This NUT guidance deals with the rules governing Upper Pay Scale (UPS) progression from September 2007 and the NUT’s policy on their application to teachers. It sets out in full the relevant provisions of the School Teachers’ Pay and Conditions Document (STPCD) 2007, which all local authorities and governing bodies are required to follow, and the accompanying statutory guidance on UPS progression.

The STPCD’s provisions regarding the procedures and criterion for UPS progression from September 2007 are unaltered other than in one respect. The STPCD now requires that governing bodies in England should consider recommendations from performance management reviewers when taking decisions on UPS progression. NUT advice on this matter is included in this guidance.

The NUT’s guidance gives comprehensive advice on applying the STPCD’s provisions. Governing bodies should follow the NUT’s guidance in order to help ensure that decisions on UPS progression are made fairly and objectively.

SECTION 1

STATUTORY PROVISIONS ON UPPER PAY SCALE PROGRESSION

Statutory procedures for annual pay review and consideration of progression

• The statutory procedures set out in the STPCD are set out below.

• The governing body is required to carry out an annual pay determination for every teacher, including every post-threshold teacher, on or after 1 September (STPCD para 4.1.a).

• When carrying out the annual pay determination for a teacher paid on the Upper Pay Scale, the governing body is required to consider whether the teacher meets the statutory criterion for further UPS progression (STPCD para 19.4.1) and, in England, is required to have regard to any recommendation on pay progression made during the most recent performance management review (STPCD para 19.4.2).

• Other than in exceptional circumstances, however, teachers paid on the UPS may progress only every 2 years on that scale (STPCD para 19.4.1).

• Following the annual pay determination, the governing body is required to “ensure that the teacher is notified in writing of that determination” at the earliest opportunity and no more than one month later (STPCD para 4.4). Any consequent pay increase is effective from 1 September (STPCD para 4.1.a).

• The governing body is required to “establish procedures for addressing teachers’ grievances in relation to their pay”, including appeals against decisions to deny UPS progression (STPCD para 3.b). These procedures should be set out in the school pay policy (STPCD “statutory guidance” para 12).

• In summary, therefore, all teachers are entitled to have their pay reviewed with effect from 1 September each year. This applies to teachers paid on the Upper Pay Scale in the same way as other teachers. Teachers paid on the UPS may, however, only progress on the UPS every 2 years other than in “exceptional circumstances”.

Statutory criterion for progression

• The statutory criterion for progression on the Upper Pay Scale is set out in paragraph 19.4.1 of the 2007 SPTCD. Para 19.4.1(b) provides that the teacher may not progress up the Upper Pay Scale unless:

“the relevant body is satisfied that the teacher’s achievements and contribution to the school, or to the school or schools in which he previously worked have been substantial and sustained, having regard to the results of the two most recent appraisals or reviews carried out in accordance with the [performance management] regulations”

• Para 19.4.2 provides further, in relation to teachers in England, that:

“when making any determination … the relevant body shall have regard to any recommendation on pay progression recorded in the teacher’s most recent planning and review statement”

• These paragraphs are set out in full in Appendix 1 of this document.

“Statutory guidance” on applying the statutory criterion

• The STPCD also includes additional “statutory guidance” on the application of the statutory criterion. Para 1.9 of the STPCD states that governing bodies are required to “have regard” to this statutory guidance. The statutory guidance does not, however, have the same legal status as the statutory criterion as explained below.

• The “statutory guidance”, which is again set out in full in Appendix 2, provides that:

“Progression on UPS should be based on two successful consecutive performance management reviews.”

• It provides further that:

“To ensure that the achievements and contribution have been substantial and sustained, that performance review will need to assess that the teacher has:

• continued to meet threshold standards; and

• grown professionally by developing their teaching expertise post threshold.”

Status of the above requirements

• The STPCD requires that the governing body should “have regard” to the outcomes of performance management, the reviewer’s pay recommendation and the provisions of the statutory guidance. Legally, the use of the phrase “have regard” means that the governing body should follow this direction unless the circumstances are such that there is a good reason not to do so.

