcomes • it has the potential to make matters worse • it is scary Conversations about performance

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• I could find myself before an industrial tribunal • I haven’t got the necessary experience or expertise.

Despite all these obstacles, if organisations want to deliver the best for students, it is vital that managing the performance of staff is done well. Where it is done badly the students’ learning experience can be seriously affected.

Taking a constructive approach Managing performance is about getting the best out of individuals.

The biggest impact is made by having a professional and effective working relationship with them.

One-to-one discussions can be difficult to fit into busy schedules and timetables but they must be a priority. Staff are the most important resource and the best way to achieve excellent performance is by taking a positive and developmental approach with individuals.

What does such an approach look like?

Colleagues must be motivated to improve their own performance – change will be successful and sustainable if it is self-directed. The benefits of an optimistic and ‘can-do’ attitude are tangible. Individual skills, attributes and talents need to be known and respected. Good managers are aware of and appreciate the contributions made by different individuals.

“It is always worth remembering that the vast majority of people want to do a good job. My role is to allow them to do just that.”

College head of department

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Improving performance through critical conversations

Reflect on...

• How well do you know colleagues in your team?

• How do you use your personal understanding to effectively manage them?

• How astute are you in observing changes in colleagues’ behaviours and performance?

Get to know your colleagues better. Evaluate what you are doing differently with greater understanding and constantly look, listen and learn to ensure your colleagues’ wellbeing and high performance.

What are the benefits?

The following represents a list of practitioner quotes in support of performance management: • individuals and the team are clear about their priorities and focus on the right things • it can improve individual performance and unlock potential • it improves team performance and helps me in my appraisal • it can build self-esteem and confidence • others can see the positive results • it can improve professional relationships, if managed well • it has solved potentially bigger problems which could have arisen • you can make best use of individual skills and experience and identify development needs • you know an individual’s work is not up to scratch and can take appropriate action.

Conversations about performance

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“One of the main qualities I look for in a head of department is the ability to take responsibility and to be accountable for the performance of their team.”

Headteacher, secondary school

Managing different types of performance It is easy to jump to the conclusion that managing performance is just about underperformance. However, it comes in many guises, all requiring different approaches and sensitivities. To simplify, this section we will focus on: • excellent performance • stuck performance • performance that is a cause for concern.

Often the dividing lines are not always so clear and things can change!

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Improving performance through critical conversations

Characteristics of the different levels of performance (Please note that these are not exclusive to type) Excellent/star

Stuck

Concern/worry

• consistently good results

• defensive body language and communication

• persistent absenteeism

• signs of stress

• uncooperative

• resistant to change

• lack of planning, preparation and assessment

• popular with staff and students • positive student feedback

• doing absolutely the bare minimum

• confident but modest

• moody and occasionally bad tempered

• often a good sense of humour

• passive and quiet (more than normal)

• a good role model

• failure to engage students

• damaging in meetings and undermining behaviour

• disillusioned

• poor learner feedback

• becoming very negative and cynical

• evidence of a noticeable decline in results over two/three years

• very professional personal standards • good team player • willing to go ‘the extra mile’ • keen to develop and improve • optimistic and enthusiastic • conscientious ‘keeps promises’ • inspires and motivates others • emotionally intelligent.

• finds barriers to everything ‘I can’t do that’ • no new ideas • deteriorating punctuality • lack of enthusiasm and motivation • cannot see opportunities ‘I can’t see the point’ • lack of attention to detail.

• disinterested and disengaged

• complaints from students, parents and colleagues • chronically negative attitude which affects other colleagues • feels ‘untouchable’ • inertia and resistant to any form of change

Conversations about performance

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Diagram 5. Managing different types of performance Stuck

he s t a r s T

rn/worr y nce o C

The stars • Nurture their talent • Closely monitor pressures on them • Don’t overload them • Provide good opportunities for them • Celebrate and share their good practice

Stuck

Stuck

he s t a r s T

rn/worr y nce o C

• Praise the positives • Model a positive attitude and high standards • Ask them what support they need – and offer it to them • Give honest, objective feedback • Discuss possible changes to role or opportunities to re-motivate

Concern/worry

he s t a r s T

rn/worr y nce o C

Stuck

• Praise the positives • Model a positive attitude and high standards • Ask them what support they need – and offer it to them • Give honest, objective feedback • Discuss possible changes to role or opportunities to re-motivate

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Improving performance through critical conversations

Reflect on...

Consider the colleagues you manage or work with closely. Where would you place them on the scale below? Then consider how you could manage a colleague with low motivation or a colleague with high motivation. What could you do about a colleague with a low level of skill and, conversely, how could you use a highly-skilled colleague effectively?

Low

High

Skill Low

High

Motivation

Where would you place the colleagues you manage or work with closely on the following scale?

Performance

Low

High

Potential

Low

High

Using the quadrants below try to place colleagues you work with in the relevant boxes. Once you have done this consider the strategies you would then use in order to manage them effectively.

High potential – low performance

High performance – high potential

Badly managed?

A star?

Low potential – low performance

Low potential – high performance

A cause for concern?

Reached their level?

Reflect on...

An individual’s motivation, performance, skill development and potential can change with time. How do you maintain an accurate awareness and assessment of them? Also, how prepared are you to take action to stop a decline or bring about improvement?

Conversations about performance

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How to get the best out of different colleagues or to sustain excellence In order to deal with a wide range of performance issues managers need to have confidence, skills and experience to try a range of solutions. Some solutions will work and be remembered for future use. Some solutions won’t work and you should always reflect on why.

Case study Siobhan (the star) Siobhan is an outstanding teacher. She has sustained excellent results over a number of years. Her rapport and relationships with students is characterised by professionalism, warmth and great humour.

Through this she is consistently able to develop both the personal and academic qualities of the learners. She is popular with her colleagues and is well-respected by parents. Her department is outstanding and she is perceived as a great team player.

Since returning from holiday, you begin to notice that Siobhan is lacking her usual enthusiasm and motivation. The next week she comes to see you in your role as her line manager, and says she needs new challenges and goals and wants your advice. Promotion opportunities are not apparent, but you are anxious to retain high performing staff such as Siobhan.

Case study Jim (stuck) Jim is a physics teacher. His teaching is currently graded 2/3.

However, he is reluctant to use new technology and tends to use handouts produced in previous years to save preparation time. He is reluctant to attend any extra-curricular activities such as open evenings, does not arrange any trips/visits and does not contribute much to team meetings. He has been at the school for 30 years, and has been passed over for promotion several times. He is now looking forward to retiring in five years’ time.

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Case study Des (concern) Des is an experienced head of department who has recently survived a redundancy programme. He is openly critical of government education policy and the ‘target-setting’ culture. His results are good, but he is negative and entrenched in his ways, and is not willing to subscribe to the model of continuous improvement, is cynical of any staff development and reluctant to work in a cross-faculty team which has been set up to address cross-college issues. Colleagues in other departments find him uncooperative and say that he is continuing to work in his own way, rather than being willing to share and be open to change.

For each of the case studies on pages 32 and 33, decide on: • the key issues • the key outcomes • the key actions.

See Appendix 1 for suggestions.

Why teachers teach Teaching and supporting learning are vitally important vocational roles.

They have the capacity to change learners’ lives and create opportunities for life-long personal growth. Managers who do this start from an exceptionally strong basis and with the right focus; they always put students at the heart of improving performance.

The quote below from the Teachers’ Standards 2012 illustrates this perfectly: “Teachers make the education of their pupils their first concern, and are accountable for achieving the highest possible standards in work and conduct. Teachers act with honesty and integrity; have strong subject knowledge, keep their knowledge and skills as teachers up-to-date and are self-critical; forge positive professional relationships; and work with parents in the best interests of their pupils.”

Teachers’ Standards Preamble 2012 (p 7)

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33

It is up to managers to ensure that this is always at the forefront of any performance management conversation.

“Have faith in everyone, only a few will disappoint you if you treat them professionally and with respect and dignity.”

Sixth form college principal

Key learning points: • Know your staff as individuals, their personalities, what motivates them and their skill levels.

• Timing of the conversation is vital.

• Consider outcomes (for both yourself and your colleague) before deciding on actions.

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6. Performance management (or appraisal) Why do we do it?

Before considering how to deal with performance management it is perhaps best to consider the reason why it is done.

Organisations are obliged to carry out performance management; current legislation is clear on the need for teacher appraisal.

Regulations were introduced by Department for Education (DfE) in 2012 requiring all maintained schools and colleges to have: • a written appraisal policy for their teachers • an annual process, setting objectives for each teacher, which contributes to improving education of pupils • written appraisal reports setting out for each teacher an assessment of their performance, their training and development needs and, where relevant, a recommendation on performance progression.

Assessment of teacher performance will be made against the 2012 Teachers’ Standards and the teacher’s own objectives and their role. It applies to all teachers, not just NQTs. The Teachers’ Standards can be found on the DfE website at www.education.gov.uk.

