The nature and practice of goal setting in teacher appraisal within primary schools Claire Janes ...

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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.

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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
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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