Section 1: Summary of the Key Points and Changes for Round9(008/09)

THRESHOLD APPLICATIONS IN ROUND 9 (2008-2009)

PRACTICAL ADVICE FROM THE NUT TO NUT MEMBERS IN ENGLAND AND WALES

INTRODUCTION

1. This NUT guidance provides practical advice to applicants on the threshold standards and threshold application process in England and Wales for 2008-09.

2. The statutory basis for assessment against the post-threshold standards is contained in the School Teachers’ Pay and Conditions Document (STPCD) 2008. The full text of the STPCD, including its accompanying statutory guidance, is available on the Teachernet website at www.teachernet.gov.uk/pay.

3. When you complete your threshold application form you will need to set out in your own terms the work and achievements that you wish to be considered against the standards. These guidelines help you present your case to the best effect.

4. The DCSF website contains detailed guidance in the ‘DCSF Threshold Application Support Pack for Schools’ (referred to in this NUT document as ‘the DCSF guidance’), together with a model Threshold Assessment Application Form for applicants, at www.teachernet.gov.uk/threshold. You can also obtain further information on performance threshold assessment by contacting your head teacher or local authority. It is essential that applicants read all the documents referred to above before completing this application.

5. The DCSF guidance should be read carefully and completely. The DCSF has provided its own guidance with regard to each of the standards in the application form. The NUT’s guidance complements that of the DCSF on the standards.

SECTION 1: SUMMARY OF THE KEY POINTS AND CHANGES FOR ROUND 9 (008/09)

This extract from the DCSF Threshold Assessment 2008/9 Guidance identifies the statutory provision in the 2008 STPCD.

6. This guidance supplements the statutory provisions in the 2008 STPCD by providing an aide-mémoir for teachers applying for assessment to ‘cross the threshold’, and for those involved in conducting assessments against the post- threshold standards in the school year 2008/09 (Round 9).

 Teachers who want to apply in Round 9 must do so on or after 1 September 2008 but no later than 31 August 2009.

1  The post-threshold standards have been revised. All applications in Round 9 will be assessed against these revised standards which are now known as the post-threshold standards and are set out in Annex 1 of the STPCD and apply in England and Wales. The post-threshold standards are set out in Annex A of the NUT guidance.

 The model application form has been updated to reflect the changes to the standards.

 Appeals against being assessed as not yet meeting the standards are dealt with under the statutory pay appeals process which schools are required to have.

 Round 9 will have two cohorts. Successful Round 9 cohort 15 teachers will move to U1, backdated to 1 September 2008. Successful Round 9 cohort 16 teachers will move to U1, with effect from 1 September 2009. The cohorts in Round 9 are explained on page 3 of this guidance and an explanatory flow diagram is provided at Annex B of the NUT Guidance.

 Teachers who were unsuccessful in any previous Round and teachers who have not yet been notified of the outcome of their appeal may apply again in Round 9.

 Relevant evidence must be taken from the most recent 2 year period – page 7 of this guidance.

 Teachers can only apply for assessment against the post-threshold standards once in any school year.

Teachers can apply for threshold assessment once only in any school year.

SECTION 2: ELIGIBILITY

This extract is taken from the DCSF Threshold Assessment 2008/09, Round 9: Guidance.

Requirements for Eligibility

7. Assessment is open to all teachers who, at the time when they apply:

 are statutorily employed under the STPCD 2008; and

 are paid on point M6 of the pay scale for qualified classroom teachers; and

 have Qualified Teacher Status (QTS); and

 apply on or after 1 September 2008 but no later than 31 August 2009.

2 8. Teachers employed by local authorities in other non-standard settings, such as local authority advisory and support teams, peripatetic teams, EMAG teams and PRUs, are also entitled to apply for threshold assessment. Teachers not working in schools should substitute ‘service manager’ or ‘line manager’ wherever ‘head teacher’ appears in this guidance, and substitute ‘service’ wherever it states ‘school’. In the case of unattached teachers, substitute, ‘the person with management responsibility for the applicant’ wherever ‘head teacher’ appears in this guidance, and substitute ‘setting’ wherever it states ‘school’.

9. Other teachers not employed in local authority maintained schools, including teachers in Academies, CTCs, residential special schools, non-maintained special schools and independent schools and supply teachers employed by agencies, should consult the guidance in Annex C of this NUT guidance.

10. Finally, some groups of teachers are entitled to be paid automatically on the Upper Pay Scale on taking up posts as classroom teachers in local authority maintained schools or in local authority services. See Annex D of this NUT guidance for details.

11. Teachers do not receive a formal threshold certificate when they meet the post- threshold standards. If teachers need to inform employers that they have met the standards they should use the existing methods of proving their pay entitlement such as the pay determination notification from their school/employer or whatever other means are used at local level to ascertain what pay entitlement a teacher has when moving schools or re-entering teaching.

12. Head teachers or teachers in circumstances where eligibility is not clear should refer to the STPCD 2008 or contact the DCSF’s Public Enquiry Unit on 0870 000 2288.

Round 9 Cohorts and Payment Dates

This extract is taken from Threshold Assessment 2008/09, Round 9: Guidance.

