704 KAR 3:370 - Kentucky framework for personnel evaluation
RELATES TO: KRS 156.557, 156.800(7), 161.740
NECESSITY, FUNCTION, AND CONFORMITY: KRS 156.557(2) and (5)(c), and (7) require the Kentucky Board of Education to promulgate administrative regulations to establish a statewide framework for the purposes of supporting and improving the performance of all certified school personnel, to develop written guidelines for local school districts to follow in implementing a system of evaluation for certified school personnel, and to establish an appeals procedure for certified school personnel. This administrative regulation establishes a statewide framework to support and improve the performance of all certified school personnel as well as an appeals procedure for certified school personnel.
Section
1. Definitions.
(1) "Assistant
principal" means a certified school personnel who devotes the majority of
employed time in the role of assistant principal, for which administrative
certification is required by the Education Professional Standards Board
pursuant to 16 KAR Chapter 3.
(2)
"Certified administrator" means a certified school personnel, other than
principal or assistant principal, who devotes the majority of employed time in
a position for which administrative certification is required by the Education
Professional Standards Board pursuant to 16 KAR Chapter 3.
(3) "Certified evaluation plan" means the
procedures and forms for evaluation of certified school personnel below the
level of superintendent developed by an evaluation committee and meeting all
requirements of the Kentucky Framework for Personnel Evaluation.
(4) "Certified school personnel" means a
certified school employee, below the level of superintendent, who devotes the
majority of employed time in a position in a district for which certification
is required by the Education Professional Standards Board pursuant to Title 16
KAR and includes certified administrators, assistant principals, principals,
other professionals, and teachers.
(5) "Conference" means a meeting between the
evaluator and the evaluatee for the purposes of providing feedback, analyzing
the results of an observation or observations, reviewing other evidence to
determine the evaluatee's accomplishments and areas for growth, and leading to
the establishment or revision of a professional growth plan.
(6) "Evaluatee" means the certified school
personnel who is being evaluated.
(7) "Evaluation committee" means a group,
consisting of an equal number of teachers and administrators, who develop
personnel evaluation procedures and forms for a local school district pursuant
to
KRS
156.557(5)(c)(1).
(8) "Evaluator" means the primary evaluator
pursuant to
KRS
156.557(5)(c) 2.
(9) "Evaluator certification" means
successful completion of certified evaluation training to ensure that certified
school personnel who serve as observers of evaluatees demonstrate proficiency
in rating teachers and other professionals for the purposes of evaluation and
feedback.
(10) "Formative
evaluation" is defined by
KRS
156.557(1)(a).
(11) "Job category" means a group or class of
certified school personnel positions with closely related functions.
(12) "Kentucky Framework for Personnel
Evaluation" means the statewide framework a school district uses to develop a
local certified school personnel evaluation system.
(13) "Observation" means a data collection
process conducted by a certified evaluator, in person or through video, for the
purpose of evaluation, including notes, professional judgments, and examination
of the data collected during one (1) or more classroom or worksite visits of
any duration.
(14) "Other
professionals" means certified school personnel, except for teachers,
administrators, assistant principals, or principals for which certification is
required by the Education Professional Standards Board pursuant to KAR Title
16.
(15) "Peer observation" means
observation and documentation by certified school personnel below the level of
principal or assistant principal and trained to perform such
observations.
(16) "Performance
criteria" means the areas, skills, or outcomes on which certified school
personnel are evaluated as described in
KRS
156.557(4).
(17) "Performance measure" means one (1) of
four (4) measures defined in the Kentucky Framework for Personnel Evaluation.
Measures include planning, environment, instruction, and
professionalism.
(18) "Performance
rating" means the rating for each performance measure for a teacher, other
professional, principal, or assistant principal as determined by the local
district certified evaluation plan aligned to the Kentucky Framework for
Personnel Evaluation. Ratings shall be exemplary, accomplished, developing, and
ineffective.
(19) "Personnel
Evaluation System" or "system" means an evaluation system to support and
improve the performance of certified school personnel that meets the
requirements of
KRS
156.557 and that uses clear and timely
formative feedback to guide professional growth.
(20) "Principal" means a certified school
personnel who devotes the majority of employed time in the role of principal,
for which administrative certification is required by the Education
Professional Standards Board pursuant to KAR Title 16.
(21) "Sources of evidence" or "source of
evidence" means the district-approved evidence aligned to the performance
measure and used by evaluators to inform performance measure ratings listed in
Section 8 of this administrative regulation.
(22) "Summative evaluation" is defined by
KRS
156.557(1)(b).
(23) "Summative rating" means the overall
rating for certified school personnel below the level of superintendent as
determined by the district certified evaluation plan aligned to the Kentucky
Framework for Personnel Evaluation.
(24) "Teacher" means a certified school
personnel who has been assigned the responsibility for student learning in a
classroom, grade level, subject, or course and holds a teaching certificate
pursuant to KAR Title 16.
