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The nature and practice of goal setting in teacher appraisal within primary schools Claire Janes, née Dobson A thesis submitted in partial fulfilment of the requirement for the degree of Master of Educational Leadership and Management Unitec Institute of Technology 2016 ABSTRACT Goal setting in teacher appraisal forms a large part of the performance management requirements within New Zealand schools. This study aims to identify the strengths and weaknesses of performance goals and how they are set and can impact on the improvement of teaching and learning within performance appraisal in New Zealand primary school settings. A qualitative study was undertaken within two Auckland primary schools which had recently undergone management changes. A total of four leaders and six teachers from both schools were interviewed to obtain a leadership perspective and teaching perspectives on how goal setting in teacher appraisal is used within their schools. Documentary evidence from each school was also analysed to compare the teachers’ and leaders’ responses with the school’s stated policy and procedures on performance management. The key findings indicated that when used in schools without shared understandings and common language, goals are a weak aspect of performance management. However, where goals were used habitually, as part of performance appraisal, there was evidence of improved teaching and learning. The factors involved in efficient use of performance goals included support, feedback, collaborative and reflective practice, productive relationships and critical inquiry. This study reaches the conclusion that goal setting is variable. Some schools are doing this aspect of appraisal very well, others are not. Unless goals are used effectively by teachers and leaders, they could be viewed as a defective element of teacher appraisal. An important implication for practice is that performance goals are more likely to strengthen teacher appraisal when school leaders, teachers and policy makers are in agreement. Regular conversations and reflection about performance goals can have a significant impact in teaching and learning, resulting in improved student outcomes. ii ACKNOWLEDGEMENTS In 2011, when I began the process of the Post Graduate Diploma, I did not anticipate that I would continue with the Masters degree, and in that time, I have since married and changed my name! The completion of a thesis is no easy feat and it certainly does not happen single handedly. A fellow student once described the undertaking, as a “mountain to climb” and as I conferred with him at the completion of Chapter Four, I agreed with absolute certainty. The cruise down the mountain became the satisfaction of such an immense and intense degree of hard work, discipline and determination. The finished product is by no means self-proclaimed. It is a product of reliance, support, encouragement and understanding from others. As a result, I would like to thank the following people for their unprecedented contribution to the completion of this work. Firstly, my husband, Nathan Janes. He has often been the ‘single parent’ and taken on extra responsibilities, in order to provide time for me to ‘get my head into it’. Thank you Nathan for your patience and understanding – I know it hasn’t been easy. Of course, my dearest children, Finlay and Maisie. They have missed out on ‘mummy time’ so much. I have tried extremely hard to juggle the acts of working full time, being a mum and studying. I have prioritized as much as possible, so as not to miss out on too much of my own children’s lives over the past two years. They have been incredibly understanding and have begun to recognise that we have to work hard to accomplish our goals in life. There is also a myriad of people that I cannot mention personally, but they know who they are. Friends and family who have given me time to work on my thesis and taken care of my children for playdates and sleepovers. I am forever grateful! iii I would also like to thank my former Principal, Mr John McGowan for encouraging me to partake in these studies in the first instance, as well as his support and proofreading of my initial post graduate studies. My colleagues from school have also been a huge support and provided any necessary time and encouragement to go offsite when conducting my field research. The schools involved in the research have obviously been an integral part of this research. Without their involvement and their understanding of my persistence to engage with them, this study would not be possible – thank you! To conclude these acknowledgements, I would like to thank Professor Carol Cardno for her support, critique and refining throughout each chapter. The wisdom and elucidative questioning that she has offered has not only assisted me with the deeper thinking necessary for this document, but will also help my professional career, as I learn to analyse, challenge and improve educational practice. I am always extremely grateful for the recommendations and suggestions to achieve a higher standard. iv TABLE OF CONTENTS ABSTRACT ................................................................................................................ ii ACKNOWLEDGEMENTS .......................................................................................... iii TABLE OF CONTENTS ............................................................................................. v LIST OF FIGURES .................................................................................................. viii ABBREVIATIONS ..................................................................................................... ix CHAPTER ONE: INTRODUCTION ............................................................................ 1 BACKGROUND ....................................................................................................................... 1 Changes in Performance Management Systems .................................................................. 3 RATIONALE ............................................................................................................................ 4 RESEARCH AIMS AND QUESTIONS ........................................................................................ 6 Research Aims ....................................................................................................................... 6 Research Questions ............................................................................................................... 6 OUTLINE OF THESIS ............................................................................................................... 7 Chapter One: Introduction .................................................................................................... 7 Chapter Two: Literature Review ........................................................................................... 7 Chapter Three: Methodology ................................................................................................ 7 Chapter Four: Findings .......................................................................................................... 8 Chapter Five: Discussion of Findings, Conclusions and Recommendations ......................... 8 CHAPTER TWO: LITERATURE REVIEW ................................................................. 9 Introduction .......................................................................................................................... 9 Definition of Performance Goals ........................................................................................... 9 Types of Goals ..................................................................................................................... 