The joint employer/union agreement on performance appraisal for staff working in further education (FE) can be found on ATL’s website at www.atl.org.uk/pmfeguidance. In addition, Ofsted can now require organisations to provide inspectors with anonymised appraisal records as part of the inspection process.

Performance management in Wales is based around the School Teacher Appraisal (Wales) Regulations 2002, which can be located at the www.legislation.gov.uk website. The regulations provide for the appraisal of the performance of school teachers (including unqualified teachers) at community, voluntary and foundation schools with the exception of those employed in non-standards settings, centrally employed teachers, those employed with contracts of less than a year, nursery teachers, teachers in pupil referral units and peripatetic teachers.

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35

Why should organisations want performance management?

Consider the following statements: • Is there a moral case for performance management?

• Education is a basic human right.

• It must move people to serve their communities.

• Teaching is an important, difficult and demanding profession.

• Not all teachers are equal.

• Even the best teacher needs coaching.

“Pupils from disadvantaged backgrounds will in one year gain a year and a half’s worth of learning from an effective teacher, but only half a year’s worth of learning from an ineffective one.”

Sutton Trust, 2012

A well implemented appraisal system is in the best interests of both teachers and learners.

Reflect on...

What are your views on the above quote and bullet points?

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Effective appraisals are characterised by: 1. A principled statement of purpose.

“The DfE model policy for teacher appraisal and capability has as its purpose, to ‘set out the framework for a clear and consistent assessment of the overall performance of teachers, including the headteacher, and for supporting their development within the context of the school’s plan for improving educational provision and performance, and the standards expected of teachers. It also sets out the arrangements that will apply when teachers fall below the levels of competence that are expected of them.”

DfE, May 2012

2. It must start at the top, ie with the leadership – the headteacher or principal.

3. It must be evidence based.

4. There must be clear links to continuing professional development (CPD).

5. An annual process with triennial reviews ie one-to-one dialogues owned and respected by each individual.

6. It should be seen as a conversation not an interview.

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Reflect on...

What are your personal experiences of appraisals/performance management reviews? Identify the best and worst experience that you have had and consider its impact upon you. Some of the things you may have thought of could include: Best

Worst

Made me feel valued by the school.

It was a ‘tick box’ exercise.

Improved my relationship with my boss.

My boss did all the talking.

Helped me to do my job better.

It was all about data.

Improved my confidence and self-belief in my ability.

It was a waste of my time and hers.

Made me realise that I can get some support and help.

Targets set were unrealistic and unachievable.

It was good to reflect and talk about me and how to improve my skills.

I did not know the person and they did not know me.

Made me think about my future.

The CPD I had identified the previous year was ignored.

A recommended four-stage process/cycle for performance management would look like the following: Stage 1 – Gathering information • observations, (own, peer and Ofsted) • work scrutiny • performance/results data • student feedback.

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Stage 2 – Preparing for the appraisal meeting • self-assessment (by reviewee) • reflect on information gathered • decide on timing and agenda – fixed or open? And communicate it in advance.

Stage 3 – The appraisal conversation • start with strengths/positives • discuss areas for development • review and evaluate progress • agree realistic and aspirational goals • focus on future improvements/overcoming barriers and solving problems.

Stage 4 – Paperwork – after the conversation Teachers are required to be given a written appraisal report which sets out: • an assessment of their performance against their objectives and the standards • an assessment of their training and development needs, and where relevant, a recommendation on pay progression.

Note that this is described as a cycle – the information provided in Stage 4 above will form the basis of the next performance management/ appraisal conversation.

When you have had a critical performance appraisal conversation with a member of your staff what do you want them to be: • thinking?

• saying?

• feeling?

• doing?

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Tips for the appraiser: • listen and question – but let your colleague have their voice • focus on positives • strive for agreement in areas for development • offer support as necessary • summarise accurately to show you have listened • ensure that targets are SMART – ie Specific, Measurable, Achievable, Realistic and Time-bound • ensure that objectives reflect the aspirations of both the reviewee and the organisation.

Performance-related pay From September 2013, under the new School Teachers’ Pay and Conditions Document (STPCD), all organisations were tasked to ensure that their pay policy is focused on teacher performance not length of service, with the first performance-related pay increases made in September 2014.

Recommendation for pay progression is one of the outcomes of a performance management conversation. This can be difficult as teachers have long had incremental pay progression; a reward for experience, as it was assumed that the longer the experience, the better the teacher, and therefore the better the outcomes for students. Not always true! Main changes to teachers’ pay include: • removal of pay progression based on length of service and instead linking it to performance • option of increasing individual teachers’ pay at different rates based on their current performance • replacing the current threshold for progression from the main to the upper pay range with new criteria • a new pay range for leading practitioners, discontinuing the current advanced skills teachers and excellent teachers • giving schools more freedom to determine starting salaries of teachers new to the school • removing any obligation on schools when recruiting to match a teacher’s existing salary.

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“Teachers on the pay range for leading practitioners must be an exemplar of teaching skills, lead the improvement of teaching skills at their school and carry out the professional responsibilities of a teacher other than a headteacher, including those responsibilities delegated by the headteacher.”

DfE, 2012

“Performance-related pay progression enables schools to recognise and reward a teacher’s performance through an increase in pay. It can act as an incentive for continuous improvement.

“Schools will already have some experience of making decisions about pay that are linked to assessments of performance – what is new is that all decisions about pay progression for teachers will need to be linked to performance in future.

“The quality of the performance appraisal system in your school will be the key to this working well.

“Appraisal should be a supportive, developmental process designed to ensure that all teachers have the skills and support they need to carry out their role effectively. It should help to ensure that teachers continue to improve their professional practice throughout their careers.”

DfE, 2013

Questions to consider may include: • What constitutes good performance and how can this be moderated across the school to ensure fairness?

• What salary scale will your school use for leading practitioners?

However, it is important for leaders to consult widely before implementing a new pay policy as every organisation is different and has different staffing structures. An awareness of the union stance and the position of support staff within the policy are also vitally important.

Common ‘forms’ or policies are therefore not advisable, though the requirements of the STPCD and the Teachers’ Standards 2012 requirements must be met. For further information see the additional links in Appendix 3.

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Key advice Each school must ensure an effective link between their appraisal and staff performance-related pay. Communication of this will be key – you need to keep everyone in the loop! Finally, you need to monitor the impact of the new arrangements.

Diagram 6. Communicating performance-linked pay decisions

All staff

Appraisal

Outcomes

Pay policy Decisions

Govenors

The following is advice supplied by a principal of a sixth form college: • You need a teacher to be responsible for a set of results.

• You need multiple performance indicators eg exam results, value added, success rates, retention.

• Policy should be ‘fair’ across the college, because as soon as someone is refused their pay increase they will appeal by using the performance of learners in other subjects across the college.

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“Under the new Ofsted inspection framework, inspectors expect to see a list of staff and the salary point they are on. They also want a column indicating when that person was due to go to the next salary point and an explanation as to why they did not receive that pay rise if that was the case.

“An effective performance management system would have a greater proportion of staff on the scale point expected and the college should be achieving increasing success in examination results, value added and success rates.”

Ofsted, 2012

As you can see, Ofsted also influence both performance management and consequently performance-related pay.

“Our new inspection framework recognises the importance of leadership in teaching. And that is why inspectors will comment in every report on whether leaders have a sense of what is going on in the classroom and whether they are taking professional development and performance management seriously. So let me be very clear. Our judgment of teaching will be predicated on the quality of learning and the progress students are making.”

Michael Wilshaw, Ofsted, 2012

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Benefits of performance management The benefits of good performance management can be seen in terms of motivation as well as results. If an individual is motivated, they work more, their skills improve, they experience success, they are motivated to do more; a positive cycle of success.

“I always keep the students at the heart of everything I do and say.

An underperforming member of staff is not doing that, so the matter must be addressed.”

Head of quality, FE college

Performance management establishes shared understanding of what is to be achieved and provides an approach to leading and developing people that will ensure it is achieved; as such it is an essential element of your role and will support your relationship with the individuals in your team.

Key learning points: • All performance management interactions should be seen as a conversation not an interview.

• The principles of support and accountability should be the bedrock of any performance management system.

• Good performance management and fair pay policies will create the climate for excellent performance at all levels.

• Good performance management conversations can remove the need for more critical conversations!

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7. Conversations about behaviour The Teachers’ Standards has two parts. Part one involves the performance of a teacher within the educational environment, which has already been discussed in the previous sections on performance management and appraisal. Part two relates to ‘personal and professional conduct.’

“A teacher is expected to demonstrate consistently high standards of personal and professional conduct. The following statements define the behaviour and attitudes which set the required standard for conduct throughout a teacher’s career. Teachers uphold public trust in the profession and maintain high standards of ethics and behaviour, within and outside school, by: • treating pupils with dignity, building relationships rooted in mutual respect, and at all times observing proper boundaries appropriate to a teacher’s professional position • having regard for the need to safeguard pupils’ well-being, in accordance with statutory provisions • showing tolerance of and respect for the rights of others • not undermining fundamental British values, including democracy, the rule of law, individual liberty and mutual respect, and tolerance of those with different faiths and beliefs • ensuring that personal beliefs are not expressed in ways which exploit pupils’ vulnerability or might lead them to break the law.”