Section
2. District Evaluation Procedures and Forms.
(1) An evaluation committee shall develop the
certified evaluation plan for the evaluation of certified school personnel
below the level of superintendent. The evaluation committee shall submit the
certified evaluation plan to the local board of education for review and
approval.
(2) The local board of
education shall review and approve the certified evaluation plan that meets the
requirements of
KRS
156.557(5)(c) and this
administrative regulation.
(a) The district
certified evaluation plan may require the use of additional trained
administrative personnel to observe and provide information to the
evaluator.
(b) Peer observations
may be used as a source of evidence to inform a summative rating only if
requested by the teacher or other professional being evaluated.
(c) The district certified evaluation plan
shall establish uniform requirements for the length, frequency, and nature of
observations conducted by an evaluator for the purpose of evaluation. The
district certified evaluation plan shall require a conference between the
evaluator and the evaluatee within five (5) working days following each
observation.
(d) The district
certified evaluation plan shall require the summative evaluation to include all
applicable system data and be held at the end of the evaluation cycle pursuant
to
KRS
156.557.
(e) The district certified evaluation plan
shall require a summative evaluation to occur annually for each certified
school personnel below the level of superintendent who has not attained
continuing service status pursuant to
KRS
161.740 or continuing status pursuant to
KRS
156.800(7) and shall
incorporate the formative data collected during the Kentucky Teacher Internship
Program, pursuant to
16 KAR
7:010, in the summative evaluation of a teacher
intern.
(f) The district certified
evaluation plan shall require a summative evaluation at least once every three
(3) years for a teacher, other professional, principal, or assistant principal
who has attained continuing service status pursuant to
KRS
161.740 or continuing status pursuant to
KRS
156.800(7).
(g) The evaluation criteria and process used
to evaluate certified school personnel shall be explained to and discussed with
the evaluatee no later than the end of the evaluatee's first thirty (30)
calendar days of reporting for employment each school year.
(h) The district certified evaluation plan
shall require a summative evaluation of certified school personnel to be
documented in writing and to be included in the evaluatee's official personnel
record.
(i) All evidence used to
produce certified school personnel's overall performance rating shall be
included in the documentation of the summative evaluation.
(j) The district certified evaluation plan
shall provide an opportunity for the evaluatee to submit a written statement in
response to the summative rating and require the response to be included in the
official personnel record.
Section 3. District Personnel Evaluation
Policies.
(1) Each local school district shall
establish a written policy for implementing the certified evaluation plan for
all certified school personnel below the level of superintendent in the
district, consistent with the requirements of
KRS
156.557 and this administrative regulation.
The local board of education shall develop, adopt, and submit to the department
for approval a policy and procedure for evaluation of the district
superintendent.
Section
4. Department Approval of District Personnel Evaluation Plan. The
department shall review each local school district's certified evaluation plan
and approve a certified evaluation plan that is consistent with the
requirements of
KRS
156.557 and this administrative
regulation.
Section 5. Revisions to
Previously Approved District Evaluation Plan.
(1) The local board of education shall
review, as needed, the district's certified evaluation plan to ensure
compliance with
KRS
156.557 and this administrative
regulation.
(2) If a source of
evidence is added or removed from the certified evaluation plan or if a
decision rule or calculation is changed in the summative rating formula, the
revised certified evaluation plan shall be reviewed and approved by the local
board of education. If the local board of education determines the changes do
not meet the requirements of
KRS
156.557, the certified evaluation plan shall
be returned to the certified evaluation committee for revision.
Section 6. Training and Testing of
Evaluators.
(1) The district shall include
evaluator certification and observation training in the district's certified
evaluation plan submitted to the department for approval pursuant to Section 3
of this administrative regulation.
(2) The district shall ensure an evaluator
meets the requirements in the district's evaluation plan prior to conducting a
formative or summative evaluation.
(3) An evaluator shall be trained, tested,
and approved according to this administrative regulation and the district's
certified evaluation plan.
(4)
Evaluator training shall include:
(a) Initial
certified evaluation training and testing provided by the Kentucky Department
of Education or a provider approved by the department;
(b) Training on
KRS
156.557 and the requirements of this
administrative regulation;
(c)
Training in effective observation and conferencing techniques, in providing
clear and timely feedback, in establishing and assisting with a professional
growth plan, and in summative decision techniques; and
(d) A minimum of six (6) hours annually of
personnel evaluation system training approved by the Effective Instructional
Leadership Act established in
704 KAR
3:325.
Section 7. Training of Peer Observers.
(1) The district shall require peer
observations be performed by individuals who are trained in peer observation
techniques and responsibilities prior to the first peer observation.
(2) Peer observation training shall include
training in effective observation and conferencing techniques and the roles and
responsibilities of peer observers, evaluatees, and certified school
personnel.
