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PANC FALL CONFERENCE�October 22, 2025�Asheville, NC

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EFFECTIVE DOCUMENTATION

EVALUATIONS, PDPs, and

IMPROVEMENT PLANS

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Presented By:

Richard A. Schwartz

Schwartz Law P.L.L.C.

19 West Hargett St., Ste. 1000

Raleigh, NC 27601

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© 2025 Schwartz Law P.L.L.C.

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DISCUSSION POINTS

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  • Before we talk about documentation…

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LET’S TALK

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DISCUSSION POINTS

  • Are you (and your principals/supervisors comfortable having hard conversations about employee performance?
  • What do you (and your principals/supervisors) find difficult about this?
  • Why?

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DISCUSSION POINTS

  • Is there anything you feel prevents or inhibits you from dealing effectively with poorly performing employees/teachers?
  • Are you comfortable/confident dealing with poorly performing teachers and other employees?
    • If so, why?
    • If not, why not?

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DISCUSSION POINTS

  • What is the difference between “dealing with” and “dealing effectively with” poorly performing employees/teachers?

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  • What would help you deal more effectively with poorly performing employees/teachers?

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Documenting For Outcomes

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IF YOU ARE DOING THIS…

STOP!!!

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8 STEPS

  • FIRST: Know the law
  • SECOND: Know your relevant school board policies
  • THIRD: Know State Board policies
  • FOURTH: Understand how to apply them
  • FIFTH: Document fairly, consistently and effectively
  • SIXTH: Meet with the employee
  • SEVENTH: Evaluate and assess documentation
  • EIGHTH: Make employment decisions

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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    • Career Status Teachers and Other “Career Employees”

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Definition of “Career Employee,” G.S. § 115C-325(a)(1a), includes:

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A licensed employee who was awarded career status by that local board as a teacher prior to August 1, 2013.

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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15 grounds for dismissal under both Teacher Tenure Law (for career status teachers), G.S. § 115C-325(e)(1), and under G.S. §115C-325.4(a) (for contract teachers):

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  1. Inadequate performance
  2. Immorality
  3. Insubordination
  4. Neglect of Duty
  5. Physical or mental incapacity
  6. Habitual or excessive use of alcohol or controlled substance
  7. Conviction of a felony or crime involving moral turpitude
  8. Advocating overthrow of the government by force, violence, or other unlawful means
  1. Failure to fulfill statutory duties and responsibilities
  2. Failure to comply with board policies
  3. Any cause which constitutes grounds for license revocation
  4. RIF
  5. Failure to maintain license
  6. Failure to repay money owed to the State
  7. Providing false information or knowingly omitting a material fact on application or in preemployment

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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15 grounds for dismissal under both Teacher Tenure Law (for career status teachers), G.S. § 115C-325(e)(1), and under G.S. §115C-325.4(a) (for contract teachers):

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  1. Inadequate performance
  2. Immorality
  3. Insubordination
  4. Neglect of Duty
  5. Physical or mental incapacity
  6. Habitual or excessive use of alcohol or controlled substance
  7. Conviction of a felony or crime involving moral turpitude
  8. Advocating overthrow of the government by force, violence, or other unlawful means
  1. Failure to fulfill statutory duties and responsibilities
  2. Failure to comply with board policies
  3. Any cause which constitutes grounds for license revocation
  4. RIF
  5. Failure to maintain license
  6. Failure to repay money owed to the State
  7. Providing false information or knowingly omitting a material fact on application or in preemployment

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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15 grounds for dismissal under both Teacher Tenure Law (for career status teachers), G.S. § 115C-325(e)(1), and under G.S. §115C-325.4(a) (for contract teachers):

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  1. Inadequate performance
  2. Immorality
  3. Insubordination
  4. Neglect of Duty
  5. Physical or mental incapacity
  6. Habitual or excessive use of alcohol or controlled substance
  7. Conviction of a felony or crime involving moral turpitude
  8. Advocating overthrow of the government by force, violence, or other unlawful means
  1. Failure to fulfill statutory duties and responsibilities
  2. Failure to comply with board policies
  3. Any cause which constitutes grounds for license revocation
  4. RIF
  5. Failure to maintain license
  6. Failure to repay money owed to the State
  7. Providing false information or knowingly omitting a material fact on application or in preemployment

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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15 grounds for dismissal under both Teacher Tenure Law (for career status teachers), G.S. § 115C-325(e)(1), and under G.S. §115C-325.4(a) (for contract teachers):

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  1. Inadequate performance
  2. Immorality
  3. Insubordination
  4. Neglect of Duty
  5. Physical or mental incapacity
  6. Habitual or excessive use of alcohol or controlled substance
  7. Conviction of a felony or crime involving moral turpitude
  8. Advocating overthrow of the government by force, violence, or other unlawful means
  1. Failure to fulfill statutory duties and responsibilities
  2. Failure to comply with board policies
  3. Any cause which constitutes grounds for license revocation
  4. RIF
  5. Failure to maintain license
  6. Failure to repay money owed to the State
  7. Providing false information or knowingly omitting a material fact on application or in preemployment

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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15 grounds for dismissal under both Teacher Tenure Law (for career status teachers), G.S. § 115C-325(e)(1), and under G.S. §115C-325.4(a) (for contract teachers):

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  1. Inadequate performance
  2. Immorality
  3. Insubordination
  4. Neglect of Duty
  5. Physical or mental incapacity
  6. Habitual or excessive use of alcohol or controlled substance
  7. Conviction of a felony or crime involving moral turpitude
  8. Advocating overthrow of the government by force, violence, or other unlawful means
  1. Failure to fulfill statutory duties and responsibilities
  2. Failure to comply with board policies
  3. Any cause which constitutes grounds for license revocation
  4. RIF
  5. Failure to maintain license
  6. Failure to repay money owed to the State
  7. Providing false information or knowingly omitting a material fact on application or in preemployment