• The governing body is formally responsible for determining whether the teacher has met the statutory criterion for UPS progression. Section 2 advises that, while the governing body should “have regard” to the reviewer’s pay recommendation, it must satisfy itself that the statutory criterion has in fact been met. This will be particularly important whenever any recommendation is made that a teacher should not progress.

• The governing body should consider whether it can take a decision by reference to the outcomes of performance management, the reviewer’s pay recommendation and the provisions of the statutory guidance. Sections 3 and 4 give guidance on situations in which it would be inappropriate or impossible to do so and in which the governing body should decide whether the teacher meets the statutory criterion on the basis of such other information as is available.

SECTION 2

NUT ADVICE ON THE PROCEDURES FOR UPS PROGRESSION

Timetable for decisions and notification of decisions

• Para 16 of the STPCD statutory guidance provides that “Relevant bodies [ie governing bodies] should conduct teachers' annual pay reviews without undue delay. The pay policy should set out by when decisions (effective from 1 September each year) will be made … which should be by 31 October at latest.”

• The timetable for performance reviews under the school’s performance management policy should be completed sufficiently early to allow the timetable for pay decisions to be met. Since 2007 is the first year for performance reviews under the revised system, the NUT appreciates that this may be difficult in some schools. In future years, however, there should be no delay in pay decisions due to delays in the timetable for performance management arrangements.

• Para 4.4 of the STPCD provides that teachers must be notified in writing of the outcome of the pay decision at the earliest opportunity and no more than one month later. The NUT advises that the notification given to teachers should contain the reasons behind the recommendation of the head teacher and the decision of the governing body. Denial of such information would constitute obstruction of the teacher’s right of appeal.

Responsibility for decisions on UPS progression

• The STPCD provides that the governing body is responsible for undertaking pay determinations and taking decisions on UPS progression. The governing body is, however, permitted under separate statutory provisions to delegate these decisions to a sub-committee of the governing body, to individual governors or to the head teacher.

• The NUT believes that all decisions on Upper Pay Scale progression should be taken by the governing body committee responsible for staffing issues, with a separate committee responsible for appeals. Decisions should be reported to the full governing body. Decisions should not be delegated to the head teacher acting alone.

• References to “the governing body” in this document include, where appropriate, any governing body committee taking pay decisions.

Procedure for taking decisions on UPS progression

• The governing body has formal responsibility for determining whether the teacher meets the statutory criterion for UPS progression.

• Where a teacher is eligible for UPS progression, the performance management regulations require the reviewer to make a recommendation on pay progression which is passed to the head teacher as part of the planning and review statement. It is then for the governing body to make its decision, having regard to the recommendation and to the results of the two most recent performance management reviews. The governing body is not bound by the recommendation nor is the head teacher denied the opportunity to advise the governing body further. The NUT expects head teachers to advise the governing bodies of their schools strictly on progression, notwithstanding anything that may be contained in the recommendation of the reviewer. The governing body should, in particular, satisfy itself whether a teacher has or has not met the standards required for progression whenever any recommendation is made that the teacher should not progress.

• Detailed NUT guidance on the performance management system, including the NUT’s model performance management policy for schools, is available at www.teachers.org.uk

Applications and further evidence

• Unlike the threshold, progression on the Upper Pay Scale is not an application process. Para 4.1(a) of the STPCD requires governing bodies to undertake annual pay determinations for all teachers, including post-threshold teachers.

• The NUT advises that teachers cannot be required to make application or to complete any application forms. The governing body is required to undertake annual pay determinations and take decisions on UPS progression, whether or not a teacher has submitted an application or completed an application form.

• Governing bodies should have access to the outcomes of performance management reviews and to a range of other evidence and knowledge of teachers’ work. This should be sufficient to form the necessary judgements on UPS progression.

• Some governing bodies may ask teachers to provide evidence to demonstrate further their entitlement to UPS progression. In such cases, teachers may wish to draw particular achievements to the attention of their governing bodies. If they decide not to do so, however, this should not be counted against them.