Part two: personal and professional conduct, Teachers’ Standards, 2012

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Reflect on...

Read the extract on page 45 and identify the key words/phrases.

Key words you may have identified include: ‘high standards of ethics and behaviour’; ‘personal conduct’; ‘outside school’; ‘expression of personal beliefs’ and possibly many others.

You may at some point be required to have a critical conversation with a member of staff with regard to the above so it is important to have the knowledge necessary to hold this conversation with confidence.

The National College can use part two of the Teachers’ Standards when hearing cases of serious misconduct in schools.

Case study Rachel (risky recreation) Rachel is a 24-year-old teacher in your school. It has been brought to your attention that in her spare time and at weekends, she works as a ‘kissogram’ often scantily-clad, appearing in local pubs and nightclubs. She sees nothing wrong in this as it supplements her income and is in her own time. There is concern that she may be seen by 18-year-old students, their parents, or governors. What are the key points you would need to make in a conversation with Rachel? What additional information would you need?

There may be other instances where the behaviour or conduct of staff may be in breach of the Teachers’ Standards.

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Reflect on...

For each of the situations below, indicate whether they are acceptable or not, and indicate what action could be taken.

Situation

Acceptable

Teacher turns a blind eye to students who wolf-whistle when other students of the opposite sex walk by.

Yes

No

Teacher ignores pupils using bad language in corridors. She doesn’t teach them and other staff always step-in anyway.

Yes

No

Teacher takes part in a march against a political party that seeks to end immigration. Teacher gets into a skirmish which is broadcast on TV.

Yes

No

Thank-you note received from wealthy parent of one of your more difficult students with a season ticket enclosed for your favourite soccer team.

Yes

No

Teacher posts a picture on social networking site of themselves on holiday topless and holding a bottle of beer.

Yes

No

Recently appointed teacher admits to ‘stretching the truth’ on their application form to disguise their lack of experience of teaching post-16 students.

Yes

No

Teacher is reported in local press for ‘possessing and using’ an illegal substance.

Yes

No

Action

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8. Conversations with the boss Many staff at work have experienced problems when managing upwards.

This may well include dealing with governors as well as senior and middle management. Comment quotes include: • We have different agendas.

• They don’t understand the nature of my job.

• I find them unapproachable/scary.

• I am worried about the consequences.

• It’s not worth making the effort.

Reflect on...

If you are a manager: • What does your team think of you?

• Have you asked them?

• Have you ever had a 360° appraisal?

• What did you learn from it?

• What are your experiences of dealing with your bosses?

• Good – what happened?

• Not so good – what happened?

• What advice would you give to others?

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Case study Nic Nic is the new head of English in a well-established college. It is a large department with nine full time staff, and is graded as good.

Most of the team are working well, but there is one member of staff, Alan, the college deputy principal, who is not as effective. The main problems are: • lack of a detailed scheme of work for his part of the syllabus • slow return of marked work to students • late starts to some lessons.

The other staff are becoming resentful that Alan is ‘getting away with it’ because of his position. What should Nic do?

Case study Shanti Shanti is a member of support staff with responsibility for reprographics. He is efficient and produces good quality resources.

He has introduced a new system and procedure to enable reprographics to work to maximum efficiency. Most staff follow these guidelines.

However, Rani, a member of the SLT, regularly ignores the procedures and asks for items to be produced at very short notice ahead of others who have followed the correct procedure. Shanti feels undermined by the lack of cooperation from Rani. What should Shanti do?

Case study Michael (over-zealous governor) A new chair of governors at the school has been appointed, previously holding the post of vice chair. In the last year the school has gone from good to ‘requires improvement’. The new chair very much sees it as their role to achieve outstanding status by the next inspection.

They have studied the 2012 Ofsted framework in detail and believe the answer lies in rigorous challenge by governors who know the school well and get involved in the quality of teaching and learning. Chris is the manager in charge of teaching and learning and the new chair asks him directly to draw up a schedule for what is described as ‘informal’ lesson observations. How should Chris deal with this request?

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Advice on the issues raised in these case studies can be found in Appendix 1.

When managing upwards: Managing behaviours • be honest • be diplomatic, tactful and show respect • stay calm and professional • maintain your integrity • listen and provide opportunities to listen • be conscious of your boss’s personality Be prepared • pick your time well and perhaps make an appointment and give some indication of why you want to meet • keep the corporate vision in mind • be clear on the issues you want to raise • show empathy, if possible, understand their pressures and achievements – ‘tickle their tummy’ with sincerity but not literally!

• know your facts • know what you want Be anticipatory • be solution-focused and have an outcome in mind • expect the unexpected • try to keep an open mind and be flexible.

Key learning points: Remember the five Ps – be: • persuasive • positive • polite • professional • persistent.

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9. Conversations with stakeholders The first part of this handbook has focused on internal conversations, ie those within your organisation, and with your colleagues or staff. However, just as important are the conversations you may have with those external to your organisation.

Some examples of external bodies you may need to have a conversation with are shown below and although much of the advice already given may still apply there are subtle differences.

Why an external conversation might be different: • you may not know the person well (or at all) • the conversation may be on their premises not yours • the agenda or topic may be set by them • they may have pre-determined outcomes.

Therefore, you are not in control of the conversation – its timing, preparation, length, content or potential outcomes.

Potential stakeholders may include: • parents • governors • Ofsted • students • LA • local employer • trustees sponsors • others?

Some of these external conversations will now be considered in more detail.

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51

Conversations with Ofsted inspectors Ofsted inspectors will have conversations with many categories of staff within your organisation. These may be as focus groups, or with individuals. All of these conversations will be critical to the grade you are awarded.

Preparing for a conversation with Ofsted – advice from current practitioners with recent experience: • be well prepared – have a folder with all types of data and evidence • make sure all data is accurate, and known by all relevant staff eg course leaders • have an improvement plan ready • have evidence for all you say • support those who may be struggling • clear, transparent and open communication of all necessary information, but don’t overload (teachers need to focus on learning) • highlight your successes and good points, and make sure they know about them!

Consider the key skills listed below that you will need when involved in conversations with Ofsted.

Key skill

Why do you need this?

Resilience Determination Professional pride Team work Responsibility Accountability

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Conversations with Ofsted will focus on a whole range of issues within your school, but the key foci will be on: • data – retention, pass rates, achievement rates, high grades, progression, targets and benchmarks • quality – teaching and learning, planning, stretch and challenge, sharing good practice, lesson observations, CPD, learning environment, technology and resource • support – for learners, staff including enrichment • legal – equality and diversity, safeguarding, financial, governance etc.

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Reflect on...  Consider the questions below and how you might answer them for your organisation. (Additional sample questions can be found in Appendix 2.) As a manager it is your responsibility to prepare your staff for questions such as these.

Sample questions for teachers and lecturers Questions What are the strengths and areas for development in your subject?

Why do you think that pass rates fell this year?

How do you use targets to improve student performance?

What strategies are in place to address underperforming students?

How do you stretch the more able students in lessons?

How do you share best practice across the teaching team?

How often are your lessons observed?

What happens as a result? What opportunities are there for CPD?

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Improving performance through critical conversations

Answers?

Sample questions for managers Questions

Answers?

What are your key targets for your area this year?

How do you monitor the progress of students across the courses you are responsible for?

What strategies are you employing to improve success rates?

How do you ensure that best practice is shared between teachers and courses?

Could you give me an example of how you have tackled a weakness in teaching/learning in the last year?

How do you monitor the quality of classroom practice on a daily basis?

How do you intend to improve progression rates?

Your SAR/SEF states that ‘student feedback is valued and acted upon’.

Can you give me some examples?

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Ofsted conversations with students Although you cannot directly control what they may say, you can influence ‘how it goes’ by ensuring that the following key features of their learning journey are in place and of good quality: • enrolment/induction • target grades/progress • assessment and feedback • stretch and challenge • support • technology • enrichment • careers/progression.

Conversations with parents Conversations with parents of existing students are likely to be in relation to performance (at parents’ evenings) or on a one-to-one basis on other issues such as attendance, lateness, attitude, bullying and behaviour. Successful conversations with parents will be assisted by you: • having the evidence (from as many sources as possible) • envisioning the solution, and how you might get there together • asking for support from them • outlining the ‘next steps.’