Round 9 Cohort 15 Teachers

13. This includes eligible teachers who:

 first became eligible in Round 8 (i.e. were placed on M6 on or after 1 September 2007 but on or before 31 August 2008) and chose not to apply; or

 first become eligible in Round 7 or any previous Round (i.e. were placed on M6 on or before 31 August 2007).

14. All successful applicants in Round 9 cohort 15 will move to U1 backdated to 1 September 2008.

15. The STPCD statutory guidance requires that all schools have a pay policy setting out the timetable for decisions and that any pay decisions relating to the pay assessment for 1 September each year are taken by 31 October. Whilst the NUT favours decisions being taken as early as possible, all decisions should be taken by that date.

3 Round 9 Cohort 16 Teachers

16. A flow diagram is provided at Annex B to assist in determining the eligibility and payment dates for applicants and supplements the information in this section.

17. This includes eligible teachers who:

 first became eligible in Round 8 (i.e. were placed on M6 on or after 1 September 2007 but on or before 31 August 2008) and applied but were assessed as not having met the standards in Round 8; or

 first became eligible in Round 9, or any previous Round (i.e. were placed on M6 on or after 1 September 2008 but on or before 31 August 2009).

18. All successful applicants in Round 9 cohort 16 will move to U1, backdated to 1 September 2009.

Teachers who are Unsuccessful in Round 9 or who do not Apply

19. These teachers may make a new application in any subsequent Round, so long as they meet the eligibility criteria for that Round at the time they apply. Only one application may be made in any Round.

20. Changes will be made from 1 September 2009 to remove the provision for backdating Threshold payments to 1 September in the school year in which the teacher made the application. Teachers who apply successfully in Round 10 will move to U1 from 1 September 2010 – there will be no circumstances where backdating will apply.

21. The consequence of this change is that any teacher who is entitled to apply for threshold assessment but who has never applied, or who has applied and been unsuccessful, will need to make a successful application in Round 9 in order to receive payment at U1 with effect from 1 September 2008.

The Standards

22. The performance threshold standards have been revised. All applications in Round 9 will be assessed against those revised standards which are now known as the post-threshold standards, as set out in this guidance.

Process for Applications

23. Applying for assessment is a voluntary process and entirely a matter of choice for individuals. Teachers are responsible for applying for assessment and they must apply to the head teacher of the school at which they are employed to teach.

24. Although not a statutory requirement, DCSF recommends that schools use the model application form in Round 9 to help ensure consistency of assessment.

25. Since 2004, there has been no system for external assessment or verification of head teachers’ decisions on threshold applications. Appeals against decisions

4 to deny threshold applications are heard according to the school’s procedure for hearing teachers’ pay grievances.

Outstanding Applications from Round 8 (2007-08) or Earlier that have not yet been Assessed

26. An outstanding application from Round 8 or earlier that was passed to a head teacher by an eligible teacher within the deadline on which they had to submit their application, but which has not yet been assessed, must be dealt with under the arrangements for the round in question.

27. Where an outstanding application is subsequently assessed as meeting the standards, the successful teacher will have their pay backdated in accordance with the STPCD.

28. Some schools expect teachers to submit applications by a specific date. In such cases, it might be appropriate to seek to submit the application by then but the teachers will have the absolute right to submit the application at any point up to and including 31 August of the school year.

29. The STPCD requires pay assessments to be completed by 31 October.

Future Threshold Applications: 2008/09 (Round 9) and Beyond

30. Although it is too early to provide details about the future threshold process, the Department is working on the assumption that, from 1 September 2009 (what would be Round 10), schools should be making their assessment on whether a teacher meets the post-threshold standards based on the outcomes of their last two performance reviews3. At that point there will no longer be a need for teachers to complete a separate threshold application form.

SECTION 3: ROLES AND RESPONSIBILITIES

31. This extract from the DCSF threshold guidance identifies the various roles and responsibilities for threshold assessment.

The relevant body

32. The relevant body has legal responsibility for the assessment process but it is required to delegate the receipt and assessment of applications to the head teacher.

3 For the purposes of this document, a ‘performance review’ means: • (for teachers in England) any review of performance undertaken under the Education (School Teacher Performance Management) (England) Regulations 2006 or the Education (School Teacher Appraisal) (England) Regulations 2001;

• (for teachers in Wales) any review of performance - including if appropriate a review undertaken under the School Teachers Appraisal (Wales) Regulations 2002. For those teachers currently outside the 2002 regulations, relevant bodies need to ensure that they review the performance of teachers on an annual basis where applicable for pay progression purposes.

5 33. The relevant body, on receiving notification of a successful application, is under a duty to move the teacher concerned to U1 of the pay scale for post-threshold teachers, in accordance with paragraph 19 of Section 2 of the STPCD. For guidance and an explanatory flow diagram on payment dates refer to [Annex B of the NUT guidance].