Appeals

• Para 3.b of the STPCD states that an appeals procedure must exist allowing a teacher to appeal against any pay decision, including decisions on UPS progression. The STPCD’s statutory guidance reminds governing bodies that the procedure must meet the requirements of employment law based on a three stage process. The teacher should first seek to resolve the matter informally by discussion with the decision-maker. Where this is not possible or the matter is still unresolved, the teacher should be allowed a hearing, within ten working days, before the person or committee which took the decision; and a further appeal, normally within 20 working days, before a governing body appeals committee of at least three governors not involved in the original decision. The teacher should be allowed to make representations in person and to be accompanied by a friend or union representative.

• The performance management regulations also allow a teacher to appeal against the contents of the performance review statement, including the pay recommendation made by the reviewer. Teachers are therefore entitled to seek to reverse recommendations that they should not progress on the UPS before these are submitted to governing bodies. The appeals procedure must also meet the requirements of employment law based on a three stage process. The NUT advises that the informal discussion and first hearing should involve the reviewer and also the head teacher if the head teacher is not the reviewer. Any appeal should be to the appeals committee, in order that the committee which will take the pay decision on UPS progression is not involved before it takes that decision.

• The NUT will provide support to members who believe that recommendations and decisions on UPS progression have not been taken in accordance with the proper procedures or that denial of progression is unjustified in terms of the statutory criteria, as set out in Section 5, “NUT Support to Members”.

SECTION 3

NUT ADVICE ON THE CRITERION AND STANDARDS FOR UPS PROGRESSION

Standards required for Progression

• The NUT expects reviewers to recommend progression to the next point where progression is allowed by the STPCD. The requirement within the STPCD remains the same: that a post-threshold teacher should proceed on the Upper Pay Scale if the teacher can demonstrate a “substantial and sustained contribution”.

• There should be no question of withholding progression for any reason other than that of failure to make a substantial and sustained contribution under the same approach as applied to the threshold standards. It follows that the withholding of progression should be applied only upon an explicit finding of a deficiency in achieving professional growth against the threshold standards.

• The following sections set out the NUT’s advice on the proper interpretation of the statutory guidance on the application of the statutory criterion by governing bodies and reviewers. Governing bodies are reminded that they are required only to “have regard” both to the statutory guidance and to reviewers’ recommendations.

“Two successful consecutive performance management reviews”

• The meaning of "two successful consecutive performance management reviews" is inadequately defined. This does not mean that all performance management targets should be met in full. Targets vary substantially in the degree of challenge and attainability. The DfES has recognised this, advising in the Explanatory Notes accompanying the STPCD that:

“Objectives or targets for action form an important framework for assessing performance but there is no automatic link between meeting objectives or targets and the award of a pay point. A teacher who has made good progress on, but not quite achieved a very challenging objective or target may have performed better and made a more significant contribution than a teacher who has met in full a less stretching objective or target.”

• The NUT advises that teachers should not, therefore, be regarded as having failed to achieve “two successful consecutive performance management reviews” and denied progression on the Upper Pay Scale simply because their individual performance targets have not been met in full.

• As noted earlier, the governing body should in particular satisfy itself whether a teacher has or has not met the standards required for progression whenever any recommendation is made that the teacher should not progress.

“Continued to meet threshold standards” and “Grown professionally”

• The threshold standards cover a wide field, including the contribution made to the school by the applicants. The statutory guidance states that the teacher should have “continued to meet threshold standards”. This is consistent with the NUT’s long-standing interpretation of the statutory criterion which requires a “substantial and sustained” contribution.

• The further provision that the teacher should have "grown professionally" is inadequately defined. The NUT does not regard this provision as requiring performance to standards higher than the threshold standards. Such an interpretation would have been made clear if it had been the Government’s intention.

• The NUT’s view is that every teacher who continues to work to the threshold standards will necessarily, through an additional two years’ teaching experience, have “grown professionally”.

