Second ground of appeal
44 The second ground raises an issue of greater substance. At the heart of it is the question whether the alleged failure of the Department to follow the procedures for the improvement programme resulted in the termination of Mrs Zechner's employment not being for a valid reason within the meaning of s 170DE(1) of the Act.
45 Before discussing the approaches of the Judicial Registrar and the primary judge to this question, it is convenient to set out the background to the development of improvement programmes by the Department generally and to consider the nature and purpose of these programmes.
46 The relevant procedures for developing improvement programmes were set out in a 1991 "Memorandum to Principals" from the Director-General of School Education. One of the stated purposes of such a programme was to ensure that before a teacher was assessed as one whose efficiency was in question, the teacher was provided with assistance designed to remedy, if possible, deficiencies in his or her skills. The first five paragraphs of the Memorandum to Principals were as follows:
In keeping with the Schools renewal strategy, increased responsibility for the management and development of staff is being devolved to Regions and schools. Part of this process will involve the development of a performance appraisal scheme which links teaching responsibilities to school goals and which provides feedback, encouragement and support on a continuing basis. Whilst the development of this system has a high priority, the consultative implementation and training processes involved means that some time may elapse before it is fully in place. Until this occurs, the Teacher Assessment Review Schedule will remain an integral part of the present professional development activities of schools, and of the accountability procedures of the system.
The Teacher Assessment Review Schedule (TARS) for staff members at your school is enclosed.
All teachers within your school should have the benefit of an ongoing professional development program which includes a range of activities both in and outside the school, designed to assist teachers to reach their full potential, increase their job satisfaction and enhance the welfare of students. This schedule can be seen, at present, to be an integral part of this process. Under the Schools Renewal strategy principals will have greater responsibility for designing human resource development programs to meet the needs of their school and help accomplish the goals of their school plans.
In addition to forming an integral part of the staff development program of the school, the TAR schedule also ensures that there is a formal, annual statement regarding the accountability of teachers to the system and ultimately to the Government and the community.
Details of procedures to be followed in completing the TARS and the steps involved in finalising your decision regarding each teacher on your staff are attached for your assistance.
47 The material part of the TAR schedule which was enclosed, was as follows:
6. Teachers whose efficiency is causing concern
6.1 Before writing C [the writing of the letter "C" indicated that the teacher fell into the category of a teacher whose efficiency was causing concern], it is important that the Principal ensure that the teacher has had the benefit of a detailed program of assistance.
6.2 The Principal is asked to ensure that all teachers are given every assistance through advisory, supervisory and support practices.
6.3 Particular attention should be devoted to those teachers who are experiencing difficulties. Where teacher difficulties are identified, they may be attributed to many factors, such as:
(a) professional problems including classroom management, teacher-student relationships, planning, communication;'
(b) school management, organisation and system shortcomings;
(c) personal difficulties being experienced both within and outside the school environment.
6.4 The Principal, in conjunction with appropriate staff, should ensure that:
(a) an improvement program using all available resources is established for the teacher experiencing difficulty. This program and an ongoing evaluation of its effectiveness need to be developed in consultation with the teacher;
(b) the Cluster Director [the relevant Cluster Director was Mr Blunden] should be informed of the program and consulted where appropriate;
(c) the emphasis is on assisting the teacher to improve;
(d) all forms of support are used including:
- mutual support and encouragement involving formal and/or informal arrangements within the school staff;
- a program of professional assistance drawing on the resources of the Department at local and/or regional level;
- advisory and supervisory assistance from the executive and/or senior members of the staff.
6.5 Where a Principal decides that despite all efforts the teacher's efficiency is still causing concern, he/she must write a report for the Assistant Director-General (Region) on the teacher's work. This report should detail the teacher's strengths, areas for development and the program of assistance which has been developed. This report is to accompany the TAR Schedule.
6.6 Before submitting this report, the Principal should give a copy to the teacher who may elect to submit a written statement to the Principal to be sent to the Assistant Director-General through the Cluster Director.
6.7 The Principal must submit another report on the teacher to the Assistant Director-General. This report should detail the progress made by the teacher following the implementation of the improvement program, and should indicate whether the teacher is now efficient or needs to have his or her efficiency called into question.
6.8 The Principal will give a copy of this report to the teacher who may elect to submit a written statement to the Principal to be sent to the Assistant Director-General (Region).
