Leadership Development


Principal and Vice-Principal Performance Appraisal

Frequently Asked Questions

Principal/Vice-Principal Performance Appraisal Model

Q. Why is the ministry implementing principal/vice-principal appraisal?

A. The performance appraisal model provides principals and vice-principals with processes and procedures that will support improvement in their leadership and in turn, student achievement. A fair and consistent appraisal process reflecting common professional expectations will contribute to increasing respect and security for principals and vice-principals.

Q. In order to become a principal in my board, I had to demonstrate that I was an excellent teacher and that I had leadership skills. I have been a successful principal for a number of years. Why does the ministry believe that I need to be rated in my performance at this point in my career?

A. Professional growth is important at all stages of one's career and the principalship is no exception. In the field test, the benefit rated most highly by appraisees from involvement in the appraisal process was the rich dialogue with supervisors about their work. The rating system provides a measure of accountability that supports the ministry's goal of increasing public confidence.

Q. Does each board have to implement the new principal/vice-principal performance appraisal model?

A. Boards are encouraged to implement the appraisal model but are not required to at this time.

Q. Why isn't the Principal/Vice-Principal Performance Appraisal model similar to the Teacher Performance Appraisal model?

A. The model recognizes that principals/vice-principals are managers and leaders whose professional responsibilities are different from teachers and so their appraisal model reflects this. School leaders have to demonstrate the ability to set school goals and lead staff in achieving these goals.

There are similarities between the two models including:

  • a focus on professional growth;
  • an annual growth or learning plan;
  • effective dialogue with the appraiser through the process;
  • the use of a two point rating scale and a five year cycle.

Q. Our board already has an effective model of appraisal for principals. Do we have to change to the ministry's model?

A. One of the key goals of the appraisal model is to provide a consistent process for assessing principals/vice-principals across the province. Having a common provincial system will increase confidence that we have consistent expectations for principals and vice-principals across the province. It will assure principals and vice-principals that a fair process is being followed across boards. For these reasons, boards are encouraged to implement all aspects of the model.

Q. Is there still an opportunity to have input into changes to the model?

A. Yes. During the implementation of the appraisal model, boards can provide feedback to the ministry. Information is forthcoming about how feedback will be collected.

Q. Will this model be regulated in the future?

A. It is not known at this time whether the appraisal process will be regulated by the government. Boards and stakeholders will be informed as decisions are made.

Implementation

Q. What funding will be available from the Ministry for the PPA?

A. While there is no ministry funding targeted specifically for PPA, boards are encouraged to take advantage of other professional learning funding (e.g. TPA funding) and resources in boards to support the skills needed for effective appraisal (e.g. mentor or SMART goal training).

Q. What training is provided for me as an appraiser?

A. Boards are responsible for providing training for appraisers as needed. It is important that appraisers are skilled in providing advice about the development of SMART goals and in engaging in effective professional dialogue with appraisees.

Q. What supports are available for boards implementing PPA?

A. The revised PPA guideline is a detailed document which provides clarification about the processes and timelines for appraisal as well as advice and suggested approaches. Regional teleconferences will be held throughout the year to answer questions and share effective practices. Regional sessions for mentoring and appraisal were held in the fall of 2008 and board leads had the opportunity to meet together with the ministry at these sessions. Every region has at least one board that participated in the field test of PPA during the 2007-08 year and these boards can be contacted for advice.

Q. What can I expect from my supervisory officer in the appraisal process?

A. Section 5.3 Role of the Supervisory Officer in the Principal/Vice-Principal Performance Guideline outlines the role. You can expect to receive support and guidance from your supervisory officer in the role of appraiser as well as ongoing professional dialogue about your progress.

New Principals/Vice-Principals

Q. Is a principal/vice-principal considered "new" if he/she moves from an elementary school to a secondary school?

A. No, a principal/vice-principal is still considered to be an experienced principal as long as he/she has served in the role for a minimum of one year.

Q. I am a new principal/vice-principal. Do I need to have a performance plan in my first year of the job?

A. No. Only the growth plan is required within the first year as a new principal/vice-principal. Near the end of the first year (in May) the principal/vice-principal will be asked to develop a performance plan for the following year.

Q. Why are new principals/vice-principals only appraised in their second year, unlike new teachers who are appraised in their first year.

A. The role of principal/vice-principal is different from the role of teachers and requires a different set of competencies that new school leaders will need to develop in their first year. A principal/vice-principal is required to meet goals by working with staff. During the first year, the principals/vice-principals will need the time to develop their relationships and put structures in place that will help them to achieve goals in the second year.

Performance Plan

Q. What's the difference between the performance plan and the growth plan?

A. The performance plan is used by the principal/vice-principal to outline key goals to improve student achievement and the strategies that will be used to attain those goals.

The growth plan outlines the individual competencies from the Ontario Leadership Framework that the principal/vice-principal would like to focus on during the year to support the implementation of strategies in the performance plan and the actions he/she will take to enhance these competencies.