• The NUT therefore advises that, where a teacher has previously been assessed as meeting the threshold standards and has continued in the last two years to meet those standards, the teacher should be regarded as having met the criteria of “substantial and sustained” in all respects and should be entitled to progression on the Upper Pay Scale.

Cases when decisions cannot be taken by reference to performance management

• In the large majority of cases, the governing body will be able to decide whether a teacher meets the statutory criteria for UPS progression by reference to the outcomes of the performance management process.

• As noted earlier, however, taking a decision on the basis of performance management outcomes will in some cases be inappropriate or impossible. Such cases might include, for example, teachers who are or have been on maternity leave or extended sick leave; teachers on secondment; and teachers whose previous schools have been unable or unwilling to provide information relating to performance management reviews.

• In such circumstances, the governing body should not take its decision by reference to performance management outcomes and the reviewer’s recommendation. It should take the decision on whether the teacher meets the statutory criteria by reference to such information as is available. The governing body may need to consider information from one completed performance management review or information from any part of the two year period when the teacher was present. In extreme circumstances, the decision might be postponed until information is available from the following school year and then backdated. Where a governing body acts in this way, complaints of, for example, unlawful discrimination are less likely to arise.

• Section 4 of this guidance gives NUT advice on a range of such situations.

SECTION 4

NUT ADVICE ON TEACHERS IN PARTICULAR CIRCUMSTANCES

• This section considers a range of commonly encountered situations. NUT members requiring support should contact the NUT as set out in Section 5, “NUT Support for Members”.

Teachers in Wales

• The performance management regulations applying to teachers in Wales are in some important respects different to those applying to teachers in England. In particular, the performance management regulations in Wales do not include any requirement for performance reviewers to make pay recommendations as part of teachers’ performance review statement. The STPCD does not therefore include any requirement for governing bodies in Wales to consider such recommendations when taking decisions on UPS progression.

• The remaining provisions of the STPCD, setting out the procedures for pay decisions and the statutory criterion for progression, apply to teachers in Wales in the same way as to teachers in England. The terms of the NUT’s guidance on the application of these provisions also apply to teachers in Wales in the same way as to teachers in England.

• Decisions on UPS progression for teachers in Wales for September 2007 should, therefore, be taken by governing bodies in the same manner as in previous years. The governing body should consider whether the teacher concerned has met the statutory criterion of a “substantial and sustained contribution” by reference to the information available to it and to any recommendation or advice from the head teacher. It should take full account of the advice given in this NUT guidance on the application of the STPCD’s provisions.

Unattached teachers

• The STPCD’s provisions on annual pay determinations and UPS progression apply to all post-threshold teachers, including “unattached teachers” employed in local authority central services or in pupil referral units. Such teachers are entitled to an annual pay determination and to consideration for UPS progression in the same way as other teachers.

• The procedures and criteria should be applied in the same way as for teachers employed in schools. Where the body responsible for pay decisions for such teachers is the local authority, the pay decision will be delegated to an appropriate panel or individual. Where such teachers have been subject to performance management arrangements, the pay decision should not be taken by the line manager who has undertaken the teacher’s performance management review and made any pay recommendation. In the absence of performance management arrangements, the decision as to whether the teacher meets the statutory criteria should be taken on the basis of the available evidence. Appropriate arrangements must exist for appeals.

Teachers who have moved post

• The STPCD’s provisions apply also to any post-threshold teachers who have moved to new schools with effect from 1 September 2007 or have moved during the previous year. Such teachers must be assessed for progression and should not be denied it simply on the basis that their contribution to their new schools cannot be assessed over a two year period. The statutory criterion refers to the teacher’s contribution to “the school, or the school or schools in which the teacher previously worked”.

• Para 27 of the STPCD statutory guidance advises that, where a teacher has moved schools during the 2 year period prior to UPS assessment, the head teacher should consult with the head teacher of the previous school(s) to seek evidence. Where confirmation is provided by the previous head teacher that the work of the teacher satisfied the criteria, this should be accepted and result in progression on the Upper Pay Scale. Where information is not made available by the head teacher of the previous school, the decision should be based on such information as is available. Where necessary, the decision should be deferred to allow information to be obtained relating to the present post.