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Improving performance through critical conversations

“One of the most common and difficult conversations I have with parents concerns requests for holidays in term time. Guidance states that these may only be granted in ‘exceptional circumstances’, and with six weeks’ notice. Many parents do not give adequate notice, or requests are not exceptional, eg a birthday, bad weather in UK or a ‘bargain holiday’. Occasionally, parents take children on holiday without requesting an authorised absence, and this means a conversation on their return to ask for their support in not repeating this. My advice would be: • widely circulate the school attendance policy to all parents and carers, stressing the impact on their children’s learning of any absence • requests must be in writing, and if necessary call parents to discuss further • always ask for support in not repeating this (if granted or already taken) • a final option is to ask the LA to issue a penalty fine through the courts.”

Primary school headteacher

Conversations with prospective students Open evenings and taster days are used by schools and colleges to encourage students to apply. This may be on the basis of reputation, service or courses offered. It is not enough to just give the course/curriculum information; you need to find out more about the student, what motivates them and their aspirations. This is particularly true in the FE and sixth form sector, as they need to be matched to the correct programme of study.

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Consequences of poor enrolment conversations Student perspective

School/college perspective

• Lack of motivation/effort.

• Poor retention.

• Struggle/get behind with work.

• Poor achievement rates.

• Do the bare minimum, so do not reach potential.

• Low percentage of high grades.

• Poor attendance.

• Staff morale adversely effected.

• Lack of opportunity for progression.

• Behaviour and attendance problems.

• Expectations not met.

• Poor Ofsted grades.

• Tell others not to go there/do that course/subject.

• Could even lead to course closure/redundancy.

• Extra support needed.

Case study High dropout rates College X holds an open evening to recruit prospective students to a two-year travel and tourism diploma course. Displays show trips and residential visits to London, New York, Alton Towers and Disneyland Paris.

Course staff are enthusiastic, and paint an interesting course of study with future jobs such as cabin crew, overseas reps and travel agents. After one year, 50% of students have dropped out. A survey showed that this was due to ‘too many assignments’, ‘only one trip - to a museum’, ‘overseas trip in year 2 too expensive’ and ‘boring’ units of study eg finance, law and HR. What advice would you give to anyone having a conversation with a prospective student? Some things you may have thought of include: • be honest about workload, job prospects, cost of trips/visits • be enthusiastic but realistic • ask them what they expect from the course?

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Improving performance through critical conversations

Conversations with current students Conversations with current students are some of the most critical, and many of the skills you use in conversations with colleagues will apply.

Topics may include: • setting target grades • feedback on standard of/non-submission of work • future aspirations, applications for employment, careers advice, FE/HE applications • behaviour • attendance • personal issues.

Such conversations can also be positive and motivational – good feedback, excellent attendance etc.

It is essential to have knowledge of policies to back you up in these conversations, for example: • homework policy • student code of conduct/classroom ground rules • behaviour policy eg bullying • you also need to know the sanctions available to you – eg ‘cause for concern slips,’ ‘send to head of year,’ ‘verbal warning,’ ‘written warning’ or ‘exclusion.’

As with the other types of performance conversation, you will require evidence – from as many sources as possible – witnesses, written, graded work etc.

Don’t be afraid to refer to another member of staff or external agency.

Conversations with LA/sponsors/trustees It is likely that senior managers – SLT, principal and headteachers would have these conversations, but the main advice is to be prepared, be professional and know what outcome you want from the conversation and keep this in mind at all times.

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Conversations with employers/workplaces How the conversation goes depends largely on the reason for having it.

Here are some common reasons for talking to employers or workplaces: • sponsorship of an event/school team • work placements for students • employer liaison committee • careers advice/talks • apprenticeships/joint training provision for their staff • any others?

When speaking to employers or workplaces, the following guidance may be useful: • Always remember that you are the representative of your school/college and as such should be professional and positive at all times.

• Being honest and truthful are always the best policy.

• Be confident in both your ability and your organisation’s ability to deliver to the highest level.

• Have evidence of previous successes to hand.

• Be specific in your request, and do not take up too much of their time.

• Always have your contact details available (as a business card, brochure or handout).

Conversations with governors With the government’s policy of ‘freedoms and flexibilities’ for school and college leaders as an enabler of performance improvement there is a growing recognition of the need for a complementary strengthening of the role of governors to hold leaders to account. Recently, the glare of attention on governors has risen dramatically through incorporation into the Ofsted inspection framework, which has left many increasingly exposed – not least on their lack of understanding with regard to what is really going on at their school or college.

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Improving performance through critical conversations

The Good Governance Standard for Public Services published by the Chartered Institute of Public Finance and Accountancy and the Office for Public Management describes governance as ‘the leadership, direction and control of an organisation.’ The primary functions of a governing body are said to be to: • establish the organisation’s strategic direction and aims, in conjunction with the executive • ensure accountability to the public for the organisation’s performance • assure that the organisation is managed with probity and integrity.

Clearly, many school and college governing bodies are not working at this level, partly because the existing framework of school and college governance does not encourage them to play this very prominent role and partly because they simply lack the necessary skills to discharge their governance duties.

To enable governors to operate effectively they will need to have critical conversations with staff and managers, not just the head or principal.

And, likewise, managers in particular need to become comfortable about instigating critical conversations with governors.

“Governors are most effective when they are fully involved in the organisation’s self-evaluation and use the knowledge gained to challenge, understand its strengths and weaknesses and contribute to shaping its strategic direction.”

HMI Report, 2009-10

In terms of Ofsted inspections, inspectors will focus on how effectively governors and supervisory bodies provide leadership, direction and challenge. To make their judgements, inspectors will evaluate the extent to which: • governors and supervisory bodies set the mission and strategic direction of the provider • governors and supervisory bodies establish effective structures to monitor all aspects of the provider’s performance • governors and supervisory bodies ensure that their statutory duties – where applicable – are fulfilled.

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Where relevant, inspectors will take into account: • how well governors and supervisory bodies monitor the quality of the experience provided for learners and their outcomes • how effectively governors and supervisory bodies monitor financial management and health, including value for money • what procedures exist to ensure the accountability of the chief executive and senior post holders, or equivalent • what procedures exist for governors and supervisory bodies to assess and monitor risk • how well governors and supervisory bodies ensure that legislative requirements are fulfilled, such as those for disability, safeguarding, and health and safety.

Reflect on...

Using the governor monitoring role details above as your guide, think of your organisation and the role of your governors.

What questions do you think they should ask of staff/managers?

What answers would you give?

What questions might you have for your governors?

Aspect of role

Question

Setting mission and strategic direction Monitoring quality of learner experience Assessing and monitoring risk Fulfilling legal requirements eg safeguarding

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Answer

Preparing for conversations with governors – advice from a headteacher: • Ensure that their role and responsibilities are clearly understood from the outset, that the governors have the required skills and understand the school confidentiality policy.

• Be completely honest about the achievement of pupils and the quality of teaching at the school.

• Invite other staff and SLT to governor meetings on occasion (this will back up the judgement of the headteacher) • Share all necessary external information with governors, eg LA reports, RAISEonline data etc (to enable them to challenge effectively).

• Hold regular briefings on achievement etc – these could be at the beginning of each meeting.

• Involve them in the school improvement and strategic plan for the school, and refer to this regularly.

• Honesty but not too much information (as this can cloud the main focus).

Conversations with the media School/college relationships with the media are crucial. Why? Because image and reputation can be enhanced or broken by media coverage.

Newspaper reports, pictures of your events and even interviews on radio or TV can portray this image to thousands/millions of prospective students.

So it is important to get this communication right.

Five golden rules for verbal conversations with the media: • Be prepared, know the facts and your audience – use the correct terminology.

• Be ‘quote worthy’ and practice what you are going to say.

• Stay cool!

Key learning points • You are an ambassador for your school/college, so be professional at all times.

• Courtesy, calmness and politeness do not cost anything, however, if not maintained, can often have unfortunate consequences.

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10. Conflict resolution and mediation Managing conflict One of the main issues that managers in education find difficult is conflict management. This is ‘the ability to handle difficult individuals, groups of people or tense situations with tact and diplomacy.’

Managers, especially those with essentially an affiliative approach in the way they deal with staff, identify conflict as something they try to avoid, much preferring to develop close working relationships and harmony.

This is natural in most people and its value should not be understated. However, dealing well with potential conflict is a very useful quality in many situations.

Reflect on...

When managing people: • What is your preferred style?

• Take notes, if appropriate.

• What do you find straightforward?

• Try to preserve the other person’s dignity.

• What do you find difficult?

• Take advice, if necessary.

• How will you improve your ability to manage conflict?

• Employ tact at all times.

• Focus on the issues, not personalities.

• Remember there are two sides to every story, be impartial.

• Listen rather than talk too much.

• Try to understand the other person’s point of view and their needs and fears.

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• Take steps to diffuse an issue and to bring disagreement into the open before it develops into a conflict situation.

• Delivering messages that create little or no hostility.

• Always vision a win-win outcome.

“When faced with a conflict situation, my advice would be to always talk to another manager for their advice – they may have handled something similar. Also, rehearsing what you want to say is a good idea so that you don’t get side-tracked or diverted onto the wrong agenda.”