7. Teachers whose efficiency is in question.
7.1 Again such a categorisation should only be made after the teacher has had the benefit of a detailed program of assistance and has failed to improve sufficiently.
7.2 The Principal should write a report for the Assistant Director-General (Region) on the teacher's work. Strengths and weaknesses should be described. This report will accompany the TAR Schedule and will indicate that the teacher's efficiency is in question.
7.3 Before submitting the report, the Principal will give a copy to the teacher who may elect to submit a written statement to the Principal to send to the Assistant Director-General (Region).
8. Cluster Director endorsement
The Cluster Director should discuss the Teacher Development Program with the Principal and the methods used in monitoring teacher efficiency.
The Cluster Director should then indicate on the schedule whether or not the programs and methods used in monitoring teacher efficiency are appropriate.
48 The TAR schedule was accompanied by a document entitled "GOOD TEACHING PRACTICE: AN AGREED STATEMENT OF PRINCIPLES". That statement was accompanied by an appendix which provided a sample format for an improvement programme. The sample was preceded by a statement of its purpose which included the following:
The first component of an improvement program is to identify areas for improvement. These have been included in these examples. For each identified area for improvement, agreed outcomes, strategies, support provisions and review of performance must be negotiated. (emphasis supplied)
49 These notes make plain that the format for an improvement programme was flexible. However, the sample provided also makes plain that the process was one of ongoing evaluation involving consultation, discussion and negotiation with the teacher in question.
50 Pages from a "Teachers Handbook" that were in evidence informed readers about the TAR schedule as it applied to permanent teachers such as Ms Zechner, under the classifications "Teachers Whose Efficiency is Causing Concern", "Teachers Whose Efficiency is in Question", "Cluster Directors", "Efficiency Called into Question - Subsequent Action" and "Reconsideration of Determination of Efficiency". This explanatory material is lengthy. It is reasonable to regard it as, inter alia, protective of the interests of teachers.
51 These procedures developed by the Department were plainly intended to create a mechanism to assist teachers to remedy deficiencies in their teaching skills. The existence of the procedures constitutes a recognition that teaching skills may be deficient but that the appropriate remedy, at least in the first instance, may not be dismissal but an attempt at improvement of those skills. Whether a valid reason existed (relating to a teacher's capacity) justifying the termination of a teacher's employment may involve a consideration of whether the procedures had been implemented properly. Established incapacity after remedial steps are taken provides a surer foundation for a valid reason justifying termination than alleged incapacity before remedial steps might be taken. That is not to say that if, after the proper implementation of the procedures developed by the Department a teacher still did not have the requisite skills, termination might not be justified. We will return to this issue later.
52 Having set out the framework within which improvement programmes are intended to operate, we now turn to consider the issue ofthe implementation of animprovement programme in Mrs Zechner's case.
53 The first improvement plan, headed "Improvement Plan for Mrs Zechner Thursday 4th March to Friday 28th May," was handed to Mrs Zechner by Mr Faulks in the presence of Mr Watson at a meeting on the afternoon of Thursday3 March 1993. Before its preparation there had been no discussion with Mrs Zechner about the creation of the plan or its contents. A finding was made by the Judicial Registrar that Mrs Zechner was "presented with a performance plan out of the blue" and that "the complete process was not in accordance with the guidelines issued by the Department". No contrary finding was made by the primary judge. The Judicial Registrar's findings accord with the evidence. This initial improvement plan was a single foolscap page document. It concluded "This Improvement Plan will be reviewed during the week ending Friday 28th May 1993." On Saturday 5 March 1993, two days after Mr Faulks handed the document to her, Mrs Zechner wrote to Mr Faulks asserting that the Teachers' Federation had advised her that she must be presented with a "programme suggesting how ... difficulties might be overcome." Her letter stated that she was "more than happy" to have a meeting about the matter attended by a Federation representative and she suggested the date Monday 15 March.
54 Mr Blunden gave evidence before the primary judge about the development and implementation of the improvement programme. Plainly enough he was doing so against a background of procedures as applied to Mrs Zechner which the Judicial Registrar was later to criticise. Mr Blunden's evidence concerned steps that had been taken before March 1993 to assist Mrs Zechner. In his affidavit he said:
It was my understanding by early March 1993 that considerable informal assistance had been given to [Mrs Zechner] to assist her to overcome the perceived limitations identified by members of the Kiama High School Executive.