Teachers who have moved from other sectors

• The STPCD provides that certain teachers who move to schools from other sectors of teaching or related employment are automatically entitled to be paid as post-threshold teachers on the Upper Pay Scale. The full list of such teachers is set out in the STPCD definition of “post threshold teacher” (STPCD para 1.2). It includes most teachers who have previously been paid as leadership group members or advanced skills teachers; teachers who have passed the threshold or equivalent standards while working in sixth form colleges, Northern Ireland, Academies and various other situations; and teachers previously employed as Soulbury-paid local authority advisory staff.

• On appointment, the governing body has the discretion to determine the point on the UPS on which such a teacher will be paid (STPCD para 19.3.3). The STPCD gives no further guidance on this decision. The NUT advises that the governing body should take full account of the teacher’s length of experience in the former post and in particular any pay progression made under the system applicable to that post. The teacher should be appointed to the point on the UPS which corresponds to the pay scale point which they occupied in the former post.

• Following appointment to the Upper Pay Scale, the STPCD’s provisions on UPS progression will apply to such teachers in the same way as other teachers. It may, however, be appropriate for progression to take place earlier than the usual two year cycle on the basis of “exceptional circumstances”. Progression might be considered after only one year, for example, where teachers would have been due further pay progression at this time if they had remained in their former posts.
  

Teachers with more than one post

• Some teachers hold two or more posts and are employed simultaneously on, for example, two separate regular part-time contracts with different schools. In such situations, separate annual pay determinations have to be undertaken in each of the schools concerned.

• The commonsense solution is for the school in which the teacher works most of the time to undertake the pay determination first and, where progression is awarded, for the other school to agree to pay the teacher on the same point of the Upper Pay Scale. In such cases, however, a decision by one school does not legally bind the decision by the other school at which the teacher works. It is theoretically possible for one school to seek to deny progression even where the other has agreed to progression.

• Once such a teacher has been placed by a school on a particular point of the Upper Pay Scale, this becomes a permanent entitlement in that post. On movement to any subsequent new permanent or temporary post in that or another school, the teacher is entitled to be paid on the same point of the Upper Pay Scale as in that former post.

Teachers on maternity or extended sick leave or otherwise absent during the period

• Teachers on maternity or extended sick leave or otherwise absent during the period are entitled to an annual pay determination and to consideration for UPS progression in the same way as other teachers, whether or not they have returned to service following the period of absence. In such cases, however, performance management reviews may not have been completed in two consecutive years.

• Governing bodies should therefore decide whether teachers meet the statutory criteria by reference to such information as is available. This might include information from one completed performance management review or information from any part of the two year period when the teacher was present. Failure to consider progression in this way could clearly constitute less favourable treatment on the basis of gender or disability and leave the governing body open to complaints of unlawful direct discrimination.

Teachers employed for less than a term

• Teachers in England employed on contracts of employment lasting less than a term are not subject to performance management regulations. Recommendations and other evidence from p erformance management may not, therefore, be available for teachers who have previously been employed on one or more such contracts .

• Governing bodies should decide whether such teachers meet the statutory criterion by reference to such information as is available. Where the teacher has worked at the school for the whole or a large part of the previous two years, sufficient evidence will be available within the school to allow the decision to be taken. Where the teacher has worked at another school or schools during the previous two years, the head teacher should consult with the previous head teacher to seek evidence. Where such information is not made available, the decision should be based on such information as is available or deferred to allow information to be obtained relating to the present post.

Supply teachers employed by local authorities or governing bodies

• Supply teachers who are employed by local authorities or by the governing bodies of foundation or voluntary aided schools are entitled to an annual pay determination and to consideration for UPS progression in the same way as other teachers. The annual pay determination should be undertaken by the governing body of the school in which the teacher has most frequently worked over the past two years. If the teacher works for a central supply pool, the body responsible for pay decisions will be the local authority and the pay review will have to be delegated to an appropriate panel or individual. In the absence of performance management arrangements, the decision as to whether the teacher meets the statutory criteria should be taken on the basis of the available evidence. Appropriate arrangements must exist for appeals.