Section 8.
Performance Measure.
(1) The district's
certified evaluation plan shall utilize the Kentucky Framework for Personnel
Evaluation pursuant to
KRS
156.557 and the requirements of this
administrative regulation and shall include the following performance measures:
(a) Planning;
(b) Environment;
(c) Instruction; and
(d) Professionalism.
(2) The district's certified evaluation plan
shall define criteria for each performance measure from the Kentucky Framework
for Teaching, the Kentucky Framework for Teaching with Specialist Frameworks
for Other Professionals, and the Professional Standards for Educational Leaders
that characterize effective practice and apply to the evaluatee.
(3)
(a) The
evaluator shall use sources of evidence, in combination with professional
judgment, to inform the teacher's or other professional's rating on each of the
four (4) performance measures listed in subsection (1) of this
section.
(b) The evaluator shall
use the following ratings:
1. "Exemplary"
shall be the rating for performance that consistently exceeds expectations for
effective performance;
2.
"Accomplished" shall be the rating for performance that consistently meets
expectations for effective performance;
3. "Developing" shall be the rating for
performance that inconsistently meets expectations for effective performance;
and
4. "Ineffective" shall be the
rating for performance that consistently fails to meet expectations for
effective performance. Because individual education program (IEP) goals are
student-specific, IEP goals may inform, but shall not be used as a single
source of evidence for any performance measure.
Section 9. Summative Rating of
Teachers, Other Professionals, Principals, and Assistant Principals.
(1) The overall performance category for
teachers or other professionals, principals, and assistant principals shall be
a district-determined rating by combining the four (4) performance measures
provided in Section 8 of this administrative regulation.
Section 10. Evaluation of Certified School
Personnel Assigned to the District Level for Purposes of Evaluation.
(1) The district's certified evaluation plan
for certified school personnel assigned to the district level for purposes of
evaluation shall:
(a) Utilize the performance
criteria established in
KRS
156.557(4), comply with
KRS
156.557 and the requirements of this
administrative regulation; and
(b)
List the performance criteria applicable to the evaluatee that characterizes
professional effectiveness.
(2) The district certified evaluation plan
for certified personnel assigned to the district level for purposes of
evaluation shall be specific to the evaluatee's job category.
Section 11. District Evaluation
Appeals Panel. The district shall provide the following in its system plan for
an appeal to the district evaluation appeals panel:
(1) A right to a hearing as to every
appeal;
(2) An opportunity, five
(5) days in advance of the hearing, for the evaluator and evaluatee to
adequately review all documents that are to be presented to the district
evaluation appeals panel; and
(3) A
right to have the evaluatee's chosen representative present at the
hearing.
Section 12.
State Evaluation Appeals Panel.
(1) A
certified school personnel who believes that the local district is not properly
implementing the district certified evaluation plan as approved by the
department shall have the opportunity to appeal to the Kentucky Board of
Education.
(2) The appeal
procedures shall be as established in this subsection.
(a) The Kentucky Board of Education shall
appoint a committee of three (3) state board members to serve on the state
evaluation appeals panel (SEAP). The SEAP's jurisdiction shall be limited to
procedural matters already addressed by the local appeals panel related to the
district's alleged failure to implement an evaluation plan as approved by the
department. The SEAP shall not have jurisdiction of a complaint involving the
professional judgment conclusion of an evaluation, and the SEAP's review shall
be limited to the record of proceedings and documents therein, or lack thereof,
at the local district level.
(b) No
later than thirty (30) calendar days after the final action or decision at the
local district level, a certified school personnel may submit a written request
to the chief state school officer for a review before the SEAP. If a certified
school personnel does not appeal within the time frame listed in this
paragraph, the request shall not be considered. A specific description of the
complaint and grounds for appeal shall be submitted with the request.
(c) A brief, written statement or other
document that a party wishes to submit for consideration by the SEAP shall be
filed with the panel and served on the opposing party at least twenty (20) days
prior to the scheduled review.
(d)
A decision of the SEAP shall be rendered within fifteen (15) working days after
the review.
(e) A determination of
district noncompliance with the district evaluation plan or absence of a
district local evaluation plan shall render the evaluation void.
Section 13.
Incorporation by Reference.
(1) The following
material is incorporated by reference:
(a)
"Kentucky Framework for Teaching", February 2014;
(b) "Kentucky Framework for Teaching with
Specialist Frameworks for Other Professionals", June 2015; and
(c) "Professional Standards for Educational
Leaders", 2015
(2) This
material may be inspected, copied, or obtained, subject to applicable copyright
law, at the Department of Education, 300 Sower Blvd, 5th Floor, Frankfort,
Kentucky 40601, Monday through Friday, 8 a.m. to 4:30 p.m.
Notes
STATUTORY AUTHORITY: KRS 156.070, 156.557(2), (5)(c), (7)
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