55 Mr Blunden referred to a note sent by Mr Shoebridge to Mrs Zechner on 16 October 1992, an interview with Mrs Zechner on 17 November 1992 involving Mr Faulks and Mr Shoebridge and notes of a meeting of 25 November 1992 involving Mr Faulks, Ms Peade, Deputy Principal, and Mrs Zechner. Mr Blunden also referred to notes Mr Watson had made in late February or early March 1993, Mr Shoebridge's report of 18 February 1993 and discussions he (Mr Blunden) had had with Mr Watson concerning team teaching that had been provided to Mrs Zechner. He referred to a number of other matters that need not be detailed. No findings were made in relation to any of these matters by the primary judge.
56 In the context of this ground of appealthese various matters can properly be given only limited weight. An improvement plan is formulated and implemented for a specific purpose. It is a prelude to the possible assessment of a teacher as one whose efficiency is causing concern. That has, potentially, great significance for the teacher because such an assessment can lead to dismissal; see s 83(e) and following sections of the Teaching Services Act 1980 (NSW). Accordingly, the procedures laid down for the formulation and implementation of an improvement plan must be the primary focus of the Court's attention, irrespective of whether less formal assistance was given earlier. Further, these matters were not expressly relied on by the primary judge in reaching his decision adverse to Mrs Zechner.
57 At the first meeting (on 3 March) Mrs Zechner had been given a copy of Mr Faulks' report to Mr Blunden, to which she responded in her letter to Mr Blunden of 5 March. It may fairly be said that she took issue with most of the criticisms that were made of her in Mr Faulks' report. However, her letter to Mr Blunden concluded with the following:
I am more than happy to work on any of my teaching areas which might need improvement. I am open to fair and constructive suggestions, unlike the report which I consider biased and unfair. The "improvement plan" only lists deficiencies, rather than making suggestions how possible difficulties might be overcome.
58 At the second meeting (on 15 March) the representative of the Federation proposed a format for the creation of an improvement plan which involved identifying areas of concern in one column and dealing with "specific actions to overcome difficulties/concerns" in another column. The Federation representative recommended to the meeting, which was attended by Messrs Faulks, Watson and Shoebridge as well as byMrs Zechner, that Messrs Watson and Shoebridge meet with Mrs Zechner to clarify the improvement plan. Such a meeting did not take place. An improvement plan in a revised form was presented to Mrs Zechner at a meeting on 5 April. The Judicial Registrar found that againthere had been no consultation with her as to its preparation or contents. No contrary finding was made by the primary judge. The finding was supported by the evidence.
59 It was a copy of this revised improvement plan that bore Mrs Zechner's notes to which the primary judge referred. He said that they were defensive in nature and denied the existence of any problem. We agree. But on one view that reaction is understandable given the circumstances in which Mrs Zechner was presented with the document. Moreover, her attitude to those supervising her had been complicated by the revelation and delivery at the meeting on 15 March of Mr Shoebridge's report of 18 February 1993. That report was not prepared for the purpose of being shown to Mrs Zechner and in a later written response to it she said that she had been distressed upon reading it. Indeed, Mr Shoebridge indicated in later correspondence that he was prepared to modify some of the critical remarks he had made in that report after discussions with Mrs Zechner.
60 The only classroom assessment made of Mrs Zechner following the provision to her of the revised improvement programme on 5 April was an assessment made by Mr Faulks as a result of his sitting in on an English class on 25 May and a History class on 26 May.
61 At the meeting on 1 June 1993Mr Faulks proposed that there be an extension of the revised improvement plan for another four weeks. Mrs Zechner did not agree and set out in writing her reasons for refusing. The first reason was that at no stage had the Departmental guidelines been followed. There was substance in this view. The second was that new requirements had been handed to her at the meeting of 1 June. This was probably not a valid reason for rejecting the proposed extension. Another reason given by Mrs Zechnerwas that no effort had been made to inspect her classes until the last week of the twelve week period of the programme. This, also, was probably not a valid reason for rejecting the proposed extension. A reasonable explanation, consistent with the evidence of Mr Faulks, for the failure to inspect Mrs Zechner's classes until the end of the twelve week period is that Mr Faulks wished to allow the improvement programme to run its course before attempting to assess the progress that Mrs Zechner had made during that time. Mrs Zechner also criticised what she described as five pages of criticisms on the two lessons. This was a reference to a form of questionnaire that she had been given containing critical comments made by Mr Faulks and inviting response. They were critical, though some of the comments were framed in a way designed to stimulate thought on Mrs Zechner's part.