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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15 grounds for dismissal under both Teacher Tenure Law (for career status teachers), G.S. § 115C-325(e)(1), and under G.S. §115C-325.4(a) (for contract teachers):

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  1. Inadequate performance
  2. Immorality
  3. Insubordination
  4. Neglect of Duty
  5. Physical or mental incapacity
  6. Habitual or excessive use of alcohol or controlled substance
  7. Conviction of a felony or crime involving moral turpitude
  8. Advocating overthrow of the government by force, violence, or other unlawful means
  1. Failure to fulfill statutory duties and responsibilities
  2. Failure to comply with board policies
  3. Any cause which constitutes grounds for license revocation
  4. RIF
  5. Failure to maintain license
  6. Failure to repay money owed to the State
  7. Providing false information or knowingly omitting a material fact on application or in preemployment

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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15 grounds for dismissal under both Teacher Tenure Law (for career status teachers), G.S. § 115C-325(e)(1), and under G.S. §115C-325.4(a) (for contract teachers):

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  1. Inadequate performance
  2. Immorality
  3. Insubordination
  4. Neglect of Duty
  5. Physical or mental incapacity
  6. Habitual or excessive use of alcohol or controlled substance
  7. Conviction of a felony or crime involving moral turpitude
  8. Advocating overthrow of the government by force, violence, or other unlawful means
  1. Failure to fulfill statutory duties and responsibilities
  2. Failure to comply with board policies
  3. Any cause which constitutes grounds for license revocation
  4. RIF
  5. Failure to maintain license
  6. Failure to repay money owed to the State
  7. Providing false information or knowingly omitting a material fact on application or in preemployment

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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Superintendent has burden of proof in any disciplinary suspension or termination.

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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    • Non-Renewal of Teachers and School Administrators

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      • For any cause that is not arbitrary, capricious, discriminatory, personal or political, or on any basis prohibited by state or federal law. §115C-325.3(e) [contract teachers]; §115C-287.1(d) [administrators]

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      • In lawsuit, burden of proof is on non-renewed teacher. Abell v. Nash County Board of Education, 365 S.E.2d 706 (N.C.App 1988).

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      • An arbitrary or capricious reason is one without any rational basis in the record, such that a decision amounts to an abuse of discretion. Id.�
      • Effective July 1, 2014, for non-career status contract teachers, there is no right to nonrenewal hearing. Teachers may petition the Board to request a hearing, but it is within the Board’s discretion whether to grant or deny a hearing. G.S. §115C-325.3(e).

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      • Hearing rights for nonrenewal of contract administrators. G.S. § 115C-287.1(d). [Effective July 1, 2014, Superintendent no longer has to inform administrator of the reasons for recommendation for nonrenewal.]

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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    • G.S. § 115C-307 – Duties of Teachers

 

      • “To maintain good order and discipline”; subsection (a)

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      • “To encourage temperance, morality, industry, and neatness”; subsection (b)

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      • “To teach as thoroughly as they are able”; subsection (d)

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      • “To enter actively” into plans for professional growth; subsection (e)

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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    • G.S. § 115C-288 – Powers and Duties of Principal

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      • “The principal shall give suggestions to teachers for the improvement of instruction.” subsection (c)

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      • “The principal also shall develop mandatory improvement plans as provided in G.S. 115C-333(b) and G.S. 115C-333.1(b) and shall monitor an employee’s progress under a mandatory improvement plan.” Subsection (i)

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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    • G.S. § 115C-325(e)(3) – Teacher Tenure Act: Inadequate Performance AND G.S. §115C-325.4(a)(1):
    • “In determining whether the professional performance of a career employee is adequate, consideration shall be given to regular and special evaluation reports prepared in accordance with the published policy of the employing local school administrative unit and to any published standards of performance which shall have been adopted by the board.”

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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    • G.S. § 115C-325(e)(3) – Teacher Tenure Act: Inadequate Performance

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    • “Inadequate performance for a career teacher shall mean (i) the failure to perform at a proficient level on any standard of the evaluation instrument or (ii) otherwise performing in a manner that is below standard. For a career teacher, a performance rating below proficient shall constitute inadequate performance unless the principal noted on the instrument that the teacher is making adequate progress toward proficiency given the circumstances.”

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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    • G.S. § 115C-325.4(a)(1) – Inadequate Performance

“Inadequate performance for a teacher shall mean (i) the failure to perform at a proficient level on any standard of the evaluation instrument or (ii) otherwise performing in a manner that is below standard.”

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FIRST: Know The Law

  • Legal Standards to Improve Teacher Performance or to Support Termination Decisions

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    • G.S. § 115C-325(e)(3) – Teacher Tenure Act: Inadequate Performance

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    • “Failure to notify a career employee of an inadequacy or deficiency in performance shall be conclusive evidence of satisfactory performance.”

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NOTE: This is not in the laws applicable to

teachers without career status!