Q. I am a new principal with a mentor. What's the difference between the growth plan in PPA and the learning plan in mentoring?

A. The learning plan is developed in consultation with your mentor and the growth plan is developed in consultation with your supervisor. A mentee can use the learning plan to inform his/her growth plan, or can choose to use it as their growth plan as well. The supervisor reviews and approves only the growth plan whereas the learning plan, part of mentoring, is confidential between mentor and mentee.

Q. How is the performance plan different from the school improvement plan?

A. Each board determines the requirements it has for school improvement plans and these may differ from board to board. The appraisal model provides a common provincial performance plan template which identifies how it is developed and what should be included for all principals and vice-principals. It is likely that there will be similarities between the plans since the principal is charged with implementing both plans. Some goals developed for the school improvement plan may be duplicated in the performance plan if these are the goals that the appraiser and appraisee agree should be the focus of the appraisal.

Q. Do I have to share my performance plan with my teaching staff?

A. No. However, it will be helpful in getting staff on board with important goals in the plan to communicate with staff what the priorities for the year are and how you will work together to accomplish these.

Goals

Q. My school plan has five areas that we are required to complete--do I need to have five areas, and the same goals, for my performance plan?

A. No, the performance plan requires only two to four goals and does not have to match the school plan; however, the school plan should be considered when developing goals.

Q. If I only choose three goals for my performance plan against which I will be appraised, this will not include many other things that I do to keep my school running effectively. How can my supervisor take all of these others things into account when doing my appraisal?

A. The selection of a few goals for the performance plan provides the opportunity for the principal/vice-principal to focus the appraisal on these key areas which the principal/vice-principal will make the priorities for the year. It is understood that the role of principal or vice-principal includes a broad range of responsibilities and activities that must be carried out every year and for which the principal/vice-principal is accountable to the supervisor. Many of these activities will contribute indirectly to the accomplishment of the goals in the performance plan. The focused goals in the plan allow for a more in-depth implementation to be done on the priority areas.

Q. Can my superintendent insist that I choose certain goals that he/she is interested in?

A. The appraiser and appraisee are to discuss and agree upon goals that match the requirements of the appraisal process challenging and achievable, SMART, and informed by school context, board and ministry goals. The appraiser has the final say in signing off the performance plan.

Q. How can I be appraised against goals related to student achievement when I don't have control over student results?

A. The principal/vice-principal should endeavour to set goals that are realistic and achievable. The nature of principal leadership is such that the principal must work with staff to achieve goals together, as described in the Ontario Leadership Framework in the second domain, "Building relationships and developing people".

Sometimes there are factors that arise that make it difficult to achieve the expected results. The rating process, as described in Section 11.2.1 in the guideline outlines how the appraiser can take these into account when deciding the rating.

Q. What do I do if my teachers aren't willing to work towards the student achievement goals that I have put in my performance plan?

A. Within a school setting, both the school leaders and teachers have an obligation to achieve school improvement goals. Since the performance plan will reflect school goals, it is expected that leaders and teachers will collaborate to achieve positive results for all students. As described in the Ontario Leadership Framework, it is important that both principals and vice-principals engage teachers in developing the vision and goals for the school and build relationships with staff to implement these goals. A principal/vice-principal new to the role may also want to discuss change management strategies with his or her mentor. A more experienced principal/vice-principal can discuss this with the appraiser and this could lead to support for professional learning opportunities around change management that will be helpful in achieving goals with staff.

Q. What if there are unforeseen circumstances that unfold that make it impossible for me to achieve my goals?

A. As indicated in section 11.2.1 of the guideline, there are provisions for the appraiser to take these into account. The actions taken by the appraisee to respond to circumstances that arise are important for the appraiser to know about in discussions with the appraisee.

Q. I am a vice-principal. I don't decide what the school goals are and so how can I have a performance plan related to school improvement.

A. Section 5.4 of the guideline gives the responsibility to the principal to work with the vice-principal to ensure that the vice-principal is involved in school improvement activities and can choose meaningful goals for the performance plan. Sometimes the vice-principal and the principal will share goals, each taking on different responsibilities. In other cases, goals may be owned solely by the vice-principal who will work with staff to accomplish them.

Indicators

Q. Are EQAO results the only indicators for student achievement goals?

A. A broad spectrum of indicators can be considered for goals in the performance plan. Participants in the field test suggested the following examples:

  • Credit accumulation
  • Graduation rates
  • Pass rates
  • Enrolment in courses
  • Safe school suspension/ attendance data
  • Surveys
  • PM Benchmarks
  • DRA
  • CASI
  • EDI
  • Report cards
  • Student feedback
  • Self-assessment
  • Pre- and post tests for specific student performance objectives
  • Focus on sub group, e.g., boys, special education students,
  • Parent focus group
  • Behaviour tracking
  • Office referral data.

The guideline also provides a number of sample goals and plans that show a variety of ways of measuring student achievement.

Rating a Principal/Vice-Principal

Q. The Ontario Leadership Framework includes a large number of competencies. Am I supposed to be rated on all of these competencies?