62 Unlike the primary judge, we would not conclude that Mrs Zechner's refusal to agree to an extension ofthe period was only because her position was that there was no need for the improvement plan. Another reason was that the programme had been developed and implemented in a way that was at best not entirely consistent with the Departmental guidelines. After this meeting of 1 June, in substance the die was cast. Mrs Zechner went on stress leave from 1 June to mid July. On 5 August Mr Faulks attended one further class conducted by Mrs Zechner and on 6 August he completed a report recommending that her efficiency be determined as not satisfactory.
63 The primary judge's account of the development and implementation of the improvement programme by the Department was in summary form. We agree, however, that there were some findings of fact that do not appear to be sufficiently supported,although they are not, in the circumstances, matters which can be seen to have affected the result. The first is that there was a series of meetings involving a representative of the Federation. While it is true that there were meetings involving Mrs Zechner, Mr Faulks and one or more other members of the teaching staff on 3 March, 15 March, 5 April and 1 June 1993, as we read the evidenceit was only at the meeting on 15 March 1993 that a Federation representative was present. As discussed above, a suggestion that the representative made concerning the preparation of an improvement programme was complied with in one respect but not another. While Mr Blunden gave evidence of having twice made contact with the Federation later in 1993, the direct involvement of the Federation in the formulation and implementation of the improvement programme was restricted to the one meeting on 15 March, though there was some evidence that the Federation was consulted about the extension of the programme and agreed to it.
64 It appears the primary judge also understood that Mrs Zechner refused an extension of the improvement plan on 5 April 1993 when it was apparent that it would run for only two more months. A four week extension was canvassed with her at the meeting on 1 June 1993 to which she would not agree. The primary judge appears to have found that the reason for her refusal to agree was her insistence that there was "no need for the improvement plan". As we mentioned above, however, the reasons Mrs Zechner gave were in our viewmore complex than suggested by his Honour and were not necessarilyentirely a manifestation of intransigence.
65 It can be seen from the summaries of the judgments of the Judicial Registrar and the primary judge given earlier that their focuses were different. The Judicial Registrar concentrated on the procedures adopted to remedy perceived deficiencies in Mrs Zechner's teaching skills while the primary judge gave more attention to the evidence concerning the skills themselves. However, as noted earlier the primary judge did deal with the procedures undertaken for the purpose of remedying perceived deficiencies. His Honour said at one point in his judgment:
Both before the Judicial Registrar and before me, Ms Zechner criticised the Kiama School "executive", as it is called - the Principal and the two subject masters - for their lack of support of Ms Zechner. I do not accept that criticism. When the "executive" realised Ms Zechner had teaching problems, in early 1993, an improvement program was put in hand. An effort was made to identify the nature of her problems and to suggest ways of overcoming them. The relevant officers held a series of meetingwith Ms Zechner and a representative of the Teacher's Federation. Finally, on 5 April 1993, a document was produced that set out areas of concern and positive suggestions for overcoming those concerns. Because some weeks had been occupied in finalising the program, there was then a period of only two months before the program was projected to end, at about the end of May. Accordingly, Mr Faulks suggested to Ms Zechner an extension for one month. She did not agree. This was consistent with her attitude throughout the program: there was no need for the improvement plan. The evidence contains a copy of the improvement plan with notes in Ms Zechner's handwriting. Those notes are defensive in nature; they generally deny the existence of any problem. That reaction is consistent with the attitude reported in the evidence of Mr Faulks, Mr Shoebridge and Mr Watson to conversations they had with Ms Zechner; when they suggested problem areas and made suggestions for improvement she said the suggestions were unnecessary.
It seems Ms Zechner did not appreciate the problems she had in the classroom or have an open minded willingness to address those problems. She took the view she was an experienced and competent teacher, there was no problem, and anybody who suggested to the contrary was wrong. I find it difficult to accept that everybody else was out of step.