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FIRST: Know The Law

  • The Law and Evaluations

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    • G.S. § 115C-333 – Teachers in Low-Performing Schools

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      • Annual evaluations of teachers in low-performing schools. Evaluation to occur early enough during the school year to provide adequate time for development of a MIP if one is recommended.
      • Mandatory Improvement Plans, subsection (b)
      • Reassessment of employee in low-performing school, subsection (c)
      • State Board Notification, subsection (d)
      • Immunity for evaluators, subsection (e)

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FIRST: Know The Law

  • The Law and Evaluations

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    • G.S. 115C-333.1 – Teachers in Schools that are NOT Low Performing

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FIRST: Know The Law

  • The Law and Evaluations

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    • G.S. 115C-333.1 – Teachers in Schools that are NOT Low Performing

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    • Annual evaluation, unless local board adopts rules that allow career status teachers or teachers on a four-year contract to be evaluated more or less frequently, subsection (a)
    • Teachers who have not been employed at least three consecutive years shall be observed at least three times annually by the principal or designee and at least once annually by a teacher and evaluated annually by the principal (for high schools with at least 1,500 students, annual evaluation may be conducted by AP, provided at least one evaluation in the teacher’s first three years is conducted by the principal). All teachers who have been licensed less than two years shall be observed at least three times annually by the principal or designee and at least once annually by a teacher and at least once annually by the principal, with at least two of those observations conducted in the first semester and, if practicable, at least one of those observations within the first grading period, subsection (a).
    • Performance standards and criteria adopted by State Board of Education must be used, with additional local criteria and standards also allowed, subsection (a).
    • Mandatory Improvement Plans, subsection (b)
    • Qualified observer, subsection (c)
    • Reassessment, subsection (d)
    • State Board Notification, subsection (f)
    • Civil immunity, subsection (g)

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FIRST: Know The Law

  • The Law and Evaluations

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    • Mandatory Improvement Plans (MIPs)

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      • Defined in law: “A mandatory improvement plan is an instrument designed to improve a teacher's performance or the performance of any licensed employee by providing the individual with notice of specific performance areas that have substantial deficiencies and a set of strategies, including the specific support to be provided to the individual, so that the individual, within a reasonable period of time, should satisfactorily resolve such deficiencies.”

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FIRST: Know The Law

  • The Law and Evaluations

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    • Mandatory Improvement Plans (MIPs)

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      • The elements required for a Mandatory Improvement Plan (MIP) are,

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FIRST: Know The Law

  • The Law and Evaluations

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    • Mandatory Improvement Plans (MIPs)

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      • The elements required for a Mandatory Improvement Plan (MIP) are, at a minimum:
        • Specific performance areas that are deficient
        • Strategies to resolve them
        • Specific support to be provided to the teacher

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FIRST: Know The Law

  • At-Will Employees

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FIRST: Know The Law

  • At-Will Employees

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    • Traditional meaning of at-will employment is that employer could terminate employment for any reason or no reason at all, as long as the reason was not illegal (e.g., discrimination, retaliation, freedom of speech).

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    • G.S. § 115C-45(c)(3) allows at-will school employees to appeal dismissal or other changes in their terms or conditions of employment or their employment status to the school board for a hearing. Effective July 1, 2014, the right to receive written notice as to the reason for any dismissal, demotion, or suspension without pay and the right to appeal the Board’s decision to court have been eliminated.

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FIRST: Know The Law

  • Discrimination

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    • The legal issue is whether termination (or other adverse employment actions) was motivated by a discriminatory purpose or the results in a discriminatory impact or effect. Employer must be able to articulate legitimate, non-discriminatory reason for action taken.

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SECOND: Know Your Relevant School Board Policies

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What is the Board’s adopted standard for employee performance?

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SECOND: Know Your Relevant School Board Policies

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SECOND: Know Your Relevant School Board Policies

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What is the Board’s adopted standard for employee performance?

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SECOND: Know Your Relevant School Board Policies

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  • Staff Responsibilities 
  • Teacher Contracts
  • Code of Ethics and Standards of Conduct
  • Professional and Staff Development
  • Evaluation of Licensed Employees
  • Plans for Growth and Improvement of Licensed Employees
  • Professional Employees: Demotion and Dismissal
  • Nonrenewal of Teachers
  • Evaluation of Non-Licensed Employees
  • Classified Personnel: Suspension and Dismissal

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THIRD: Know State Board of Education Policies

  • Code of Ethics for North Carolina Educators, 16 N.C.A.C. 6C.0601 and .0602 (SBE Policy EVAL-014)
    • Sets forth high standards, expectations and commitments to:
      • The student
      • The school and school system (substance removed 5/2/24 (see EVAL-035, slide 40))
      • The profession

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THIRD: Know State Board of Education Policies

  • Standards of Professional Conduct, 16 N.C.A.C. 6C. 0602 (SBE Policy EVAL-035)
    • Establishes standards of conduct for all licensed educators:

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  • Generally recognized professional standards
  • Conduct with students
  • Alcohol and controlled substances
  • Honesty
  • Compliance with criminal laws
  • Proper remunerative conduct
  • Confidential information
  • Rights of others
  • Required reports
  • Public funds and property
  • Scope of professional practice
  • Abuse of authority

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608 (replaces former License Suspension and Revocation, 16 N.C.A.C. 6C. 0312, effective 7/1/24)
    • Lists prohibited conduct/behaviors
    • “Thou shalt not…”

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608
    • Policy Statement sets forth the circumstances and procedures under which SBE may impose license sanctions.
    • It is the policy objective of the SBE to promote the highest standards of professional and ethical behavior among licensed professional educators, and to hold accountable those educators who fall short of those standards. Such standards are included, but not limited to, the Standards of Professional Conduct for North Carolina Educators, as set forth in SBE Policy EVAL-035 (slide 40).