34. The relevant body must establish procedures for hearing appeals.

The head teacher

35. Head teachers have a professional duty (see paragraph 60.10 of Section 2 of the STPCD) to assess threshold applications (including those from teachers currently absent from school for any reason and those who have left the school after submitting their application), and to provide feedback to the teacher. This duty cannot be delegated to a deputy or assistant head teacher, except in the absence of the head teacher when the deputy may exercise this duty.

36. Where a teacher has cited evidence from more than one school, head teachers should consult the previous head teacher(s), in order to verify the accuracy of that evidence and whether it is representative of the teacher’s performance.

37. The head teacher should promptly notify the relevant body of his decision on the application once it has been assessed, and also notify the teacher within 20 working days.

38. Head teachers should keep the contents of threshold applications and all other documents associated with an applicant’s application confidential. Head teachers should not disclose details to anyone who is not involved in assessing or reviewing the application.

A manager of teachers

39. Teachers who manage staff have a professional duty (see paragraph 72.11.2 of Section 2 of the STPCD) to assist, on request, the head teacher to carry out threshold assessments of the teachers they manage. The duty can only reasonably apply to teachers with management responsibilities who have an overview of the relevant aspects of the work of the teachers concerned. Such managers could be a head of department, a key stage co-ordinator or a member of the leadership group.

Equal Opportunities Monitoring

40. The threshold application form asks applicants to provide information on their gender, ethnic origin and any disability. The NUT supports the DCSF’s intention to monitor the profile of those applying for threshold assessment and the outcomes using the information provided by applicants. The purpose of this information is to ensure that the threshold assessment process operates in a fair and non-discriminatory manner. Applicants are strongly advised to complete the section on ‘Personal Details’ in full. In previous years, the DCSF has said that it had insufficient data from which to carry out adequate equal opportunities monitoring.

6 SECTION 4: MAKING YOUR APPLICATION

Timetable for Applications

41. As noted earlier, teachers who want to make a threshold application in Round 9 must do so no later than 31 August 2009.

42. The national application form for the threshold assessment is no longer mandatory but the DCSF advises that this form should be used in Round 9 to ensure consistency. The model application form is available as part of the DCSF guidance.

Applications, Evidence and Absence

Applications

43. Applying for assessment is a voluntary process and entirely a matter of choice for individuals. Teachers are responsible for applying for assessment and they must apply to the head teacher of the school at which they are employed to teach. Although not a statutory requirement, DCSF recommends that schools use the model application form in Round 9 to help ensure consistency of assessment.

Evidence

44. It is the teacher’s responsibility to provide summarised evidence – in the form of concrete examples from their day-to-day work – in support of an application. This evidence should be as recent as possible and clearly demonstrate that the teacher has worked at the level indicated by the post-threshold standards for a sustained period immediately before the application is submitted.

45. Normally, the evidence should cover two years leading up to and ending at the date of their application. In certain circumstances, evidence collated over a period of up to five years can be taken into account. The evidence of teaching should be taken from all educational settings where the applicant has taught children of school age (up to 19 years of age).

46. Paragraph 1.8 of Section 2 of the STPCD defines what counts as a year for the purpose of threshold assessment. The STPCD permits certain periods of absence to be counted towards the period of a year.

47. Head teachers will be seeking to determine whether the evidence is accurate and is indicative of the teacher’s overall performance against the post-threshold standards.

48. There is no requirement to prepare portfolios of supporting evidence. However, teachers must have access to all evidence cited and key supporting material such as feedback from classroom observation, pupils’ work, their own records or schemes of work.

49. When making their applications, teachers may want to draw upon evidence from the outcomes of their performance reviews. Over time it is expected that information from performance reviews – including information from classroom observations – will provide the bulk of the evidence used to support an applicant’s application.

7 Use of Indirect Evidence

50. Teachers working in a support or advisory capacity, including unattached teachers, will draw on evidence which relates to their specific role. Where they do not have direct contact with pupils, they should demonstrate that they meet the post-threshold standards through the advice and support that they provide. They should be able to show that they have made a contribution to the progress made by pupils taught by those to whom they provide advice.

Absence

51. Teachers who have not been teaching children up to 19 years of age in the two years immediately preceding their application and who are not covered by the specific absences defined in paragraph 1.8 of the STPCD, but who have worked for an aggregate period of at least two years in the five years preceding their application, should cite evidence from the most recent two year period (or an aggregate) ending at the point when they last taught children up to 19 years of age. They should not cite evidence more than five years old.

52. Absences not covered by paragraph 1.8 of the STPCD could, for example, be as a result of the teacher: being an applicant who has taught entirely outside the maintained or school sector; having been on secondment; having been on study leave; having been on a career break for reasons other than those specifically covered by paragraph 1.8 and regardless of whether the break was in-service or not.

53. All teachers must be in-service on the date of their application to be eligible to apply. Teachers can be absent from work on the date of application, such as being on maternity or similar leave, study leave, sickness absence, career break or secondment, etc., as long as they are still in service.