10 Goal Setting in Education .................................................................................................... 11 Historical Perspectives of Appraisal in New Zealand Schools ............................................. 12 PURPOSE AND PRACTICE OF GOAL SETTING IN TEACHER APPRAISAL................................ 15 PROBLEMS WITH PERFORMANCE GOALS IN TEACHER APPRAISAL .................................... 18 Figure 1: Teaching as Inquiry Model. (New Zealand Curriculum, 2007) ......................... 21 Teaching as Inquiry and Goal Setting .................................................................................. 22 Teacher’s Perspectives ........................................................................................................ 24 Relationships within the Appraisal Process ........................................................................ 26 Feedback in Teacher Appraisal ........................................................................................... 27 CHALLENGES IN PERFORMANCE GOALS ............................................................................. 29 Figure 2. “School Leadership and Student Outcome: How does goal setting work?” ... 32 Feedback on Performance Goals ........................................................................................ 33 CHAPTER THREE: METHODOLOGY ..................................................................... 36 Introduction ........................................................................................................................ 36 EPISTEMOLOGICAL POSITION ............................................................................................. 36 METHODOLOGICAL APPROACH .......................................................................................... 38 Choice of Methods .............................................................................................................. 39 Method One: Documentary Evidence ................................................................................ 40 v Method Two: Semi - Structured Interview ......................................................................... 42 Choice of Sample ................................................................................................................. 44 Choice of Setting ................................................................................................................. 46 DATA ANALYSIS METHOD ................................................................................................... 47 Figure 3. Initial Coding for School A ................................................................................ 48 VALIDITY AND RESEARCH INTEGRITY .................................................................................. 50 ETHICAL CONSIDERATIONS ................................................................................................. 53 Informed Consent ............................................................................................................... 54 CHAPTER FOUR: FINDINGS .................................................................................. 57 Introduction ........................................................................................................................ 57 Research Participants .......................................................................................................... 57 Structure of Data Presentation ........................................................................................... 57 PRESENTATION OF FINDINGS FOR SCHOOL A ..................................................................... 58 DOCUMENTARY EVIDENCE ................................................................................................. 58 Understandings of Appraisal ............................................................................................... 59 Understandings of Performance Goals ............................................................................... 59 Support and Strategies to Strengthen Goal Setting Practices ............................................ 60 Key Findings of Documentary Evidence for School A ......................................................... 61 INTERVIEW EVIDENCE – LEADERS’ PERSPECTIVES .............................................................. 61 Understandings of Appraisal ............................................................................................... 61 Understandings of Performance Goals ............................................................................... 63 Support and Strategies to Strengthen Goal Setting Practices ............................................ 65 Key Findings of Leader’s Perspectives for School A ............................................................ 65 INTERVIEW EVIDENCE – TEACHERS’ PERSPECTIVES ........................................................... 66 Understandings of Appraisal ............................................................................................... 66 Understandings of Performance Goals ............................................................................... 69 Support and Strategies to Strengthen Goal Setting Practices ............................................ 72 Key Findings of Teacher’s Perspectives for School A .......................................................... 73 SUMMARY OF EVIDENCE FOR SCHOOL A ........................................................................... 74 PRESENTATION OF FINDINGS FOR SCHOOL B ..................................................................... 74 DOCUMENTARY EVIDENCE ................................................................................................. 75 Understandings of Appraisal ............................................................................................... 76 Understandings of Performance Goals ............................................................................... 77 Support and Strategies to Strengthen Goal Setting Practices ............................................ 77 Key Findings of Documentary Evidence for School B .......................................................... 77 INTERVIEW EVIDENCE – LEADERS’ PERSPECTIVES .............................................................. 78 Understandings of Appraisal ............................................................................................... 78 Understandings of Performance Goals ............................................................................... 81 Support and Strategies to Strengthen Goal Setting Practices ............................................ 85 Key Findings of Leader’s Perspectives for School B ............................................................ 85 INTERVIEW EVIDENCE – TEACHERS’ PERSPECTIVES ........................................................... 86 Understandings of Appraisal ............................................................................................... 86 Understandings of Performance Goals ............................................................................... 89 Support and Strategies to Strengthen Goal Setting Practices ............................................ 92 Key Findings of Teacher’s Perspectives for School B .......................................................... 94 SUMMARY OF EVIDENCE FOR SCHOOL B............................................................................ 95 CHAPTER FIVE: DISCUSSION OF FINDINGS, CONCLUSIONS AND RECOMMENDATIONS ............................................................................................. 96 Introduction ........................................................................................................................ 