Head of department, FE college

It is perhaps worth stressing that although formal procedures have a part to play, many disputes can be settled by informal conversations and routes.

Once formal procedures have been initiated, the tendency is for differences to become more adversarial. Conflict can escalate and positions become more entrenched, whereby it is very hard to alter perceptions and engage in open discussions. Consequently, mutually acceptable outcomes become more remote. It is worth considering the Acas conflict life cycle.

The Acas conflict life-cycle Stage 1 – the beginning Potential signs: • incompatible goals • open or covert conflict • avoidance of conflict • tension starts to be noticed.

In situations you have observed or experienced how many could have been addressed by informal procedures, consequently ‘nipping the problem in the bud?’

Stage 2 – early growth Signs: • confrontation • polarisation of positions • seeking allies • more overt signs of conflict.

Again, can it be prevented from becoming more formal, more serious?

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Stage 3 – deadlock Serious conflict: • blame apportioned • communication between parties ceases • entrenched positions and possible collusion.

Stage 4 – conflict resolution • acceptance that the problem needs sorting.

Stage 5 – working for a solution • collaboration?

• consensus?

• compromise?

These are very troubled waters for managers with critical judgements to make, often when emotions are running high. Some practitioners often describe conflict situations “like being between a rock and a hard place.” So what should you do? Try to do the right thing, taking into account your deeply held moral values and beliefs, ie be true to yourself, even though at times this may not seem to be the easiest option.

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What is the impact of conflict?

The impact of conflict can be on both individuals and teams.

Diagram 7. The five dysfunctions of a team (based on Lencioni, 2007) Absence of trust

Fear of conflict

Lack of commitment

Avoidance of accountability

Inattention to results

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Impacts may include: • time-consuming procedures • sickness absence • lack of focus of core business • staff turnover and recruitment • poor working relationships, dysfunctional teams • lower staff morale • reputational damage • developing a blame culture ‘us and them’ • legal costs • compromise agreement • employment tribunals • psychological stress • disruption to career plans and home life • any other costs?

Reflect on...

What should a leader do to minimise these impacts?

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What is mediation?

Mediation is different to other types of conflict resolution because it is: • informal • flexible • voluntary • morally binding, but has no legal status • generally unrepresented.

It is a structural process whereby an impartial mediator facilitates communication between those in dispute in order for them to understand each other better and for them to come up with mutually acceptable solutions that will improve the working relationship in the future.

“It is based on the process of collaborative problem-solving with a focus on the future and rebuilding relationships, rather than apportioning blame.”

University of Central Lancashire (cited in Acas, 2008. Mediation, An Employer’s Guide)

What does it involve?

It is based on commonly accepted principles: • solution or agreement focused • voluntary • confidential • parties offer solution themselves • the mediator is impartial.

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What is the skill-set required by a mediator?

A job and person specification Skills

Qualities

Desirable knowledge/ experience

• active listening

• empathy

• oral/written and non-verbal communication

• self-awareness

• theory of conflict resolution

• impartiality • approachable

• experience of conflict resolution

• facilitation

• understanding of equality and • professional/integrity diversity issues

• self-control

• honest

• building rapport

• creative

• observation and insight

• credible

• good judgement and observation

• non-judgemental

• flexible.

• knowledge of HR practices and procedures • experience of facilitation

• good planning and organisation

• knowledge of the mediating process

• negotiation and objectivity

• an awareness of the legal context

• generally optimistic

• knowledge of employment relations.

• good at problem solving.

Reflect on...

Would you be a good applicant for a mediation role?

• Would you want to apply?

• Consider your answers and the reasons behind them.

• What are your development needs in this area?

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When to use mediation Perhaps the optimum time to use mediation is when informal routes to solving a problem have failed and it could become a way of trying to resolve the situation before it becomes formalised – with all the pitfalls this brings.

Mediation can be used for: • personality clashes • relationship breakdown • bullying and harassment • dignity at work.

Good judgement is again key, try it if you think it will makes things better and not worse.

When not to use mediation Mediation should not be used: • as a first resort • as a way to avoid a manager taking responsibility • where there is possible criminal activity • where an individual bringing a grievance wants it investigating • where there are mental problems • one side is completely intransigent • there is no power or influence to settle the issue.

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Case study Hilary Hilary is the business manager in a school/college. She is committed, loyal, hardworking conscientious and well-respected. However, she dislikes conflict, and takes things personally. Amy and Julia are two of Hilary’s staff; both are experienced and well qualified, but they do not see eye to eye.

They have a long standing and deep-rooted dislike of each other. Amy is the dominant character and is publicly sarcastic; Julia is inclined to sulk and talks about Amy behind her back. Hilary is upset about the situation which is destroying morale and creating an unpleasant atmosphere in the office.

She has met with the two girls individually, but this has resulted in little improvement. What should Hilary do?

If informal mediation fails, then formal or legal procedures can be involved.

The process of mediation 1. Arranging a mediator: • initial complaint or request received for a mediator • agreement to mediate • a mediator is chosen – could be internal or external • parties receive information about what to expect • date agreed.

2. The mediator • Individual meetings are held with each party who tell their side of the story and outline their expectations of the process.

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When mediating: Do

Don’t

• listen and hear with attention

• talk too much

• agree ground rules and boundaries

• judge or blame

• allow individuals to safely explain and clarify issues and concerns

• agree

• gain agreement regarding a face-to-face meeting and what it entails

• refer indiscreetly about the other person

• be constructive – explore win-win situations • allow individual to talk in confidence to explain their feelings

• vindicate anyone’s position • collude

• be prescriptive • be anecdotal about similar experiences • interrupt when there is a silence.

• be impartial.

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The joint meeting – with clear grounds and conditions agreed Mediator’s role Hearing the issues • The participants are brought together and put forward their side of the story.

• Summarise areas of agreement and differences.

• Agree an agenda for the rest of the mediation.

Exploring the issues • Looking to the future, rather than the past.

• To encourage communication between the parties.

• Promoting empathy, especially seeing things from the other person’s perspective and feelings.

• Enabling discussions focused upon constructive solutions.

• Changing perceptions.

Building and writing an agreement • To assess solutions and agreements to see if they are practical and realistic.

• Encourage and support joint problem-solving.

• Record any agreements reached.

Closing the mediation • The process is now brought to a close.

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• Provide a copy of the agreed statement and explain everyone’s responsibilities for its implementation.

Confidentiality Anything said during mediation is confidential to the parties. They may choose to reveal some or all of what has occurred during the mediation to colleagues or their managers but only if all parties agree. The only exceptions are where, for example, a potentially unlawful act has been committed or there is serious risk to health and safety.

Reflect on...

Consider these types of mediation: • Facilitative - an active exploring of opportunities and evaluating options for settlement and resolution, not suggesting solutions.

• Evaluative - reaching a settlement according to law. Law specialists likely to give recommended options.

• Transactional – involving incremental bargain towards a compromise.

• Transformative – encourage the parties themselves to take ownership and responsibility for the process.

• Directive – proactive approach with mediator providing formal recommendations.

What do you think is most appropriate for individuals in your department or team or for your organisation? Do you think there is a role for internally trained specialist mediators in your organisation, since there is so much change, tension and potential stress today?

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Case study Alan and David (school restructure) Following a staffing restructure, Alan was appointed from outside as the deputy headteacher in a medium-sized high school. David, who had worked in the school for 10 years applied for the role, but was not successful. He was then given a more constrained role and was managed by Alan.

Early on in the relationship, Alan, inadvertently, rubbed David up the wrong way and wasn’t particularly sensitive to what had gone on. After several years things came to head when Alan challenged David about his management style. David reacted angrily and accused Alan of bullying. As a result of the strain and tension in their relationship Alan was confused and in need of advice as he had tried a range of strategies to improve the relationship, but none had worked. After taking advice that mediation might be a way forward, Alan reviewed some Acas case studies and decided to ‘give it a go.’ David was also happy to try the mediation option.

A day was agreed and both colleagues were clear about the structure of the process. Individual meetings were followed by two joint sessions with a break. The approach taken by the mediator was facilitative, with much active listening. This allowed both to talk about their emotions and feelings. The outcome was a better working relationship with more trust and understanding. The only paperwork was a short note from the mediator sent to both Alan and David.

Source Acas, 2008. Mediation – An Employer’s Guide

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The main elements in mediation: • Mediation is not a universal panacea for all conflict situations.

It is also more useful to some organisations than others.

• It is voluntary; the full agreement of both parties is required.

• It can avoid using formal procedures, but sometimes these become inevitable.

• It is most useful when it is used early on in a dispute.

• It is most suitable for such things as relationship breakdown and some harassment and bullying cases.

• For mediation to be effective all staff should view it as a viable option in solving disputes. Trade union support will make a significant difference in building trust and credibility.

Key learning point: • There are always two sides in a dispute. Both need to be fully and objectively explored.