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608

Section 4: Denying or Sanctioning a License:

    • fraud, material misrepresentation, or concealment in an application for the license
    • Become ineligible for the license
    • Been convicted of a crime
    • Been dismissed pursuant to G.S. 115C-325(e)(1) or 115C-325.4
    • Resigned without thirty calendar days’ notice, except with the prior consent of the superintendent

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608
  • Section 4: Denying or Sanctioning a License (cont):
    • Had a professional educator license or other occupational license revoked or suspended in North Carolina or another state due to a finding of misconduct
    • Failed to report suspected child abuse or other suspicion of professional misconduct by a licensed employee in accordance Section 9 of this Policy
    • Violated the Testing Code of Ethics
    • Engaged in any other illegal, unethical, or lascivious conduct, or otherwise violated the Standards of Professional Conduct as set forth in SBE Policy EVAL-035

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608
    • Automatic Revocation
      • plea of guilty or nolo contendere to or has been finally convicted of 23 listed serious crimes
    • Reporting Requirements for PSU Administrators (includes superintendent, assistant superintendent, personnel administrator, principal, school director)

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608
    • Under section 9.a.ii. of this policy, “Misconduct” means either:
      • Conduct that justifies automatic revocation of a license under G.S. 115C-270.35(b);
      • Conduct that has resulted in a criminal charge or indictment for any of the crimes listed in G.S. 115C-270.35(b); or
      • Conduct involving the physical or sexual abuse of a child or a student. “Physical abuse” means the infliction of physical injury other than by accident or in self-defense. “Sexual abuse” means any sexual contact with a child or student, regardless of the presence or absence of consent.

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608
    • Any administrator who knows, has reason to believe, or has actual notice of a complaint that a licensed professional educator has engaged in misconduct, as defined in Subsection 9.a.ii. that results in the suspension without pay, termination of employment, non-renewal of the employment contract, or resignation shall report the misconduct in writing to the SBE within five calendar days of the dismissal, suspension, nonrenewal, or acceptance of the educator’s resignation. If an educator resigns within 30 days of a complaint for misconduct or during an ongoing investigation of a complaint, the alleged misconduct is presumed to have resulted in the resignation.

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608
    • If a PSU governing body or its authorized designee demotes, dismisses, declines to renew the employment contract, or accepts the resignation of a licensed professional educator as a result of conduct that is not covered by Subsection 9.b but that may otherwise justify disciplinary sanctions against the educator under Section 4 of this Policy [see slides 43-44], an administrator for the PSU shall report the conduct in writing to the State Superintendent within 30 calendar days of the demotion, dismissal, nonrenewal, or acceptance of the educator’s resignation.

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THIRD: Know State Board of Education Policies

  • Disciplinary Process and Sanctions, SBE Policy LICN-007; 16 N.C.A.C. 6C.0601 - .0608
    • If one administrator submits a single report on behalf of the PSU pursuant to the requirements of this Policy, that report shall satisfy the reporting obligations of all administrators who may have reporting obligations under this Policy or under G.S. 115C-326.20.

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    • If a PSU terminates the employment of an educator, does not renew the educator’s contract, or accepts the educator’s resignation for any reason that may require a report under this Policy, an administrator for the PSU shall notify the educator of the reporting requirement upon separation from employment.

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

    • Training is a required component
      • Teachers
      • Principals
      • Peer evaluators

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

    • Orientation is a required component.
      • Within 2 weeks of teacher’s first work day in any school year
      • Principal must provide (may do so by electronic means) the teacher with:
        • The Rubric
        • SBE Policy EVAL-004
        • Schedule for completing all components of the evaluation process.

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

    • Summary Rating – Minimum requirements:
      • Rate each Element
      • Written comments required if “Not Demonstrated”
      • Overall rating for each Standard
      • Provide the teacher an opportunity to add comments to the Teacher Summary Rating Form
      • Review completed Summary Rating Form with the teacher
      • Get the teacher’s signature on both the Record of Teacher Evaluation Activities and Summary Rating Form

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

Professional Development Plans

    • Individual Growth Plan – if teacher is rated at least “Proficient” on all Standards on Summary Rating Form

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

Professional Development Plans

    • Monitored Growth Plan – if teacher is rated “Developing” on one or more Standard on Summary Rating Form and is not recommended for dismissal, demotion or nonrenewal.

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

Professional Development Plans

    • Directed Growth Plan – if teacher is not recommended for dismissal, demotion or nonrenewal and rated:
        • “Not Demonstrated” on any Standard on the Summary Rating Form OR
        • “Developing” on one or more Standards for two straight years

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THIRD: Know State Board of Education Policies

  • SBE Policy EVAL-004 – revisions added 12/3/15:

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    • SBE revised this policy effective December 3, 2015, to clarify teacher observation requirements in low performing schools and to ensure alignment with statutory requirements.

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THIRD: Know State Board of Education Policies

  • SBE Policy EVAL-004 – revisions added 12/3/15:

Process for Evaluation of Licensed Staff in Low-Performing Schools

  • For schools designated as low performing, school administrators shall evaluate, as early in the school year as possible, all licensed employees for the purpose of providing adequate time for the development and implementation of a mandatory improvement plan.
  • The evaluation of licensed staff in a low-performing school shall consist of the prior year summative evaluation (where available), all available student-growth data (EVAAS or ASW, if applicable), the staff member’s Professional Development Plan (PDP), a pre-observation conference, a formal observation, and a post-observation conference.