96 vi Discussion ............................................................................................................................ 96 THE PURPOSE OF GOAL SETTING IN TEACHER APPRAISAL ................................................. 96 School Policy and School Charter ........................................................................................ 96 Appraisal Versus Performance Goals .................................................................................. 97 Too Many Goals? ................................................................................................................. 98 The ‘Teaching as Inquiry’ Tool............................................................................................. 99 PRACTICE OF GOAL SETTING IN TEACHER APPRAISAL ...................................................... 100 Perceptions of Practice ..................................................................................................... 100 Benefits of Feedback ......................................................................................................... 101 Changes in Practice ........................................................................................................... 102 STRENGTHS OF THE PURPOSE AND PRACTICE .................................................................. 102 Collaboration, Trust and Shared Understandings ............................................................. 102 Improving Performance Through the Sharing of Goals .................................................... 104 WEAKNESSES OF THE PURPOSE AND PRACTICE ............................................................... 106 Setting Performance Goals ............................................................................................... 106 Goal Specificity and Expectations ..................................................................................... 106 Policy and Procedure ........................................................................................................ 107 CONCLUSIONS ................................................................................................................... 108 Varied Practices of Goal Setting ........................................................................................ 108 Implications ....................................................................................................................... 108 Theory and Skills of Goal Setting ....................................................................................... 108 Implications ....................................................................................................................... 109 Integrating TAI into Goal Setting ....................................................................................... 109 Implications ....................................................................................................................... 110 RECOMMENDATIONS ........................................................................................................ 110 RECOMMENDATIONS FOR FURTHER RESEARCH .............................................................. 111 LIMITATIONS ..................................................................................................................... 111 Final Thoughts ................................................................................................................... 112 REFERENCES ........................................................................................................ 114 APPENDICES ......................................................................................................... 124 Appendix 1. ....................................................................................................................... 124 Interview Schedule for Teachers .................................................................................. 124 Appendix 2. ....................................................................................................................... 125 Interview Schedule for Senior Leaders ......................................................................... 125 Appendix 3. ....................................................................................................................... 126 INFORMATION SHEET (Teachers and Leaders) ............................................................ 126 Appendix 4 ........................................................................................................................ 128 CONSENT FORM (Teachers and Leaders) ..................................................................... 128 vii LIST OF FIGURES Figure 1. Teaching as Inquiry Model ………………………………………….…21 Figure 2. How does goal setting work?………………………………………..…32 Figure 3. Initial Coding for School A ……………………………………………..48 viii ABBREVIATIONS BES Best Evidence Synthesis COL Community of Learning ERO Education Review Office MOE Ministry of Education NAG National Administration Guidelines NEG National Education Guidelines NZTC New Zealand Teachers Council OECD Organisation for Economic Co-operation and Development PD Professional Development PLG Professional Learning Group PMS Performance Management Systems RTC Registered Teacher Criteria SLT Senior Leadership Team SMART Specific, Measureable, Achievable, Realistic, Timely TAI Teaching as Inquiry UK United Kingdom USA United States of America ix CHAPTER ONE: INTRODUCTION “To learn is to change how you think” Michael Merzenich, 1992 (Rock, 2007) Specific regulatory procedures have been in place since the early nineteen nineties for the appraisal and development of all teachers and senior management within ‘self managing schools’ governed by Board of Trustees (O’Neill & Scrivens, 2005). During the early 1990s, the Ministry of Education (MoE), perceived that schools failed to respond to crucially establish systems for teacher appraisal (Cardno, 1999). This resulted in prescribing specific guidelines. The legislation surrounding appraisal regulations is identified through the Ministry of Education’s Performance Management Systems (PMS) in the National Administration Guidelines (NAGs) (2007), as well as The New Zealand Teacher’s Council (NZTC), The Education Act (1989) and the State Sector Act (1988). The Ministry of Education (1997), states that the effective management of the performance of teachers involves the development and implementation of appropriate policies and processes in accordance with legislation. The State Sector Act (1988) and The Education Act (1989) provide the framework for performance management in schools. Within this framework, government policy expects that schools submit a School Charter every year. This should identify the schools vision, mission and objectives including a policy that consists of a process to appraise their staff, with reference to the schools own charter and the National Administration Guidelines (NAGs). This study will explore these processes, with the specific intention of finding the nature and practice of goal setting within teacher appraisal. BACKGROUND The specific leadership factors that contributed to professional learning and improved student outcomes involved the provision of goal setting, as determined by Robinson and Timperley (2007). Their findings suggested that

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operating their appraisal systems and the attitudes of teachers regarding their performance management process. One of the challenges found from the research conducted by the OECD (MoE, 2010) highlighted that schools in New. Zealand have such flexibility in their approach to appraisal that there is
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