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11. Formal conversations about performance In a minority of cases, conversations with colleagues have to take on a more formal or serious nature. When assessing whether a situation is at this stage, ie informal channels have not worked, key factors should be borne in mind: • Staff have a contractual responsibility to perform to a level that is acceptable and should be given help and encouragement to do so.

• Managers have a responsibility for setting realistic standards and expectations and explaining them clearly to their staff.

There are also other aspects to consider: • Capability relates to a person’s ability to do the job.

• Conduct relates to a person’s willingness to do something in an appropriate and professional manner.

Can’t or won’t Sometimes these two aspects are hard to distinguish, but put simply: • Capability is can’t – really struggling with demands.

• Conduct is won’t – ignoring demands and/or behaving unprofessionally.

Capability and conduct are dealt with via two different formal routes: capability and disciplinary using agreed policies and procedures. This handbook will focus on capability.

Disciplinary and grievance procedures are thoroughly covered in AMiE’s 2012 publication, Disciplinary Problems and Grievances.

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Case study Francis Despite clear guidelines and expectations of good time-keeping linked to the importance of lessons starting on time, Francis is often late for lessons. As a consequence, his classes often start in an unruly and undisciplined way. There have been several informal conversations about this but the problem persists. Why? If Francis ignores advice and warnings about this, then he should be dealt with under the disciplinary policy. If however, Francis has an on-going difficulty with time management, prioritisation or controlling students’ behaviour then he should be dealt with under the capability policy and initially offered support and training.

Having exhausted informal methods it becomes necessary to move to more formal methods of communication. You need to: • know accurately the capability policy • follow it and stick to the rules • be aware of and understand the capability procedures • take advice and consult • err on the side of caution, but don’t delay too long • make notes on all issues, remember this is formal and serious • don’t deal with it on your own, consult a senior manager and take advice from HR. If you don’t then matters could go to an employment tribunal which will judge the fairness of the procedures undertaken.

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What characterises a preventative culture?

Good managers strive for a preventative culture. They understand that focusing on a ‘fire prevention’ approach is the best way of avoiding ‘fire fighting,’ which often involves serious and difficult conversations. A preventative culture is characterised by: • managers being observant, taking initiative and showing good judgement • staff taking responsibility for their own actions • good communication about expected standards of performance • appropriate training • an honesty and ownership of agreed standards.

When problems start to escalate, the manager needs to act early and proactively to avoid more serious consequences. An effective way of achieving this is by providing clear feedback of what is acceptable and unacceptable. This proactive approach can often bring performance back quickly to acceptable levels. This can rebuild self-confidence and sustain positive relationships.

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Diagram 8. The cycle for dealing with underperformance

1

Be aware Constantly evaluate the performance of individuals.

7

Monitor and review Observe, record, discuss and encourage.

2

Identify Identify concerns and issues that need dealing with.

6

Support Implement action.

Provide support and development.

5

Discuss Discuss the required action. What needs to happen next?

Agree action.

3

Reflect Think, consider action and take advice.

4

Raise issue Raise the concern and listen to the response. Summarise and clarify expectations.

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Reflect on...

When moving from the informal to the formal, think about how you might feel: • Confused and not clear, perhaps owing to complexity of situation?

• Inexperienced – is this something new for you?

• Unsure – are you overreacting?

• Worried about the consequences?

• Unsure about previous actions and next steps?

You would be very unusual if you didn’t feel some or all the above. If at all in doubt, ask. It is good practice to talk discreetly to someone else about an issue and by expressing it you become clearer about the problem yourself.

Reflect on...

Do you have a trusted colleague with whom you can share your concerns? If not, consider who might be appropriate with some or all of the following qualities: • calm • trustworthy • empathetic, good listener • integrity • honest • wise, intuitive • discreet • approachable.

When considering capability – the following stages are essential: • identification • discussing underperformance with the individual concerned.

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Employment law requires you do this. It is only fair to let an employee know they are not doing their job properly. As soon as a colleague’s performance slides to below satisfactory: • notify them • provide support • set clear goals • monitor and review progress.

Identifying underperformance Good managers have a good sense of awareness of a colleague’s performance and rely on personal ‘radar’ and proactive preventative quality assurance procedures. Whatever the approach and style of management, robust evidence of underperformance is essential.

The following can help nip performance problems in the bud, hopefully before they become more serious: • effective appraisals • observations, including peer observation • student focus groups and surveys • course reviews – three per year • honest and accurate self-assessment • regular one-to-one conversations about performance.

What are the results, if problems persist?

• complaints from students and parents • increasing absenteeism.

No matter how evidence of poor performance emerges, managers should always use informal and constructive methods to help the individual improve and reach the required standard, but not for too long!

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Conducting a professional and formal discussion Most managers find this a difficult task and should prepare carefully and follow the rules. Doing this as early as possible is the right thing to do.

In a professional and formal discussion: Do

Don’t

• Make generalised, subjective • Use evidence to back up statements about performance. statements about performance ie provide a factual basis for a • Communicate in a random and reasonable professional judgement. disorganised way.

• Agree a focused agenda with a • Talk too much and don’t allow clear purpose and direction. your colleague to fully respond.

• Provide opportunities for the colleague to give an assessment of their own performance.

Allow your colleague to explain and discuss the following: • The concerns, with evidence of the problem. Examples might include management of student behaviour, the pace and challenge of lessons or lack of formative assessment of students’ work.

• Describe any support already received.

• Agree realistic goals.

• Agree a programme of support, guidance and training.

• Agree a timetable to monitor and evaluate progress. This could be quite simple, with minimal bureaucracy. What has gone well? What would be even better if? Progress review forms of whatever nature should be signed by both the manager and the colleague.

• Agree a final review date and the potential implications and consequences ie a step closer to considering the problem under the capability procedure.

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When conducting such a discussion you need to: • be very professional and supportive • be very clear and specific • show courtesy and respect, don’t bully, don’t threaten • keep notes • consider having witnesses for sensitive sessions • keep your focus on the ‘right’ things to do eg ensuring the best experience for students • at the end of the meeting summarise, so you both agree what has been said and what happens next and when.

Case study Formal procedures should begin Henry is a science teacher in a large secondary school. He has had difficulties over 12 months managing behaviour in his classes. His head of department, Sally, is timetabled to teach in the adjacent laboratory so she can restore discipline when students’ behaviour gets out of hand. Sally also withdraws particularly unruly students from Henry’s classes and personally supervises them and provides on-going advice and guidance. In total, Sally spends several hours a week supporting Henry. Henry has never had a verbal warning or the issue raised during his appraisal. Eventually, Sally is showing signs of stress and goes to see the deputy headteacher, whose responsibility is staff performance and teaching and learning.

A decision needs to be made to begin the formal capability procedure.

The deputy headteacher should ask the head of department for a short report outlining her concerns and explaining the support and guidance provided. Both agree an intended course of action: • formally discuss concerns with Henry and take notes • agree targets for improvement • arrange for on-going support and guidance • agree a monitoring timeline and set a review date • consideration should be given to Sally’s management style which may be too affiliative.

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Dealing with formal capability procedures The legal context As a manager you need to be familiar with your organisation’s capability procedure. Capability is recognised in employment law as a fair reason for dismissal. It is very important to be very clear about the reasons for dismissing an employee and the process followed to have been transparent and fair. In this context, fair means giving the employee a chance to improve, providing appropriate guidance and support. The procedure needs to be strictly adhered to.

Staff capability procedure – an example A staff capability procedure should begin with a statement of purpose, for example, ‘This procedure is designed to assist and encourage all members of staff to achieve and maintain standards of job performance.’

The aim of the procedure would be to: • ensure a fair and consistent approach for all • support and encourage staff who are considered to be experiencing difficulties in performing satisfactorily the duties required of their post • provide staff with an opportunity to improve.

For full details of the stages and AMiE advice, see Appendix 4.

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Diagram 9. Capability procedures: a cycle

Support, guidance and training Monitor, review, evaluate and reflect Deal with the issue

Discuss – raise your concerns Monitor, review and evaluate

First written warning

Dismissal

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Key learning points: From a manager’s perspective, ask yourself: • Have clear performance standards been set?

• Has your colleague received adequate support, guidance and training?

• Have procedures been accurately followed?

• Are personal circumstances affecting performance? What support has been offered?

• What has been the effect of poor performance on students?

• Don’t deal with capability issues alone!

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12. Conclusions Emotional radar Accurate awareness and assessment of any given situation are perhaps the most important factors in conducting the many types of critical conversation you may face. Whatever the subject of a serious conversation, (especially if this involves unexpected or difficult news), a person will have an emotional response. This will vary over time.

Reflect on...

Consider situations where you have faced different kinds of emotional responses when involved in a conversation. How did you respond: • to an angry person?

• to someone who was in tears?

When faced with anger In a violent storm most people would take shelter. This common sense approach should also be taken when confronted by aggressive or angry colleagues or stakeholders. Confronting them or responding angrily yourself will only make matters worse. When faced with someone who is angry: • remain calm and keep your dignity • be professional and determined, but emotionally aware • slowly and quietly say their first name and gradually build up the volume – this can have a disabling effect on their anger and give you a chance to use words that will bring awareness back to the situation • take shelter if you feel unsafe – withdraw or step back – let the anger dissipate.