Teachers who Work in Two or More Schools Simultaneously

54. Where a threshold applicant is simultaneously employed to teach at two or more schools (e.g. part-time teachers, or supply teachers attached to those schools) the teacher should submit their application to the head teacher of the school at which they spend most time. The head teacher of that school would then assess the application, with appropriate input from the head teachers of the other school or schools. Where the teacher spends equal time in each school, they should submit their application to the head teacher of the school at which they have been employed the longest, and the head teacher of that school would then be responsible for making the assessment. The head teacher who will be conducting the assessment should consult with the other head teachers in assessing the application and they should participate in the assessment.

55. Where all the relevant head teachers agree, it is also possible for any one of them to assess the application if appropriate. Regardless of the number of head teachers who contribute to the assessment, only one head teacher should decide whether each of the standards has been met.

56. Teachers may make only one application, however many schools they work in.

8 Teachers who Have Worked in Two or More Schools During the Evidence Period

57. Teachers who cite evidence from more than one school (e.g. teachers who have changed jobs) should submit their application to the head teacher of the school they are contracted to work in on the date of submission of their application. That head teacher should consult with the head teachers of the other schools in assessing the application and those head teachers should participate in the assessment.

SECTION 5: ASSESSMENT AGAINST THE POST-THRESHOLD STANDARDS

Standards for Teachers

58. The revised standards for post-threshold teachers, which are set out in Annex 1 of the STPCD, came into effect from 1 September 2007. (In England, these standards are part of a new framework of professional standards for post- threshold teachers (see Annex A) which is intended to help teachers as they plan their careers and discuss their future development with their line managers.

The Assessment Process

59. The head teacher must first be satisfied, through the outcomes of performance reviews, that the teacher meets the core standards4 before going on to assess whether the teacher meets the post-threshold standards.

60. If the head teacher is not satisfied that the teacher meets the core standards, the application must be rejected and the teacher provided with a written explanation for the rejection. The head teacher should do this within 20 working days of informing the relevant body of the decision. In such cases no assessment will be carried out against the post-threshold standards.

61. You should provide evidence for all the standards to show that you have worked at the standard for the last 2-3 years. In the exceptional circumstances outlined earlier, where you have been absent from teaching in the two years prior to application, you can refer to evidence shown in the preceding three years of work.

62. Your head teacher’s or line manager’s assessment must be based primarily on the evidence included in your application form.

63. You should not assume that because your head teacher or line manager knows you, it is not necessary to describe your successes and approaches to teaching. The application should be treated as if it were an application for a post.

64. The evidence of teaching must be taken from all educational settings where the applicant has taught children up to 19 years of age in the two years immediately preceding applying.

4 The full revised standards can be found in Annex I of the STPCD and in Annex A of the DCSF threshold guidance.

9 SECTION 6: THE THRESHOLD STANDARDS

65. This extract from the DCSF threshold guidance explains what the revised standards for post-threshold teachers mean.

General

Professional Standards for Teachers

66. These revised standards for post-threshold teachers are set out in Section 1 Annex 1 of the 2007 STPCD and came into effect from 1 September 2007.

67. The framework as a whole, as set out here, applies in England only. The standards for Post-Threshold Teachers, Excellent Teachers and ASTs are pay standards (as set out in the School Teachers’ Pay and Conditions Document) and apply in England and Wales.

What these standards cover

68. Professional standards are statements of a teacher’s professional attributes, professional knowledge and understanding, and professional skills. They provide clarity of the expectations at each career stage. The standards are not to be confused with and do not replace the professional duties contained in the School Teachers’ Pay and Conditions Document, which set out the roles and responsibilities of teachers.

69. The framework of standards below is arranged in three interrelated sections covering:

(a) Professional attributes.

(b) Professional knowledge and understanding.

(c) Professional skills

70. The standards clarify the professional characteristics that a teacher should be expected to maintain and to build on at their current career stage. After the induction year, therefore, teachers would be expected to continue to meet the core standards and to broaden and deepen their professional attributes, knowledge, understanding and skills within that context. This principle applies at all subsequent career stages. So, for example, teachers who have gone through the threshold would be expected to continue to meet the core and post-threshold standards and to broaden and deepen their professional attributes, knowledge, understanding and skills in that context. There are no new criteria for pay progression for teachers paid on the upper pay scale in the 2006 School Teachers’ Pay and Conditions Document.

71. All teachers should have a professional responsibility to be engaged in effective, sustained and relevant professional development throughout their careers and all teachers should have a contractual entitlement to effective, sustained and relevant professional development throughout their careers. There should be a continuum of expectations about the level of engagement in professional development that provides clarity and appropriate differentiation for each career stage. The expectations about the contribution teachers make to the

10 development of others should take account of their levels of skills, expertise and experience, their role within the school, and reflect their use of up-to-date subject knowledge and pedagogy. 5

72. In all these cases, performance management is the key process. Performance management provides the context for regular discussions about teachers’ career aspirations and their future development, within or beyond their current career stage. The framework of professional standards will provide a backdrop to discussions about how a teacher’s performance should be viewed in relation to their current career stage and the career stage they are approaching. The relevant standards should be looked at as a whole in order to help teachers identify areas of strength and areas for further professional development. For example, a teacher who aspires to become an AST will need to reflect on and discuss how they might plan their future development so they can work towards becoming an AST and performance management would provide evidence for the teacher’s future application.