A. No. The focus of the Performance Plan is on setting goals and implementing them, not rating competencies. The Summative Report requires the appraiser to review the competencies in the framework and select a few that have contributed strongly to the principal/vice-principal's success in achieving the stated goals and possibly some that require further growth and improvement. This use of the framework provides a language for specificity about performance that will assist the appraisee to understand successes and areas of growth. The rating of a principal/vice-principal will be based on the ability to accomplish goals or show significant movement towards achieving goals, taking into account contextual factors relevant to the discussion. See Section 11.2.1 Determining the Rating in the guideline for more details on how the rating is to be decided.

Q. The PPA is conducted every 5 years but our Principals may change schools every three years and our VP's even more frequently. How can an appraiser assess performance goals when the appraisee is in different schools over the 5 year period?

A. A principal/vice-principal is evaluated over a one year period. The time frame for goals could be more than one year, but there should be an opportunity for interim measurements to be taken of the progress towards goals that extend beyond the appraisal year.

Q. Would boards that use third party information (e.g. questionnaires, interviews, 360 degree evaluations) be able to continue that practice under this new appraisal process?

A. Boards that choose other ways to gather information may use these processes as tools for principal/vice-principal growth; however, the results of these tools should not be used to determine a principal/vice-principal's rating.

Q. I think that my teachers are the best judge of my performance as a principal. Can their opinions be taken into account?

A. Principals and vice-principals may decide to survey staff on items related to their performance plan and results and this can be shared with the appraiser as evidence of successful outcomes. When indicators are selected for the performance plan goals, qualitative data solicited from staff and others may be appropriate to use and in this way would inform the summative report.

Q. I have a strong relationship with my parent community and they would have a good idea of how I am doing in my role as principal. Can their opinions be considered in my evaluation?

A. Principals and vice-principals may decide to survey parents on items related to their performance plan and results and this can be shared with the appraiser as evidence of successful outcomes. When indicators are selected for the performance plan goals, qualitative data solicited from parents and others may be appropriate to use and in this way would inform the summative report. For example, if the performance plan includes a goal to increase parent involvement in student learning, a survey of parents before and after the implementation strategies for this goal would be useful in measuring outcomes.

Q. I pride myself on my relationship with students. How can their opinions be included in my appraisal?

A. Principals and vice-principals may decide to survey students on items related to their performance plan and this can be shared with the appraiser as evidence of successful outcomes. When indicators are selected for the performance plan goals, qualitative data solicited from students and others may be appropriate to use and in this way would inform the summative report. For example, if the performance plan includes a goal to increase student safety, a survey of students before and after the implementation strategies for this goal would be useful in measuring outcomes.

Q. If a principal/vice-principal is only able to meet two of the three goals should he/she be automatically be rated as unsatisfactory?

A. Section 11.2.1 of the guideline outlines what the appraiser should consider before selecting a rating of satisfactory or unsatisfactory. It is important for the appraiser to look at the performance plan holistically and consider the reasons why some goals may not have been reached. Appraisees are encouraged to share information that demonstrates some of the challenges they had in reaching their goals and what they did to overcome them. Appraisers then use their best judgement to determine the rating.

Q. What happens after an 'unsatisfactory" rating?

A. When an appraisee receives an Unsatisfactory performance appraisal rating, additional requirements ensure that the appraisee receives the support, guidance, and monitoring necessary to enable the appraisee to improve his or her performance within a given period (see section 11.2.5 of the guideline for detailed steps).

Q. What if the time between appraisals is not enough for me to demonstrate progress on my improvement plan? Do I still have to be appraised within the PPA timeline?

A. The timing between appraisals can be extended with the mutual agreement of appraiser and appraisee, based on their assessment of the impact on the school and the nature of the performance elements needing improvement.

Q. If a principal/vice-principal is rated as unsatisfactory during this 2008-09 voluntary year, does it count?

A. Since it is a voluntary year, boards can choose whether or not they will accept the PPA results. There is currently no policy or legislation that requires boards to accept the outcome.

Q. In my contract with the board, I cannot be dismissed without "just cause," or if I am dismissed, I have a contractual right to third party arbitration. Will the unsatisfactory process under PPA interfere with my contract?

A. No. The PPA sets out the procedures a board is to follow in conducting the appraisal. After an individual is deemed to be unsatisfactory on three consecutive appraisals it is still up to the board to decide what steps it will take, based on existing contracts. If these contracts included dispute resolution processes such as third party arbitration, this would not change.

Human Resources

Q. In our board we have teachers who take on the role of "acting principal." Should they be appraised?

A. As long as a teacher is considered a member of a teachers' federation, he or she is not appraised under the PPA model.

Q. If a principal/vice-principal is reassigned, demoted or dismissed does the board have to notify the Ontario College of Teachers?

A. No. The Ontario College of Teachers Act, 1996 requires boards to file a written report with the College, only in the case of individuals that are dismissed or have their duties limited due to "professional misconduct" as defined in Ontario Regulation 437/97.