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When faced with tears/crying A colleague in tears may well demonstrate a level of trust. You don’t need to protect a person who is crying – you can continue to challenge in a gentle but supportive manner but: • slow the pace • allow the other person to take in and process the information • silence can be ‘golden’ – don’t fill it.

“Conflict will not be effectively resolved if there is not facility for emotional release in conflict resolution.”

Roy Lilley, 2005

Boundaries Always remember that the focus is on the person at work and the impact on the organisation and its students. Do not play the amateur psychologist or social worker by getting too involved in family issues, personal or medical problems. Refer them elsewhere for advice on these types of issues.

Warning signs for referral may include: • persistent crying • severe mood swings or irrational behaviour • chronic sleep problems • suicidal thoughts.

However, do make use of a coaching and mentoring approach to encourage the person to address the fundamental issues in their life that are impacting negatively on their performance at work.

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Your response When faced with an emotional outburst from a colleague you should be mindful of the following: • What are the boundaries?

• What are the warning signs?

• How is my behaviour impacting on them?

• How is this conversation going?

• Am I talking too much?

• What are the real issues?

Managing your own emotions is therefore key.

“A Cherokee grandmother is said to have explained to her family that in times of difficulty, you find inside yourself two wolves. These wolves are in battle with your own core. One is driven by anger at the situation and seeks to rage and avenge. The other wolf is prompted by an understanding of how a situation could have transpired and professes a kinder viewpoint. Only one can be dominant with you and direct your reactions. When asked which one will win, the grandmother replies ‘the one you feed.”

Tamsin Coates, 2012

The key skills for successful critical conversations are having the courage and confidence to have them!

“I learned that courage was not the absence of fear, but the triumph over it. The brave man is not he who does not feel afraid, but he who conquers that fear.”

Nelson Mandela

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13. References Acas, April 2012. Challenging Conversations and How to Manage Them.

Acas, August 2008. Mediation: An Employers’ Guide.

AMiE, 2012. Disciplinary Problems and Grievances.

Chartered Institute of Personnel and Development. Managing Conflict at Work.

Tamsin Coates, 2012. Meanwhile I Keep Dancing, Action Deafness Books.

Department for Education, May 2012. Teacher Appraisal and Capability: A Model Policy for Schools.

Andrew Gordon–Brown, 2012. Performance Management in Schools: Making the Moral Case and Moving Things Forward (submitted for M.Ed).

Intel Insight Flybe magazine, July/August 2013.

Ofsted, May 2011. School Governance: Learning From the Best.

Roy Lilley, 2005. Dealing With Difficult People, Kogan Page.

Nelson Mandela quote from www.brainyquote.com.

Susan Scott, 2011. Fierce Conversations, Piatkus.

Susan Scott, 2012. Fierce Leadership, Piatkus.

Thomas and Kilmann, 2002. Conflict Mode Instrument.

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Useful websites Association of Managers in Education www.amie.atl.org.uk/ Teachers’ Standards www.gov.uk Investors in People www.investorsinpeople.co.uk Chartered Institute of Personnel Development www.cipd.co.uk Department for Education www.education.gov.uk/pay Departmental advice – Reviewing and revising your school’s approach to teachers’ pay, August 2013 School Teachers’ Pay and Conditions Document, 2013 Guidance on School Teachers’ Pay and Conditions, September 2013

References

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Appendix 1. Advice on case studies

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Case study

What you must, should or could do

Ryan

See text immediately after case study.

A struggling colleague

See key learning points that follow the case study.

Siobhan

Line manager must praise her strengths regularly.

Should ask her what she would like to do as a challenge? Could empower her to lead a project or shadow a more senior manager.

Jim

Line manager must have a constructive one-to-one conversation with Jim. Should try to re-motivate/ re-energise him. Could link him with a buddy or team teach.

Des

Manager must tackle this issue (do not ignore it!).

Manager should get evidence from a variety of sources. Could do a 360° appraisal with whole team as he needs to see his impact on others.

Rachel

Line manager must make her aware of her responsibilities under Teachers’ Standards Part 2.

Manager should meet with her to discuss this. Could maybe suggest alternative part-time employment (showing empathy to financial situation).

Anne

Anne must meet with the new headteacher as soon as possible to clarify the situation. She should collect evidence of all the extra-curricular activities she undertakes. She could consider other career options in another school.

Improving performance through critical conversations

Case study

What you must, should or could do

Nic

Nic must treat the deputy principal the same as the other staff. She should collect evidence of all the problems from a variety of sources. She could ask the deputy principal, “How do you think it is going?”

Shanti

Shanti must re-iterate the repro policy to Rani.

He should see his line manager about his concerns.

He could consider undertaking CPD on selfconfidence and assertiveness.

Michael/Chris

Chris must liaise with the school headteacher regarding this. He should try to get staff on board using the non-threatening ‘informal’ nature of the observations. He could contact union for advice.

Recruitment

See section: Conversations with prospective students

Hilary

Hilary must not let the situation go on any longer – grasp the nettle. She should take advice from her line manager, but then tackle it herself. She could use mediation if the situation continues.

Alan/David

See section: The joint meeting.

Francis

See section: Formal conversations about performance.

Henry/Sally

See section: Conducting a professional and formal discussion.

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Appendix 2. More questions from Ofsted Questions for managers 1. Why do you think retention rates remain considerably below national averages for FE colleges across most of the AS and A2 subjects?

What strategies are being employed to improve retention and do you think they are working this year?

2. Pass rates in most AS subjects (excluding AS History and Geography) are low. Why do you think this is and what strategies are being employed to address this issue?

3. Progression rates from AS to A2 are generally low across the area.

Why do you think this is and what strategies are being put in place to address this issue? What is the picture for this year?

4. Do you have any examples of tackling weakness in the performance of teachers in the last year or two?

5. As managers, how do you monitor the progress of individual students across the courses? How does this monitoring inform intervention when underperformance is identified and suitable progress is not being made at individual ‘at risk’ student level?

6. As managers, how do you ensure that best practice is shared between teachers and courses?

7. What is support like for students? How do you monitor its effectiveness?

Tell me about the ‘newly designed tutorials’ referred to in the SAR. 8. How would you describe teaching and learning in the department?

9. What are the strengths and areas for development of the subject?

10. The SAR states that ‘Student feedback is valued and acted on effectively, informing innovation and development in learning and teaching’. Can you give me some examples?

11. How do you set targets for improvement? What are the key targets for this year? How are your projections looking?

12. How do you involve all staff in self-assessment and action planning?

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13. How do lesson observations work? What happens as a result of lesson observation findings? How do you monitor the quality of classroom practice on a daily basis?

14. How do you account for the very high proportion of good/outstanding teaching versus data considerably below national benchmarks?

15. How do you work with senior managers to ensure quality improvement?

16. How do you ensure the professional development of your staff?

17. How do you ensure that students ‘feel safe’?

18. How are equality and diversity issues addressed/given importance in English?

19. What do you think of the learning environment in the area?

Resources/facilities/accommodation/displays?

Questions for teachers/staff Outcomes 1. Why do you think retention rates fell this year, with the exception of AS English Literature? What strategies are you putting in place this year to retain students?

2. How is best practice shared across the teaching team?

3. What strategies are in place to address the underperformance in AS English language/literature last year?

4. How do you monitor student progress in English?

5. How does assessment inform teaching and learning?

6. How do you use targets for students to improve their grades?

7. What sort of data do you look at? When do you look at it?

What use do you make of ethnicity and diversity measures?

8. How do you stretch the more able students in lessons?

9. Functional skills?

10. Enrichment?

11. Retention? Progress this year?

Appendix 2. More questions from Ofsted

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12. IAG? 13. How is data used to drive improvements?

Provision 14. How would you describe teaching and learning in English? What are the strengths and areas for development of the subject? What are your key areas of focus for this year?

15. How do you involve students/parents/other stakeholders in improving the English provision?

16. What links do you make use of with partners outside the college?

What are the benefits of these partnerships? How do you work with local high schools?

17. What enrichment opportunities are available in English? What is participation/uptake like?

18. What is support like in English? Workshops/revision sessions/ re-sit classes?

Leadership and management 19. How do you set targets for improvement? What are the key targets for this year?

20. How are you involved in self-assessment and action planning?

21. How do lesson observations work? What happens as a result of lesson observation findings? How often are your lessons looked at?

22. Do you feel that you get enough opportunities for CPD? 23. How do you ensure that students ‘feel safe’? Have you had safeguarding training? What would you do if there was a safeguarding issue?

24. How are equality and diversity issues addressed/given importance in English?

25. What do you think of the learning environment in English?

Resources/facilities/accommodation/displays?

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Questions for students Purpose of meeting – students are the customers; important to have your views on your experiences at college; confidential/anonymous; no staff names needed.