73. The framework of standards is progressive, reflecting the progression expected of teachers as their professional attributes, knowledge and understanding and skills develop and they demonstrate increasing effectiveness in their roles. Post- Threshold Teachers are able to act as role models for teaching and learning, make a distinctive contribution to raising standards across the school, continue to develop their expertise post-threshold and provide regular coaching and mentoring to less experienced teachers.

74. All the standards are underpinned by the five key outcomes for children and young people identified in Every Child Matters and the six areas of the Common core of skills and knowledge for the children’s workforce. The work of practising teachers should be informed by an awareness, appropriate to their level of experience and responsibility, of legislation concerning the development and well-being of children and young people expressed in the Children Act 2004, the Disability Discrimination Acts 1995 and 2005 and relevant associated guidance, the special educational needs provisions in the Education Act 1996 and the associated Special educational needs code of practice (DfES 2001), the Race Relations Act 1976 as amended by the Race Relations (Amendment) Act 2000, and the guidance Safeguarding children in education (DfES 2004).

75. Nothing in the professional standards militates against teachers taking lawful industrial action.

76. Note on the terminology used in the standards 1 • The term ‘learners’ is used instead of ‘children and young people’ when learning per se is the main focus of the standard. It refers to all children and young people including those with particular needs, for example, those with special educational needs, looked after children, those for whom English is an additional language, those who are not reaching their potential or those who are gifted and talented. 2

5 Extract from the Rewards and Incentives Group (RIG) evidence (Section 9 ‘The New Professionalism’) to the STRB on 25 May 2005.

11 • The term ‘colleagues’ is used for all those professionals with whom a teacher might work. It encompasses teaching colleagues, the wider workforce within an educational establishment, and also those from outside with whom teachers may be expected to have professional working relationships, for example early years and health professionals and colleagues working in children’s services. 3 • The term ‘classroom’ is used to encompass all the settings within and beyond the workplace where teaching and learning take place. 4 • The term ‘workplace’ refers to the range of educational establishments, contexts and settings (both in and outside the classroom) where teaching takes place. 5 • The term ‘subjects/curriculum areas’ is used to cover all forms of organised learning experienced across the curriculum. For example, areas of learning in the foundation stage, broad areas of curricular experience and learning through play in the early years, thematically structured work in the primary phase, single subjects, vocational subjects and cross-curricular work in the 14–19 phase.

• The terms ‘lessons’ or ‘sequences of lessons’ are used to cover teaching and learning activities wherever they take place, whatever their nature and length, and however they might be organised, and are applicable to all educational phases and contexts.

SECTION 7: COMPLETING THE APPLICATION FORM

77. This NUT’s advice on completion of the application form should be read in conjunction with the DCSF guidance. You should read both sets of guidance carefully and the application form should be studied in detail before you begin to complete it.

78. Before setting pen to paper or word processing your application, you will need to prepare thoroughly and collect all the evidence and data necessary for reference and to be cited in your application. This preparation is an essential stage in the process of completing your application. The sooner you begin to bring it together, the more confident you will be and the better will be your application.

79. If necessary, you should seek the appropriate data from your head teacher or ‘line manager’. You may need to seek advice about how to interpret and present the data and this is best done well before you begin to complete the form.

80. It is likely that you will have available a wide range of documents giving advice and hints on how to succeed in crossing the threshold. Some will give ‘model answers or exemplars’. The NUT’s advice is to be cautious about moulding your circumstances on the models of others and to focus your efforts on telling your story in your own style and your own words.

81. If you do not work in a school, references to “head teachers” should be read as referring to “line managers” or “service managers” as appropriate. Teachers working in a support or advisory capacity will draw on evidence which relates to their specific role. Where they do not have direct contact with pupils, they should

12 demonstrate that they meet the standards through the advice and support that they provide. They should be able to show that they have made a contribution to the progress made by pupils taught by those to whom they provide advice.

82. In completing the application form, the points set out below will be helpful.

 Almost invariably, mistakes are made when application forms are completed for the first time. If possible, word-process the completion of your form. Where the form is not completed electronically, it is a good idea to photocopy your application before submission.

 When writing an application form, it is vital that each idea and theme has its own physical space. An undifferentiated block of text in the form of a long paragraph, is hard to read. One method of keeping each response as concise as possible is to confine each idea to a single paragraph and to highlight that paragraph by a bullet point.

 Keep sentences short. A good rule is, “one thought, one sentence”.

 It is essential that repetition and overlap is minimised.

 References to other documents, reports or examples of pupils’ work should be referred to in order to support evidence of pupil achievement.

 Back each statement under each standard with evidence. The forms of those who have applied successfully previously have generally contained concise ‘sign-posts’ to where evidence could be found, rather than detailed descriptions of the evidence itself. Emphasise in your application form evidence that is broadly representative of your practice. When you cite the evidence, you need to explain briefly why the evidence is broadly representative.