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THIRD: Know State Board of Education Policies

  • SBE Policy EVAL-004 – revisions added 12/3/15:

Process for Evaluation of Licensed Staff in Low-Performing Schools

  • Based on the formal observation and other available evaluation data, the administrator shall assign performance ratings. If the licensed staff member is determined to have an area of deficiency (less than “Proficient” on Standards 1-5), then the evaluator shall recommend to the superintendent one of the following four (4) options:  
    1. the employee receive a mandatory improvement plan, or
    2. the employee be dismissed, demoted, or not be recommended for contract renewal, or
    3. the employee be removed immediately for conduct that causes substantial harm to the educational environment, or
    4. no recommendation be made (with explanation to superintendent). If no recommendation is made, then the superintendent shall select one of the three options listed above. See, G.S. 115C-333(b)(2a).

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THIRD: Know State Board of Education Policies

  • SBE Policy EVAL-004 – revisions added 12/3/15:
  • If a mandatory improvement plan is recommended for a licensed staff member, then the PDP may function as the mandatory improvement plan provided it addresses all areas of deficiency surfaced by the evaluation and contains recommendations and specific supports for satisfactorily resolving such deficiencies. A PDP that meets those criteria shall be deemed to satisfy the requirements of N.C. Gen. Stat. § 115C-333(b) (i.e., mandatory improvement plan).
  • Licensed staff with no deficiencies in practice documented in their evaluations may return to the appropriate evaluation plan type (Comprehensive, Standard, or Abbreviated) for the remainder of the school year. The evaluation process described above does not meet the requirements of an annual evaluation for licensed staff, but can be used to satisfy one observational requirement for an annual evaluation.
  • LEAs that recommend a licensed staff member for dismissal or demotion should consult their local board attorney and follow the procedures outlined in N.C. Gen. Stat. § 115C-333(b)(2a).

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THIRD: Know State Board of Education Policies

  • SBE Policy EVAL-004 – revisions added 12/3/15
  • Implications without an exact timeline:
    • LEAs shall evaluate all licensed employees assigned to a low-performing school.
    • ALL MEANS ALL
      • No matter if the teacher is new to the school
      • No matter if the teacher has never taught before.
      • ALL MEANS ALL
    • Evaluate all licensed employees in the school. Not just classroom teachers
    • The “evaluation” shall occur early enough in the year to provide adequate time for the development and implementation of a Mandatory Improvement Plan (MIP), if one is recommended.

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

Professional Development Plans

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

Professional Development Plans

    • Timelines:

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THIRD: Know State Board of Education Policies

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

Professional Development Plans

    • Timelines: Under the evaluation system, the only differences among an “Individual Growth Plan,” a “Monitored Growth Plan,” and a “Directed Growth Plan” are the timelines.
      • Individual Growth Plan – no set timeline.
      • Monitored Growth Plan – “timeline which allows the teacher one school year to achieve Proficiency.”
      • Directed Growth Plan – “timeline for achieving Proficiency within one school year or such shorter time as determined by the LEA.”

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THIRD: Know State Board of Education Policies

State Board of Education Policy EVAL-004: Policy Establishing the Teacher Performance Appraisal Process:

Professional Development Plans

    • Timelines
    • ALSO REMEMBER: The timelines for “Mandatory Improvement Plans” are:
      • Set forth by law (not SBE policy)
      • Different in low performing schools than in schools that are not low performing

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THIRD: Know State Board of Education Policies

  • SBE Policy EVAL-006 – Policy on Evaluation Standards and Criteria for Teachers
  • Separate SBE Policies on Evaluation Standards and Criteria for:
    • EVAL-009 - Speech Language, EC Case Mgr., OT, and Community Schools Coord.
    • EVAL-025 – School Psychologists
    • EVAL-026 – School Counseling
    • EVAL-027 – School Social Work
    • EVAL-028 – Instructional Technology Facilitators
    • EVAL-029 – School Library Media Coordinators
    • EVAL-030 – School Executives
    • EVAL-031 – Superintendents & Instructional Central Office Staff
    • EVAL-032 – Teacher Leadership Specialists
    • EVAL-033 – Career Development Coordinators

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FOURTH: Understand How to Apply Them

  1. Clearly identify/articulate the problems.
  2. Identify the Standards and Elements to be improved
  3. Establish clear goals
  4. Strategies (to be performed by the teacher)
  5. Administrative support, review, documentation
  6. Completion dates

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FOURTH: Understand How to Apply Them

  1. Refer to relevant duties and responsibilities under
    • State law
    • Local board policies
    • State Board policies
  2. Link expectations to standards and elements from evaluation instrument
  3. Establish clear administrative expectations

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FIFTH: Document Fairly, Consistently and Effectively

  1. ALWAYS document for the purpose of improvement.

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  • ALWAYS be honest.

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  • ALWAYS do what is best for the kids.

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FIFTH: Document Fairly, Consistently and Effectively

  • Judgment Calls
  • Put it in Writing
  • Check Facts First
  • Share with Teacher
  • Be Candid and Direct (Courage)

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FIFTH: Document Fairly, Consistently and Effectively

  • Identify Problems
  • Avoid Educational Jargon
  • Fifth Grade Rule
  • Good Spelling and Grammar
  • Be Timely

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FIFTH: Document Fairly, Consistently and Effectively

  • Be Specific in Directives
  • Warn of Consequences
  • Keep a Copy
  • Never Throw Away
  • Placement in Teacher’s Personnel file – G.S. §115C-325(b) [for career teachers]; G.S. §115C-325.2 [for contract teachers.]