• When a supply teacher is awarded progression to points 2 or 3 on the Upper Pay Scale, this becomes a permanent entitlement. On movement to subsequent supply engagements or to new permanent or temporary posts, the teacher is entitled to continue to be paid on that point on the UPS.

Teachers employed by agencies

• Teachers who are employed by agencies rather than by local authorities or governing bodies are, regrettably, not covered by the provisions of the STPCD. Their pay is determined by the agency concerned and, for many teachers, does not match the levels of pay available under the Upper Pay Scale provisions of the STPCD. The NUT is continuing its efforts to assist these teachers and has reached agreement with certain agencies that their pay should match that available under the STPCD. For other teachers employed by agencies, however, their pay may continue to be below that provided under the STPCD.

Teachers denied UPS progression in September 2006

• The STPCD requirements to undertake an annual pay determination and to consider UPS progression apply to all post-threshold teachers, including teachers who were eligible for UPS progression in September 2006 but were not awarded progression.

• Such teachers are therefore again entitled to be considered for UPS progression in September 2007 and awarded such progression if they meet the statutory criteria. They do not have to wait until two years after they were last assessed for UPS progression as is sometimes mistakenly suggested.

“Characteristics of UPS3 teachers”

• The STPCD statutory guidance includes a preamble describing “characteristics” of UPS3 teachers and the role they play in the life of schools. This preamble does not constitute additional criteria for progression to UPS3 and should not be regarded or used as such.

• Equally, progression to UPS3 does not alter the professional duties or obligations of teachers on UPS3. They cannot be required to take on additional duties compared to other teachers on the Main or Upper Pay Scales. Any additional responsibilities should be rewarded through payment of teaching and learning responsibility (TLR) payments.

Funding for UPS Progression

• The STPCD does not permit decisions on UPS progression to be related to budgetary considerations. Schools may not use budgetary constraints as a justification for refusal to allow UPS progression. The Government’s “agreement” on the Upper Pay Scale in 2004 with the Local Government Employers and other teachers’ organisations explicitly provided that UPS progression “should not be subject to a quota”.

• Funding for schools in England includes a specific element for the costs of UPS progression. Authorities may distribute this to schools using the general funding formula or a separate formula. The level of funding is the same as under the previous grants system. It is intended to provide full reimbursement of the costs of threshold progression and partial reimbursement of the costs of further Upper Pay Scale progression.

• In Wales, funding for schools is set at a level intended to be sufficient to allow schools to afford in full the costs of UPS progression.

SECTION 5

NUT SUPPORT FOR MEMBERS

• The NUT is determined that all post-threshold teachers should be treated fairly and equitably with regard to UPS progression. This guidance, used where necessary in conjunction with assistance from the NUT, will protect members from unfair treatment.

• NUT representatives should seek confirmation from the head teacher that UPS decisions will be taken by 31 October and in accordance with the statutory provisions and NUT guidance set out in this document. They should also ask the head teacher to issue information about the process for pay progression decisions as soon as possible after the start of the academic year.

Failure to carry out pay determinations

• In such cases, NUT representatives or NUT members individually should seek assurances from the head teacher that:

• the annual pay determinations required by the STPCD will take place;

• any decisions on UPS progression will be undertaken according to the statutory criteria and the above advice from the NUT;

• decisions on UPS progression will not be limited or rationed because of budgetary constraints; and

• UPS progression will take effect from 1 September 2007.

• Where arrangements for pay determinations appear to contradict the statutory provisions and the NUT’s advice, the matter should be raised with the head teacher in the first instance. Such representations may solve the problem. If they do not, assistance should be sought from the NUT local secretary or from the NUT regional office or, in Wales, NUT Cymru.