 Your application form must demonstrate and provide evidence. One way of providing concrete and practical evidence is to describe the achievements of individual pupils or groups of pupils. Sign-posted examples of evidence can include the highlighting of the work of identifiable pupils and must be verifiable as broadly representative of the work of the pupils you teach.

 You should not attach anything to the completed ‘model’ application form. It is essential, however, that your evidence is ready or readily available, should it be called for by your head teacher when verifying your application.

 Demonstrate that you can cope with and teach the range of pupils in your school. Applicants must have access to all evidence cited on the form and any key supporting material such as feedback from classroom observation, pupils’ work, their own records or schemes of work.

 If you are a teacher in different circumstances, you may find it hard to provide direct evidence for some of the standards. This should not inhibit you, however, from identifying the impact that you have had indirectly either on the work of schools, or on local education authority policies

13 relating to the standards. It is essential, however, even though you are working in a non-standard setting, that where you make an assertion, you can verify it by actual evidence.

 Make a copy of your application form before handing it to your head teacher or line manager. Keep a record of the evidence to which you have referred under each standard.

Help and Support from within the School

83. The DCSF makes it clear that the application form and all other documents associated with an application should be kept ‘confidential’. Head teachers may disclose, however, all or part of teachers’ applications to other members of the Leadership Group, other teachers with management responsibility for the applicant, and any other person with responsibility for quality assurance of assessments or monitoring equal opportunities.

84. How you complete the form and whom you consult is entirely up to you.

85. You should ask your head teacher, or appropriate member of the senior management team, what guidance and support is available to help you fill in your application form. Such guidance and support may come from your head teacher, from your line manager or curriculum co-ordinator, or from the reviewer responsible for reviewing your performance management objectives. Ask your head teacher/line manager if training is available to help you to complete your threshold application form correctly. Some schools have produced internal guidelines for application. Ask your head teacher or line manager whether any guidelines are available.

86. One of the most difficult aspects of completing an application form is overcoming a natural reticence to focus on your own expertise and achievements. It may not be easy to articulate the processes and knowledge involved in your work, particularly when such work requires considerable knowledge, understanding and skills. You will find it helpful to make a full list of all the aspects of teaching that you enjoy and that you believe you are good at.

87. The evidence from previous rounds is that where applicants worked collaboratively, they often felt more confident about having covered all the standards in the application form. ‘Brainstorming’ your approach to the form with colleagues, with a friend, or with a partner, can therefore be helpful. It will be a matter of considered judgement from whom to seek advice, and with whom to share ideas when completing an application from. It is sensible for applicants not to make conflicting claims about their achievements or circumstances in the school. In some schools discussion groups have been set up to examine the guidance on completing applications with a member of a leadership group or head teacher leading the discussions on ways of approaching completing application forms.

14 Performance Management and Threshold Assessment

88. Threshold assessment works alongside performance management arrangements. Information from performance reviews – including information from classroom observation – can provide an important part of the evidence to support threshold applications.

89. In addition to formal performance management procedures, applicants should draw on the information provided by any school self-evaluation procedures, such as those involved in ‘Investors in People’ programmes, to inform applications.

90. The NUT has advised members to agree with reviewers, up to three objectives. Those objectives should cover pupil progress, professional development and one other objective. Where applicants consider that the objectives and the information drawn from monitoring of progress towards the objective provide relevant information for the completion of application forms, they should use that information.

91. The setting of objectives should be about individual professional development and developing teacher practice.

92. Applicants should agree objectives in the context of consensus and agreement with their reviewers within the performance management framework. Agreement should be agreed between teachers and reviewers on the setting of “appropriate objectives”. Applicants should not agree to objectives that cause unreasonable burdens; are inappropriate to them personally; or are unachievable. It may be useful to ensure that an appropriate job description is referred to as a prerequisite to the review process.

93. Information from lesson observations, conducted as part of formal performance management procedures or from observations where teachers have observed each other’s teaching voluntarily, can be drawn on when completing the application form.

94. The NUT has published comprehensive guidance for members on the performance management arrangements which can be accessed on the NUT’s website www.teachers.org.uk

SECTION 8: HOW YOUR APPLICATION IS PROCESSED

Evaluation

95. When you have completed your threshold application, copied it for your reference and handed it to your head teacher, your head teacher will begin the process of evaluation. He/she should take account of your classroom performance as well as your work on the overall context of the achievements of your school service.

96. Your head teacher will read your form, check it for eligibility and then check whether valid evidence has been cited.

97. Your head teacher may decide to seek confirmation from line managers of the validity of the references to evidence in your application form.

15 98. The head teacher will evaluate the pupil progress information in relation to the national information available, as well as that from local schools.

99. A judgement will then be made on whether each standard has been met.

Feedback to Applicants

100. After carrying out an assessment against the post-threshold standards, the head teacher must notify you of the outcome of that assessment, and should do this within 20 working days of informing the relevant body of the decision. The original application form should be returned to you showing any findings/comments the head teacher may have recorded on it.

101. The head teacher should provide feedback on each of the post-threshold standards and the reasons for the outcome of the application. Head teachers should record details of any additional evidence they used in determining that the standards have or have not been met. A concise record of the reasons for which a standard has or has not been met, should provide sufficient written feedback, although head teachers may supplement this. 102. Feedback should be sensitive, informative and developmental. Feedback should help the teacher and their manager to identify clear priorities for future professional development.