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FIFTH: Document Fairly, Consistently and Effectively

  • Give Credit Where Credit is Due
  • Offer Assistance
  • Document Your Assistance/Kindness
  • Conference with Teacher
  • Avoid “I never saw this” or “Nobody told me”

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FIFTH: Document Fairly, Consistently and Effectively

  • Follow-through by Administrator
  • Consider Involving Other Administrators/Observers
  • Document Failure to Comply with Directives
  • Do Not Overload or “Paper the File” with trivia
  • Quality is more important that Quantity (but Quantity counts, too)

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FIFTH: Document Fairly, Consistently and Effectively

Documentation Tips Under State Evaluation Process:

    • Document your compliance with all basic requirements.
    • If teacher is not “Proficient,” document current performance in a letter or memo before you get to the end of the year.
    • Don’t just use NCEES.
    • Reflect all performance concerns on the Summary Rating.
      • Make it “fit” somewhere
      • Use narrative comments, whether required or not
      • If performance is “unsatisfactory,” “below standard,” or “inadequate,” say so, in these words.
    • Make sure the peer observation is meaningful and rigorous.
    • Timeliness of documentation and feedback.

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FIFTH: Document Fairly, Consistently and Effectively

Other Types of Documentation

  • Not Oral Discussions
  • Memorandum to File
  • Third Party Complaint (Parent, Student, etc.)
  • Specific Incident Memorandum
  • Conference Memorandum
  • Summary Memorandum
  • Letters of Reprimand, Warning, Guidance
  • Improvement Plans
  • Recommendation to Superintendent

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SIXTH: Meet With the Employee

  • Initial meeting:
    • Establish need for improvement
    • Identify problems
    • Set forth expectations
    • Be clear, straightforward and honest

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SIXTH: Meet With the Employee

  • Meet frequently
  • Ongoing involvement, interaction and feedback
  • Vigilant adherence to deadlines
  • Generate documentation after each meeting

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SEVENTH: Evaluate and Assess Documentation

  • Strategies completed?
  • Goals accomplished?
  • Problems resolved?
  • Proficiency achieved?

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SEVENTH: Evaluate and Assess Documentation

  • Don’t Focus only on Strategies (and whether they were completed) for this Determination

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  • Driven by Results, not Passage of Time

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SEVENTH: Evaluate and Assess Documentation

  • Determine Extent/Degree of Accomplishment

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  • Analyze Lack of Success

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SEVENTH: Evaluate and Assess Documentation

  • Central Office Review of Documentation

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  • Principal’s Recommendation

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EIGHTH: Make Employment Decisions

  • Continue Plan
  • Revise/Adjust Plan
  • Go to a “Maintenance-Level” Plan
  • Declare Success
  • Resignation, Non-renewal, Dismissal or Other Action

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Mandatory Improvement Plans

Legal Requirements, Implications and Options

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How Did We Get Here?

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  • Background

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  • State history on evaluating teachers (1979)

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How Did We Get Here?

  • Big Changes in 1998
    • Action Plans added

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    • Different rules for poorly performing teachers in low performing schools

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    • Boards required to adopt policy on Action Plans

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    • State Board list of dismissed teachers

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2008-2011

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  • New Teacher Evaluation System

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  • Individual, Monitored and Directed Growth Plans added

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S.L. 2011-348 (S.B. 466)

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  • Mandatory Improvement Plans (MIPs) replace Action Plans

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  • LOTS OF OTHER CHANGES

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  • Effective: July 1, 2011

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S.L. 2013-360 (2013 Appropriations Act)

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  • Made further revisions

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  • Effective: July 1, 2014

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Existing Legal Standards On Performance

From Case Law:

  • Failure to follow evaluation requirements may be evidence of arbitrary or capricious action. Clinton v. Wake Co. Bd. Of Edu., 108 N.C.App. 616, disc. rev. denied, 333 N.C. 574 (1993).

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  • A teacher’s competence and qualifications for tenure or promotion are inherently highly subjective determinations. Mayberry v. Dees, 663 F.2d 502 (4th Cir. 1981), cert. denied, 459 U.S. 830 (1982).

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Existing Legal Standards On Performance

From Case Law:

  • “A finding that the evidence of any grounds listed under G.S. 115C-325(e)(1) was substantial justifies dismissal where, as here, the teacher was notified that dismissal was based on that ground.” Hope v. Charlotte-Mecklenburg Bd. Of Educ., 110 N.C. App. 599 (1993).

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  • “Substantial evidence is such relevant evidence as a reasonable mind might accept as adequate to support a conclusion.” Thompson v. Wake Co. Bd. Of Educ., 292 N.C. 406 (1977).

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Existing Legal Standards On Performance

From Case Law:

  • The Supreme Court of North Carlina has observed that because teachers are entrusted with the care of young children and adolescents, “[t]heir character and conduct may be expected to be above those of the average individual not working in so sensitive a relationship as that of a teacher to pupil. It is not inappropriate or unreasonable to hold our teachers to a higher standard of personal conduct, given the youthful ideals they are supposed to foster and elevate.” Faulkner v. New Bern-Craven Bd. Of Educ., 311 N.C. 42, 59 (1984). As a result, the SBE expects all educators to demonstrate a high standard of personal character and conduct both in and outside the school setting. [SBE Policy EVAL-035; 16 NCAC 06C.0602]

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Mandatory Improvement Plans

  • Created by S.L. 2011-348; S.B. 466
  • “Action Plans” were replaced with Mandatory Improvement Plans (MIPs)
  • G.S. 115C-333 substantially revised; now applies only to teachers in low-performing schools
  • Added G.S. 115C-333.1 - applies to teachers in schools not low-performing.

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Mandatory Improvement Plans

  • Defined as: “an instrument designed to improve a teacher’s performance or the performance of any licensed employee … by providing the individual with notice of specific performance areas that have substantial deficiencies and a set of strategies, including the specific support to be provided to the individual, so that the individual, within a reasonable period of time, should satisfactorily resolve such deficiencies.”