Decisions that NUT members will not progress to UPS Point 2 or 3

• NUT members who have been informed that they will not progress to UPS points 2 or 3 should contact their NUT local secretary or their NUT regional office or, in Wales, NUT Cymru.

• They should also write to the head teacher and ask for the information set out below to be provided to them in writing. This information will be used for reference when making representations against the decision and pursuing any appeal.

• The school pay policy and the governing body’s policy and procedures for considering UPS progression.

• The date on which the governing body reached its decision.

• The process of reaching the decision, including full details of:

- the recommendation made by the performance reviewer;

- any further recommendation made or advice given by the head teacher and any other information or advice relied on by the governing body;

- the basis for the governing body’s decision that the teacher’s contribution did not meet the statutory criteria for UPS progression.

• Any actions taken previously to alert the teacher to concerns about performance and any support given to the teacher to address these concerns.

• The procedure for the teacher’s appeal against the decision.

• Appendices 3 and 4 are provided for use in seeking such information.

National Union of Teachers

September 2007

APPENDIX 1

STPCD provisions on progression on the Upper Pay Scale

4.1 The determination of the remuneration of a teacher must be made -

(a) annually with effect from 1st September…

4.2 When determining the remuneration of a teacher, the relevant body must have regard to its pay policy and to the teacher’s particular post within its staffing structure.

4.4 When the relevant body have determined the remuneration of a teacher, they shall, at the earliest opportunity and in any event not later than one month after the determination, ensure that the teacher is notified in writing of that determination…

19.4.1 Save in exceptional circumstances, there shall be no movement up the pay scale set out in sub-paragraph 2 of this paragraph prior to the second annual determination after the date on which the post-threshold teacher was first placed on that scale or the date on which the teacher was last awarded an additional point on that scale unless-

• in the case where the post-threshold teacher is not subject to the 2002 Regulations or the 2006 Regulations, there has first been a review of his performance and the relevant body is satisfied that the teacher’s achievements and contribution to the school, or to the school or schools in which he previously worked, have been substantial and sustained; or

• in the case where the post-threshold teacher is subject to the 2002 Regulations or the 2006 Regulations, the relevant body is satisfied that the teacher’s achievements and contribution to the school, or to the school or schools in which he previously worked have been substantial and sustained, having regard to the results of the two most recent appraisals or reviews carried out in accordance with the 2001 Regulations, the 2002 Regulations or the 2006 Regulations, as the case may be.

19.4.2 When making any determination under sub-paragraph 4.1 in the case of a post-threshold teacher who is subject to the 2006 Regulations, the relevant body shall have regard to any recommendation on pay progression recorded in the teacher’s most recent planning and review statement.

19.5 A post-threshold teacher’s salary shall not be increased by more than one scale point in the course of a single annual salary determination and any such points shall be permanent whether the teacher remains in the same post or takes up a new one.

APPENDIX 2

STPCD statutory guidance on the Upper Pay Scale

27. Relevant bodies should ensure that they review the performance of post-threshold teachers who are eligible for consideration for movement up the upper pay scale in accordance with paragraph 19. They should take full account of the clarification of the application of the criteria for upper pay scale progression set out in the following box, in the light of any considerations set out in the relevant body's own pay policy as referred to in paragraphs 8-10 of this guidance. Where teachers have moved school in the assessment period, the head teacher should consult with the head of the teachers’ previous school to seek evidence as to the teacher’s suitability for progression.

Application of Upper Pay Scale Progression Criteria – Clarification

UPS3 teachers play a critical role in the life of the school. They provide a role model for teaching and learning, make a distinctive contribution to the raising of pupil standards and contribute effectively to the work of the wider team. They take advantage of appropriate opportunities for professional development and use the outcomes effectively to improve pupils' learning.

The following paragraphs refer to all teachers seeking to progress on the Upper Pay Scale.

To achieve progression, the School Teachers’ Pay and Conditions Document (STPCD) requires that the achievements of post-threshold teachers and their contribution to school(s) should have been substantial and sustained. To be fair and transparent, judgements must be properly rooted in evidence and there must have been a successful review of overall performance.