Unsuccessful Applicants – Written Feedback

103. In the case of unsuccessful applicants, within 20 working days of informing the relevant body of the decision, head teachers should give written feedback on the reasons for the outcome of the application, standard by standard, including those where the standards have been met. The head teacher should also provide you with clear advice about how you need to develop in order to reach the standards.

104. The DCSF advises that specific comments on the application form giving specific reasons against each standard should provide sufficient written feedback, but that the head teacher may supplement this. In all cases, the aim should be to give clear advice in oral feedback about how the teacher needs to develop in order to read the standard.

105. The DCSF requires that any appeals against pay decisions should be notified in writing within ten working days.

106. All governing bodies are statutorily required to have a pay policy and appeal procedure in place. The DCSF model pay policy and pay appeals procedure can be accessed at: www.teachernet.gov.uk/management/payandperformance/pay/.

Appeals against not Meeting the Post-Threshold Standards

107. Unsuccessful applicants must be allowed a right of appeal against the head teacher’s decision. All appeals must be made using the procedures set out in the school’s own pay policy. Paragraphs 6-14 of Section 3, of the STPCD, provides information on what relevant bodies should cover in their pay policy and grievance procedures.

16 108. Paragraphs 15 -18 of Section 3 of the STPCD, which cover hearings and appeals in connection with pay determinations, also apply to decisions with regard to post-threshold standards.

109. You are entitled to oral feedback on the outcome of your application. You should ask your head teacher or line manager when that feedback will be available to you.

110. As before, if you do not work in a school, references to ‘head teachers’ should be read as referring to ‘line managers’ or ‘service managers’ as appropriate.

111. For outstanding threshold reviews from Round 8 or before, consult the DCSF guidance for information.

112. All NUT members considering an appeal against a head teacher’s decision that they have not met the threshold standards should seek advice and assistance from their NUT regional office or, in Wales, NUT Cymru.

National Union of Teachers September 2008

17 ANNEX A: PROFESSIONAL STANDARDS FOR POST-THRESHOLD TEACHERS

PROFESSIONAL ATTRIBUTES

Frameworks

P1 Contribute significantly, where appropriate, to implementing workplace policies and practice and to promoting collective responsibility for their implementation.

PROFESSIONAL KNOWLEDGE AND UNDERSTANDING:

Teaching and Learning

P2 Have an extensive knowledge and understanding of how to use and adapt a range of teaching, learning and behaviour management strategies, including how to personalise learning to provide opportunities for all learners to achieve their potential.

Assessment and Monitoring

P3 Have an extensive knowledge and well-informed understanding of the assessment requirements and arrangements for the subjects/curriculum areas they teach, including those related to public examinations and qualifications.

P4 Have up-to-date knowledge and understanding of the different types of qualifications and specifications and their suitability for meeting learners’ needs.

Subjects and Curriculum

P5 Have a more developed knowledge and understanding of their subjects/curriculum areas and related pedagogy including how learning progresses within them.

Health and Well-being

P6 Have sufficient depth of knowledge and experience to be able to give advice on the development and well-being of children and young people.

PROFESSIONAL SKILLS:

Planning

P7 Be flexible, creative and adept at designing learning sequences within lessons and across lessons that are effective and consistently well-matched to learning objectives and the needs of learners and which integrate recent developments, including those relating to subject/curriculum knowledge.

18 PROFESSIONAL SKILLS:

Teaching

P8 Have teaching skills which lead to learners achieving well relative to their prior attainment, making progress as good as, or better than, similar learners nationally.

PROFESSIONAL SKILLS:

Team Working and Collaboration

P9 Promote collaboration and work effectively as a team member.

P10 Contribute to the professional development of colleagues through coaching and mentoring, demonstrating effective practice, and providing advice and feedback.

19 ANNEX B: POST-THRESHOLD ROUND 9 PAY TABLE

Table to determine when you will be paid as a post-threshold teacher if you meet the post-threshold standards in Round 9 (2008/09)

Were you placed Were you placed on Were you placed on M6 on or before M6 on or after on M6 on or after 31/08/07? 01/09/07 but on or 01/09/08 but on before 31/08/08? or before 31/08/09?

Did you submit an eligible application1 for threshold assessment in the previous round (Round 8)?

Yes, but did not meet the standards

2 2 If you are eligible2 and If you are eligible If you are eligible you apply in Round 9 and you apply in and you apply in (2008/09) and are Round 9 (2008/09) Round 9 (2008/09) assessed as meeting and are assessed as and are assessed as the standards meeting the meeting the standards standards

You will move to U1 You will move to U1 backdated to with effect from 01/09/08 (Round 9, 01/09/09 cohort 15) (Round 9, cohort 16)

1 An eligible application means one that met all the relevant eligibility criteria of a previous round, e.g., having QTS, paid on M6, providing a minimum of two years of evidence, etc. An application that was rejected on grounds of eligibility, or one that is subsequently found to have been ineligible, even if it met all the standards applicable to that round, or one that was submitted to a head teacher but never assessed or processed – even though it met all the eligibility conditions and therefore should have been assessed/processed – means you did not technically apply.