Later his Honour said:
The suggestion was put by Mr Gruzman, on behalf of Ms Zechner, that the improvement program undertaken in 1993 was a sham and the Department was therefore in breach of its own guidelines and a term of his client's contract of employment. I do not accept this suggestion. I think the improvement plan was undertaken in good faith and that a considerable effort was made by Mr Faulks and the two subject masters, with assistance from the Teachers Federation, to develop an improvement plan tailored to Ms Zechner's particular need. Its failure is substantially attributable to her own attitude."
Mr Gruzman argues the Department could have provided extra resources. I am not clear what additional resources could have been provided, but I do not think there was a resource problem. The teaching plan set out a number of common sense suggestions as to things Ms Zechner might do, or attempt to do, in order to improve her performance. Few, if any, of these suggestions were taken up. Ms Zechner took the view she did not need to change, she was already a competent teacher.
66 As noted earlier, in making the findings he did about Mrs Zechner's teaching abilities, the primary judge particularly relied on the evidence of Mr Blunden. In the appeal,however, Mrs Zechner complained thatMr Blunden's only direct observations of her teaching were made some time shortly before 25 October 1993, which was the date of his efficiency review concerning her teaching skills. That was some months after the steps had been taken by Messrs Faulks, Watson and Shoebridge to put in place procedures to address the perceived problems or inadequacies in Mrs Zechner's teaching skills. If those procedures were themselves deficient in material respects, it is conceivable Mrs Zechner's teaching skills would not have improved for that reason.
67 As we stated at the beginning of this section, however, the question of law which emerges from this ground of appeal is whether the alleged failure of the Department to follow the procedures for the improvement programme resulted in the termination of Mrs Zechner's employment not being for a "valid reason" within the meaning of s 170DE(1) of the Act. The task of this Court is to determine whether the Department's reason for the termination was valid in the sense that it was "sound, defensible or well-founded" with respect to Mrs Zechner's capacity or conduct: see Selvachandran v Peteron Plastics Pty Ltd (1995) 62 IR 371. Section 170EDA(1)(a) of the Act placed the onus on the employer to prove that there was a valid reason, or valid reasons, for the termination if the employee alleges, as Mrs Zechner does, that the termination is in contravention of s 170DE(1) of the Act.
68 The charge against Mrs Zechner which led to her suspension and eventual discharge from the Department was that she was guilty of a breach of discipline within the meaning of s 83(e) of the Teaching Services Act 1980 (NSW) in that she was inefficient in the discharge of her duties. The question then, is whether the decision to classify Mrs Zechner as inefficient in the discharge of her duties was "sound, defensible or well-founded" with respect to her capacity or conduct. The implementation of the improvement programme may bear upon this question. This is because it can be said that by failing to implement the improvement programme in the manner set out in the 1991 "Memorandum to Principals" from the Director-General of School Education Mrs Zechner was deprived of a real opportunity to improve her teaching skills so as torealise a capacity to be an efficient teacher and thereby avoid classification as inefficient. If so, it may be that termination of Mrs Zechner's employment was not for a valid reason. That, of course, is said in the context of an employment situation that provides expressly for performance improvement measures.
69 The circumstances surrounding the implementation of the improvement programme have been set out at length above. It is clear that the programme was not implemented consistently with the process set out in the 1991 "Memorandum to Principals". However, we are not persuaded that the non-compliance was such as to result in the termination of Mrs Zechner's employment not being for a valid reason. As we have indicated, the existence of the improvement programme procedure clearly involves a recognition by the Department that teachers with deficient teaching skills should, at least initially, be given the opportunity to improve their skills, and also a recognition that improvement of those skills may be possible. But in our view, the evidence shows that Mrs Zechner either wasnot willing to accept the views of othersthat her teaching skills needed improving, or she was incapable of appreciating and understanding there was a need to improve those skills. Either way the evidence was that her teaching skills did notimprove. This led to her being classified as inefficient and her eventual dismissal from the Department.
70 The evidence, including the evidence accepted by the primary judge, shows, in our view, that the decision of the Department to classify Mrs Zechner as inefficient in the discharge of her duties was "sound, defensible or well-founded" with respect to her capacity or conduct notwithstanding the deficiencies in the implementation of the improvement programme. Mrs Zechner has failed to demonstrate error on the part of the primary judge in relation to the second ground of appeal.