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Mandatory Improvement Plans

  • When may a teacher be placed on a MIP?

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    • Teachers may be placed on MIPs following below proficient ratings on evaluations.

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    • Regardless of any evaluation ratings, a principal may place a teacher on a MIP if the teacher has engaged in inappropriate conduct or performed inadequately to such a degree that such conduct or performance is causing substantial harm to the educational environment and that immediate dismissal or demotion is inappropriate. The principal must document the exigent reason for immediately instituting the MIP.

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Mandatory Improvement Plans

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  • Local boards may adopt policies for the development and implementation of MIPs and for monitored and directed growth plans.

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Specific Requirements for LOW-PERFORMING SCHOOLS (G.S. 115C-333)

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  • Requires annual evaluation of all licensed employees assigned to schools identified as low-performing.

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  • Requires local boards to use performance standards and criteria adopted by SBE, and may adopt additional criteria and standards.

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Specific Requirements for LOW-PERFORMING SCHOOLS (G.S. 115C-333)

MIP is mandatory:

  • A rating on an evaluation of below proficient or otherwise representing below standard performance, or if teacher has engaged in inappropriate conduct or performed inadequately to the degree that it causes such substantial harm that immediate dismissal is recommended by evaluator, it must result in either a MIP or a recommendation for dismissal or nonrenewal. Evaluator must recommend to the Superintendent, who must decide.

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MIP Development:

  • MIP shall be developed by the evaluator or supervisor, unless evaluation was done by assistance team.
  • If evaluation was done by assistance team, then it develops MIP in collaboration with principal/supervisor.

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MIP Time Limits

  • MIP shall be designed to be completed within: 90 instructional days or before the beginning of the next school year.

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Specific Requirements for LOW-PERFORMING SCHOOLS (G.S. 115C-333)

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Reassessments/Results:

  • Upon reassessment after a MIP, Superintendent must initiate dismissal, demotion or nonrenewal proceedings if the employee has failed to either become proficient or demonstrate sufficient improvement toward the standards.

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  • If not proficient, reassessment results shall constitute “substantial evidence” of teacher’s inadequate performance.

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Specific Requirements for LOW-PERFORMING SCHOOLS (G.S. 115C-333)

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State Board Notification

  • If a local board dismisses a career status employee for any reason other than a RIF, or dismisses a teacher under contract for cause, it must notify SBE.

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  • This requirement also applies to contract teachers who are nonrenewed after being placed on a MIP based on the reasons in this statute.

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  • Teacher’s name then gets added to State Board’s list provided annually to all school boards.

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Schools NOT Identified as Low-Performing (G.S. 115C-333.1)

MIP is not mandatory:

  • If on an evaluation or an observation report a teacher receives a rating of below proficient or below standard, the principal may place the teacher on a MIP,

but only if the superintendent or designee finds that the performance deficiencies cannot be addressed satisfactorily through an individual, monitored, or directed growth plan.

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Schools NOT Identified as Low-Performing (G.S. 115C-333.1)

MIP Development:

  • MIP shall be developed by principal in consultation with the teacher
  • Teacher has 5 instructional days to request a modification of a proposed MIP
  • Principal shall consider teacher’s suggested modifications before finalizing the MIP.

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MIP Time Limits:

  • The teacher shall have a minimum of 60 instructional days to complete the MIP.

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Schools NOT Identified as Low-Performing (G.S. 115C-333.1)

Reassessment/Results:

  • After completion of the MIP the teacher shall be assessed. If the teacher is not proficient in any of the performance standards identified in the MIP or has not demonstrated sufficient improvement towards those standards, the superintendent MAY recommend demotion, dismissal or nonrenewal, OR the nonrenewal or immediate dismissal or demotion of a contract teacher who has engaged in inappropriate conduct or performed so inadequately that it causes substantial harm to the education environment.
  • If not proficient, reassessment results shall constitute “substantial evidence” of the teacher’s inadequate performance.

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Schools NOT Identified as Low-Performing (G.S. 115C-333.1)

State Board Notification:

  • If a local board dismisses a career status employee for any reason other than a RIF, or dismisses a teacher under contract for cause, it must notify SBE.
  • This requirement also applies to contract teachers who are nonrenewed after being placed on a MIP, based on reasons in that statute.
  • Teacher’s name then gets added to State Board’s list provided annually to all school boards.

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Schools NOT Identified as Low-Performing (G.S. 115C-333.1)

Qualified Observer

  • Teacher placed on a MIP has a right to be observed by a qualified observer in the area or areas of concern identified in the MIP.

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  • A “qualified observer” is any administrator or teacher licensed by DPI and working in North Carolina, any employee of DPI trained in evaluating licensed employees, or any instructor/professor in a North Carolina School of Education who holds an educator’s license.

(cont.)

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Schools NOT Identified as Low-Performing (G.S. 115C-333.1)

Qualified Observer (cont.)

  • Local board of education shall maintain a list of qualified observers employed by that board, selected by the board. Local board “shall strive to select administrators and teachers with excellent reputations for competence and fairness.”

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  • There is a joint selection process (teacher and principal) for designating the qualified observer. Qualified observer must be chosen within 20 instructional days after MIP begins.

(cont.)

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Schools NOT Identified as Low-Performing (G.S. 115C-333.1)

Qualified Observer (cont.)

  • The qualified observer must submit a report to the principal before the end of the MIP period. The principal and superintendent shall consider the report.

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  • Teacher pays expenses of qualified observer if not employed by that LEA.