2 To check whether you are eligible to apply in Round 9 see paragraph 7, on page 2 of this document.

20 ANNEX C: TEACHERS NOT STATUTORILY COVERED BY THE SCHOOL TEACHERS’ PAY AND CONDITIONS DOCUMENT (STPCD)

Threshold Assessment in 2008/09 (Round 9)

The Department for Education and Skills’ guidance on the threshold process in 2008/09 (Round 9) says that assessment against the post-threshold standards is open to qualified teachers who are legally covered by the STPCD 2008. This includes:

 teachers employed by the governing body of a voluntary aided school, a foundation school or foundation special school;

 teachers employed by the LA in a community school, a voluntary controlled school, a community special school, a nursery school or a pupil referral unit;

 teachers employed by the LA as an unattached teacher in the provision of primary or secondary education.

Prior to Round 5, the Department had extended the external threshold assessment and verification process to teachers employed in certain settings other than those listed above, and recognised that assessment if the teacher ever entered the maintained sector. However, since Round 5 there has no longer been any external assessment or verification of head teachers’ decisions on whether a teacher has met the threshold standards (or post-threshold standards from Round 8); such decisions are now made entirely at school level. This change in policy stems from the Secretary of State’s final decisions announced on 30 April 2004 on his proposals in response to the recommendations of the School Teachers’ Review Body’s 13th Report.

Teachers Employed in Schools or Services Similar to the Maintained Sector

Some qualified teachers who are not statutorily covered by the STPCD but are employed in schools and services that closely resemble the maintained sector will continue to be eligible to apply for threshold assessment. Threshold status that is established in this way will continue to be transferable to the maintained sector. The settings for these purposes include:

 teachers employed in City Technology Colleges and Academies;

 teachers employed in Non-Maintained Special Schools;

 teachers previously employed by a LA whose employment has been transferred to a contractor as a result of Department for Education and Skills intervention;

 teachers employed by local authorities who work in children’s homes maintained by an authority.6

6 This would include local authority secure units, local authority community homes with education and any other residential establishment for children maintained by the local authority in the exercise of a social services function.

21 ANNEX D: ELIGIBILITY OF SPECIFIC GROUPS OF TEACHERS

TEACHERS AUTOMATICALLY ENTITLED TO BE PAID ON THE UPPER PAY SCALE

The following are, subject to certain conditions, entitled to be paid as post-threshold teachers without having to apply for threshold assessment when taking up posts as classroom teachers in local authority maintained schools or in local authority services:

 teachers previously employed as head teachers, deputy head teachers or assistant head teachers;

 teachers previously employed as Advanced Skills Teachers or successful in the AST assessment procedure;

 teachers previously employed as local authority advisers or inspectors paid on the Soulbury pay spine;

 sixth form college teachers assessed as meeting the sixth form college professional standards; and

 teachers previously assessed as meeting the Northern Ireland threshold standards.

Pages 29-30 of the 2008 School Teachers’ Pay & Conditions Document (STPCD) set out, in the definition of “post-threshold teachers”, the full list of categories of eligible teachers and the conditions applicable in each case. The 2008 Document can be accessed at: www.teachernet.gov.uk/management/payandperformance/pay

Such teachers must, when appointed, be placed at least at point U1 but may at the governing body’s discretion be placed on points U2 or U3. Paragraph 34 on page 147 of the 2008 STPCD advises that governing bodies should consider any pay progression made in previous employment and, in such cases, should not unreasonably withhold appointment at U2 or U3.

ELIGIBILITY OF OTHER GROUPS TO APPLY

Some groups of qualified teachers not employed in local authority maintained schools are also entitled to apply for threshold assessment. These include teachers in Academies, CTCs and residential special schools. If successful, they will be entitled to be paid on the Upper Pay Scale or equivalent in that current employment and will also be entitled to be paid on the Upper Pay Scale on taking up employment subsequently in local authority maintained schools or services.

Other groups such as teachers working in independent schools or for supply agencies are unfortunately excluded from the system and will not be entitled to be paid on the Upper Pay Scale on returning to local authority maintained schools or services even if they complete a “threshold assessment” in their current employment.

22 All such teachers should consult the guidance referred to in the final paragraph of the following extract which is taken from the DCSF guidance for 2008-09, which can be accessed at www.teachernet.gov.uk/performancethreshold.

DCSF Guidance 2008–09

Eligibility to apply for threshold in Round 9 (2008/09)

Assessment is open to all teachers who, at the time when they apply: 1 • are statutorily employed under the STPCD 2008; and • are paid on point M6 of the pay scale for qualified classroom teachers; and • have Qualified Teacher Status (QTS); and • apply on or after 1 September 2008 but no later than 31 August 2009.

Head teachers or teachers in circumstances where eligibility is not clear should refer to the STPCD 2008 or contact the DCSF’s Public Enquiry Unit on 0870 000 2288.