Progression on UPS should be based on two successful consecutive performance management reviews, other than under the exceptional circumstances as set out in the STPCD.

A successful performance review as prescribed by the regulations involves a performance management process of:

• performance objectives;
• classroom observation;
• other evidence.

To ensure that the achievements and contribution have been substantial and sustained, that performance review will need to assess that the teacher has:

• continued to meet threshold standards; and
• grown professionally by developing their teaching expertise post threshold.

APPENDIX 3

Upper Pay Scale Progression

Specimen form for use by NUT Members in seeking support from the NUT

Complete and return this form, attaching as much information as possible on the questions asked, together with the following:

• a copy of your threshold application form and feedback;
• a copy of the school’s policy on Upper Pay Scale progression;
• information obtained from the head teacher using the attached letter.

Personal details

Name: _________________________________

School: _________________________________

NUT Membership No: _________________________________

Post Held: _________________________________

(indicate any TLR payments or additional allowances)

Permanent / Fixed term / Temporary / Supply

Full-time / Part-time If part-time state proportion of full-time ______________

Period of employment at present school: _________________

Please provide information on the following areas:

Policy on UPS progression in your school

Are you aware of the policy adopted by the Governors of your school for UPS progression?

Were you required to make a written application before the decision on UPS progression was taken?

Were you required to provide further evidence before the decision on UPS progression e.g., on professional development undertaken over the last two years? Did you volunteer such evidence?

When were you informed that you would not progress to the next point on the UPS?

Was the decision given in writing, including the reason and citing evidence?

Competence issues

Were you informed at any time during your performance management cycle that your agreed targets would not be met? Do you feel that your targets were appropriate and achievable? Was any attempt made to alter your targets, without your agreement?

Have any concerns been expressed over the last two years in any other way concerning your competence as a teacher?

Have you been subject to any informal/formal capability procedure in that time?

Were there any implications for further professional development, including the feedback on your original threshold application?

Was any INSET support or advice promised which did or did not materialise?

Absence and other issues

How much absence have you had over the last two years? (Please provide brief summary of overall length of absence, number of occasions and reasons)

Do you feel the decision is discriminatory on the grounds of race, gender, disability, sexual orientation, religion or belief, trade union affiliation or other reason?

Further comments

Please add any further comments that add to the points above or in general terms.

APPENDIX 4

Upper Pay Scale Progression

Specimen Letter to Head teacher for Use by NUT Members

Dear Head teacher

I refer to your communication of advising me that it has been decided that I should not progress to the next point of the Upper Pay Scale.

I am advised by my union, the National Union of Teachers, that the statutory criterion for progression under para 19.4.1 of the School Teachers’ Pay and Conditions Document is that the governing body is “satisfied that the teacher’s achievements and contribution to the school, or to the school or schools in which he previously worked, have been substantial and sustained”.

In the light of these criteria, I request the following information.

• The school pay policy and the governing body’s policy and procedures for UPS progression.

• The date on which the governing body reached its decision.

• The process of reaching the decision, including full details of:

• the recommendation made by the performance reviewer;

• any further recommendation made or advice given by the head teacher and any other information or advice relied on by the governing body;

• the basis for the governing body’s decision that my contribution did not meet the statutory criteria for UPS progression.

• Any actions taken previously to alert me to concerns about my performance and the support given to me to address these concerns.

• The procedure for appeal against the decision.

Please ensure that any meetings to which I am invited to address any appeal are arranged in consultation with my Union Representative who is ____________________ so that he/she can be available to represent me at a mutually convenient meeting.

Yours sincerely

UPS PROGRESSION IN WALES

The requirement on governing bodies to consider pay recommendations made by reviewers during the performance management review applies only in England. Teachers in Wales are not subject to the same regulations on performance management. In Wales, there is no requirement for the reviewer to make a pay recommendation or for the governing body to consider any such recommendation. See Section 4 of this guidance for further specific advice on the position in Wales.