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Mandatory Improvement Plans

Legal Effect:

  • If teacher on MIP does not attain “Proficient” rating, reassessment results constitute “substantial evidence” of inadequate performance.

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  • Absence of a MIP does not preclude a dismissal proceeding, but in such case the superintendent shall not be entitled to the “substantial evidence” provision.

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How is a Teacher Placed on a MIP?

Low Performing Schools (G.S. 115C-333)

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  • Teacher is placed on MIP:
    • If ratings are below proficient or otherwise unsatisfactory or below standard performance, Principal/Evaluator or Assistance Team that conducted the evaluation shall recommend to Superintendent either: placement on a MIP, or that Superintendent should move to dismiss or demote the teacher.

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    • Superintendent determines either: to dismiss/demote or that a MIP shall be developed

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OR

(cont.)

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How is a Teacher Placed on a MIP?

Low Performing Schools (G.S. 115C-333)

  • Teacher is placed on MIP when (cont.):
    • Regardless of evaluation ratings, Principal determines teacher’s inappropriate conduct or performance is so bad that it “causes substantial harm to the educational environment,” and

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    • Principal must document the “exigent reason” for immediately instituting a MIP.

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How is a Teacher Placed on a MIP?

Schools NOT identified as Low-Performing (G.S. 115C-333.1)

    • Teacher is placed on MIP when:
      • Ratings are below proficient or otherwise unsatisfactory or below standard performance; and
      • Superintendent (or designee) has determined that an individual, monitored or directed growth plan will not be satisfactory to address deficiencies;

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OR

(cont.)

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How is a Teacher Placed on a MIP?

Schools NOT identified as Low-Performing (G.S. 115C-333.1)

    • Teacher is placed on MIP when (cont.):
      • Regardless of evaluation ratings, Principal determines teacher’s inappropriate conduct or performance is so bad that it “causes substantial harm to the educational environment,” and
      • Principal must document the “exigent reason” for immediately instituting a MIP.

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What is Different about a MIP?

  • Legal presumption at end of MIP process: “substantial evidence” of inadequate performance, if teacher does not achieve “Proficient” ratings.

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  • No pre-set “form” as there is with individual, monitored, directed growth plans.

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What is Different about a MIP?

  • MIP must state (at a minimum):

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    • Specific performance areas that are deficient

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    • Strategies to resolve them

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    • Specific support to be provided to the teacher

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What is Different about a MIP?

  • Timelines are different than Individual/Monitored/Directed Growth Plans:
    • Individual Growth Plan – no set timeline.
    • Monitored Growth Plan – “timeline which allows the teacher one school year to achieve Proficiency.”
    • Directed Growth Plan – “timeline for achieving Proficiency within one school year or such shorter time as determined by the LEA.
    • MIP – Different timelines, based on whether teacher is in a low-performing school.

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What is Different about a MIP?

  • MIP should include timelines
  • MIP timelines are set in law as maximums or minimums:
    • Teacher IN LOW-PERFORMING SCHOOL, to complete the MIP, is allowed no more than:
      • 90 instructional days; or
      • by the start of the next school year
      • NOTE: These are maximum time limits. MIP “shall be designed to be complete within” these limits.
    • Teacher NOT in low-performing school:
      • at least 60 instructional days to complete the MIP.
      • NOTE: This is minimum time required

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Is MIP Now Required Before Dismissal for Inadequate Performance?

  • No but you don’t have benefit of “substantial evidence” provision without a MIP.
  • Impetus to resign is greater if MIP has been provided.
  • Evidence from some other growth plan (e.g., monitored or directed) or other documentation/evidence may still be “substantial.”
  • Teachers and their representatives will argue teacher should have been given MIP.
  • Hearing officers and school boards may question why a MIP was not provided.

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Practice Tips

When developing the MIP:

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  • Be sure to state the standards/elements that are deficient.

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  • While not required by law, to be more effective, also state problems in clear, plain terms.

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  • Be sure to articulate the support to be provided to the teacher.

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Practice Tips

For teachers on MIP:

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  • Document thoroughly

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  • Don’t just rely on ratings/comments on the evaluation instruments.

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Practice Tips

Remember to comply with SBE Policy EVAL-004:

  • Teacher rated “Developing” on one or more standards shall be placed on “Monitored Growth Plan,” if the teacher is not recommended for dismissal/demotion/nonrenewal.
  • Teacher rated “Not Demonstrated” on any standard or “Developing” on one or more standards for two consecutive years shall be placed on “Directed Growth Plan,” if the teacher is not recommended for dismissal/demotion/nonrenewal.

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  • Does placement on a MIP bypass these requirements?

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Practice Tips

  • Review local board of education policies/procedures.

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  • Establish performance standards in local board policy.

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Practice Tips

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  • Train administrators who evaluate teacher performance that they must include narrative comments on the evaluation instrument

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Practice Tips

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  • Be sure that the teacher is told in writing if their performance is “below standard,” “unsatisfactory,” or “inadequate.”

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  • Make sure to use these words in addition to the ratings on evaluation instrument.

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Practice Tips

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  • Make sure the peer observer is prepared to do honest review.

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  • Document performance concerns that occur outside of the formal observation, if any.

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Practice Tips

  • Document legitimate performance concerns, even if they don’t “fit” perfectly on the evaluation instrument.

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Practice Tips

  • For career status teachers, Administrators must avoid any question whether they have met the requirement of N.C. Gen. Stat. §115C-325(e)(3): “Failure to notify a teacher of an inadequacy in his performance shall be conclusive evidence of satisfactory performance.”
  • NOTE: This provision is not in the laws applicable to non-career status teachers (G.S. 115C-325.1 to -325.13)

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