Which courses are you on? Which year are you in?

Outcomes 26. How would you describe the progress you have made on your course?

27. Do you have target grades? Are they difficult to achieve? What happens if you don’t meet them? How are they used to help you improve?

28. Do your parents know how much progress you are making?

29. Do you feel stretched/challenged on your course? How? 30. How often are you tested/assessed on the work you have done?

How much homework do you get?

31. How much feedback do you get on your work? Is it helpful?

32. Do you enjoy your lessons? What are your favourite subjects and why?

33. How would you describe the way your teachers teach? What activities do you do in lessons?

34. How could teaching in your subjects be improved in your opinion?

35. Do you feel well prepared for your exams?

36. What do you do if you ‘fall behind’ in lessons? Do you ask for help?

37. What other types of support are available for your subjects? Revision classes/workshops etc?

38. What happens if you are absent? How do you catch up? Do you feel that teachers monitor your attendance?

39. Do you have access to learning materials outside lessons, eg VLE/LRC? 40. Do you use technology a lot in your lessons?

41. Are you encouraged to be independent learners and take responsibility for your learning? How?

Appendix 2. More questions from Ofsted

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42. Do you feel that your views/opinions about your subjects are listened to?

Any examples of teachers changing the way they do things based on feedback you have given?

43. What enrichment/additional activities are available to you? Is work experience encouraged? Do you go on regular trips/visits?

44. Did you have an assessment at the beginning of your course to see if you needed extra help throughout the year?

45. What guidance/advice have you had about HE/future careers?

46. Do you feel treated equally and with respect?

47. Do you feel safe in college?

48. Are you encouraged to be ‘healthy’ ie eating habits, exercise, and health issues in class?

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Appendix 3. Additional advice for performance-related pay Documents are available for download from the DfE website at www.education.gov.uk.

Pay policies Further examples of pay policies that are being implemented by schools and LAs can be found at www.education.gov.uk/schools/careers/ payandpensions/a00203870/strb-remit-21st-report.

Appraisal Appraisal arrangements in England from September 2012 (including the DfE’s optional model policy) can be located at www.education.gov.uk Appraisal arrangements in Wales (including model policy template) can be located at http://wales.gov.uk.

Appendix 3. Additional advice for performance-related pay

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Appendix 4. The stages of a capability process Stage 1 – Informal process Essential practice

Recommended approach

• Individual discussions.

• Raising the issue(s) with the person – concerning alleged incompetence.

• Notification in advance that the informal process has begun.

• Notes taken.

• Counselling.

• Review of responsibilities.

• Provision of materials.

• Opportunities to see good practice.

• Expected standard of performance identified and discussed.

• Agreed targets and timescales.

• On-going support for six–eight weeks.

• In the vast majority of cases, no further action will be required.

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• Offering appropriate support, advice and training. The nature of the alleged shortcoming to determine the nature of the help to be provided.

• An agreed action plan to be drawn up with the member of staff.

• Review of action plan to assess whether standard of expected performance has been achieved.

Stage 2 – Formal process The first informal meeting Essential practice

Recommended approach

• Written communication with the member of staff informing them that performance is still unsatisfactory.

• Member of staff must have at least 10 working days’ notice to attend the meeting.

• An invitation to discuss their performance at a formal meeting, where usually there will be an HR presence.

• The reason why the member of staff has not met the required standards will be explored.

• An agreed action plan should be discussed and set to include: • A schedule of regular meetings to monitor and discuss standards of performance in respect of agreed objectives and job requirements.

• Outline any further support and training to be provided.

• The member of staff has the right to be accompanied at the meeting by a TU representative or workplace colleague.

• This action plan should be issued in a letter and a date for the review.

• This will be a first written warning and make it clear that the member of staff’s job is at risk if the targets and objectives are insufficiently addressed.

• The right of appeal should also be explained.

• A copy of the letter will be retained for a period of 12 months.

• Set a timescale for improvement (approximately six-eight weeks).

• The review meeting at the end of the agreed timescale, concludes either that performance has improved to an acceptable level and must be sustained and will be monitored or the desired improvements have not been achieved and Stage 3 will be invoked.

Appendix 4. The stages of a capability process

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Stage 3 – Formal process Essential practice

Recommended approach

• Written invitation to attend a second formal meeting, allowing for 10 days’ notice.

• Ensure the member knows that they have the right to be accompanied.

• Outline the capability issues.

• There must be opportunities for responses and to provide an explanation for the unsatisfactory performance.

• Documentary evidence should be circulated at least 48 hours in advance of the meeting.

• Again, at this meeting there will be a conclusion as to either there is a need for a further review period or that performance has improved to an acceptable level that must be maintained and will be monitored but no further action will be taken.

• If there is another review period with continued support, a timescale of six–eight weeks should be agreed and a date for the review meeting.

• A final written review warning letter to be issued highlighting the consequences and seriousness of not achieving satisfactory performance.

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• The member of staff must be advised of their right to appeal.

• Redeployment into another role most suited to the member of staff’s skills and abilities could be considered. This is at the discretion of the manager.

• A copy of the letter will be retained in the confidential personal file for a period of 12 months.

Stage 4 – Formal hearing Essential practice

Recommended approach

• After the second hearing, if the required improvements in performance have not been made to the required standard the matter should be referred to the headteacher/principal.

• Letter giving the member of staff no less than 10 working days’ notice. The letter will outline the capability issues.

• Member of staff invited to attend a formal meeting.

• The member of staff will have the right to be accompanied by a TU representative or a workplace colleague.

• The meeting to be conducted by the headteacher/principal and a senior member of staff or a HR specialist.

• Documentary evidence should be circulated at least 48 hours in advance of the meeting • Both statements of the case plus any relevant documentation, including confirmation of witnesses to be called, should be available to all parties involved at least 48 hours prior to the meeting.

This will be facilitated by HR.

• The headteacher/principal will explore the issues in an open and constructive manner, with • There will be a prepared statement opportunities for all sides to put of the case summarising the action forward their case and calling which has been taken so far to witnesses where appropriate. address the member of staff’s performance issues.

• The headteacher/principal will consider redeployment to a • The member of staff will also have suitable alternative post as an the opportunity to present a case. alternative to dismissal.

• Neither side will be able to submit additional information or evidence of any other factors at the meeting.

• If, after taking into account the evidence, the headteacher/principal considers that performance has not been sustained, consideration will be given to terminating the members of staff’s employment.

Appendix 4. The stages of a capability process

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Right of appeal Where a member of staff has been dismissed, they have the right to appeal to the governing body and this will be dealt with under the appropriate delegated procedures as set out in the Articles of Governance. The decision at appeal is final.

Acknowledgements Our thanks are due to our colleagues at Promoting Excellence, Ray Begley, Jane Molloy and Jim Fogarty; Andrew Gordon–Brown, headmaster at Truro School and the management consultancy firm, the Hay Group.

We would also like to thank our colleagues in schools and colleges, in particular: Christ the King College, London Eden Valley Schools Huddersfield New College Joseph Chamberlain Sixth Form College, Birmingham Macclesfield College Our Lady’s RC primary school, Haigh, Wigan Priestley Sixth Form College, Warrington Salford City College South Sefton Sixth Form College, Merseyside St Augustine’s RC High School, Redditch St John Rigby Sixth Form College, Wigan St Marie’s RC Primary School, Standish, Wigan St Peter’s High School, Orrell, Wigan Truro School, Cornwall Peter Rushton and Pauline Morris, Promoting Excellence

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AMiE produces a range of resources – all free to members – that can be used either towards your CPD or as an aid to your working practice.

Listed below is a selection; for full details visit AMiE’s website at www.amie.atl.org.uk.

OUTSTANDING PERFORMANCE SERIES

Data gold The importance of management systems data for colleges

by Russell Pearson and Steve Ormrod

AMiE is ATL’s section for leaders in education

How to Survive at the Top Volume 1: Understanding Leadership Volume 1 – Managing change: A strategic approach Peter Rushton and Pauline Morris

Nuts and Bolts Volume 1: Managing Change

How to Survive at the Top Volume 2: Management and Leadership Volume 2 – Finance: A practical guide Alan O’Reilly and Pauline Morris

How to Survive at the Top Volume 3: Leadership and Performance

Data Gold: the Importance of Management Systems Data for Colleges

Finished with your copy?

Pass it on to other colleagues who might find it useful.

Nuts and Bolts Volume 2: Finance

© AMiE 2013. All rights reserved. Extracts from this document may be reproduced for non-commercial education or training purposes on condition that the source is acknowledged. Otherwise, no part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, electrical, chemical, optical, photocopying, recording or otherwise, without prior written permission of the copyright owner. vii

The Outstanding performance series seeks to help leaders and managers raise the performance bar by optimising the effectiveness of their staff and resources. AMiE offers help and guidance to enable leaders and managers drive the performance agenda rather than feel driven by the process of inspection.

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