Education Council Audit

Information for schools, kura and early childhood education services

Function

Under the Education Act 1989 (as amended by the Education Amendment Act 2015) a function of the Education Council is to:

“ensure that appraisals made by professional leaders for the issue and renewal of practising certificates achieve a reasonable and consistent standard, by auditing and moderating the appraisals made for at least 10 percent of the practising certificates issued or renewed in each year.’”

ERO has been contracted to carry out this work on behalf of the Education Council.

Background

The audit/moderation process is intended to ensure appraisals for the issue and renewal of practising certificates achieve a ‘reasonable and consistent standard’. The endorsement process, completed by a professional leader, ensures a certificated teacher has met all of the Practising Teacher Criteria (formerly known as the Registered Teacher Criteria).

Scope

ERO generally carries out the audit in schools/kura and teacher-led early childhood services due for a scheduled review.

This is a system audit not an audit of individual teachers. It will be used to bring improvements and greater consistency at the system level.

The audit will examine the process where practising certificates were endorsed in the last 12 months. This includes the endorsements of principals and service leaders who hold a practising certificate and the endorsements for practising certificates of teachers and professional leaders who are no longer at the school/service, but whose practising certificates were endorsed there.

The audit includes certificated teachers in state and state integrated schools, specialist facilities such as teen parent and alternative education units, independent schools and Partnership Schools | Kura Hourua. It also includes teacher-led early childhood services (kindergartens, education and care services, and coordinators of home-based services).

Audit Process

The audit is usually completed by one reviewer early in the review.

Before the review, you will be asked to:

  • complete your Assurance Statement (the Self-Audit Checklist includes items about appraisal and registration)
  • provide a list of teachers’ registration numbers and dates of expiry of practising certificates
  • nominate a professional leader or person who has oversight of the completion and quality of appraisals and endorsements to discuss the process with the Review Officer.

Have the following information available to assist with the audit:

  • policies, procedures and guidelines related to appraisal and endorsement for the issue and renewal of practising certificates
  • specific appraisal evidence or summary appraisal records (hard copy or electronic) that provide the basis for the endorsement of practising certificates for all issues and renewals for registered teachers in the last 12 months.

During the audit, a Review Officer will:

  • review documentation of the school/service system for teacher appraisal and certification endorsement
  • discuss the appraisal and endorsement process with professional leader(s)
  • examine the summary appraisal records for leaders and teachers who have been endorsed in the last 12 months for the issue or renewal of a practising certificate
  • verify the process used to make endorsement decisions.

On completion of the audit, review officers will discuss with you areas where you need to improve processes or practices. Matters you need to attend to will be included in ERO’s communication to the board/management. As with any review, other matters regarding the quality of appraisal could arise as part of the general review. If significant, these will be included as part of the overall review findings.

Good practice in appraisal

ERO and the Education Council have developed an agreed set of endorsement and appraisal evaluation questions and indicators of good practice in appraisal to support judgements by review officers relating to the two broad investigative questions in the audit:

  1. Are the endorsements in the sample audited (those endorsed in the last 12 months) based on ‘meaningful” appraisal?
  2. Do the appraisals by professional leaders in this school or service for the issue and renewal of practising certificates achieve a ‘reasonable and consistent’ standard?

Confidentiality

ERO recognises that much of the material viewed will be confidential. Review officers will not copy or remove any individual appraisal documents.

All confidential material will be treated with care and in accordance with the provisions of the Privacy Act 1993 and Official Information Act 1982.