case

Case Study:

Southwood School This case study examines the implementation of a new performance management

system designed specifically for support staff at a school in the United Kingdom.

Background

 This fictionalized case study is based on a real organization. The school is a public, mixed

comprehensive secondary school located in the United Kingdom with an average annual turnover

in excess of £1 million. Because it is government funded, it is a non-profit organization.

 Although the case study is in a school setting, many of the issues identified are the same across

different countries and different industries—for example, the tension between the exempt

employees and support staff.

 There are 120 employees: 80 teaching and 40 non-teaching employees. The school has more than

800 students aged 13-18.

 The case study’s author was the school’s HR manager.

 The actual events took place in 2004-05.

The Case Study

Five years earlier, Southwood School, located in the United Kingdom, implemented a performance

management system for all school employees. The performance management system was designed for

teachers by the British Department for Education and Skills (DfES), but was used to evaluate school

support staff as well because there was no system specifically geared toward support staff. The school had

no HR personnel to custom-design a system for support staff; and at the time, most of the emphasis in

terms of performance management was paid to teachers. Because few support staff members were

classified as exempt employees, a specialized performance management system was not perceived to be a

priority.

School Staff Support Roles Include:

 Administrators

 Teaching assistants

 Learning mentors

 Science technicians (who support the work of Science teachers)

 Computer technicians • Finance managers

(For more information on what some of these jobs entail, please see the job descriptions provided in Work

tool #3.)

The DfES system required employees to:

 Agree to 3-6 performance objectives for the upcoming performance period. One of the objectives

that must be included requires that teacher performance encompass “pupil progress as well as

ways of developing and improving teachers’ professional practice.” Another objective must be

related to meeting School Development Plan goals.

 Undergo at least one classroom observation annually.

 Conduct a formal performance review focused on the identified performance objectives. The

meeting should also include the following:

 Review, discussion and confirmation of the teacher’s essential tasks.

 Identification of employee strengths and achievements.

 Identification of developmental areas and an action plan on how they will be met.

 Agreement to future performance objectives and an action plan for the upcoming year.

Support staff members were assigned teacher appraisers. Teacher appraisers had been trained to use the

system; support staff members had not. As a result, support staff employees were appraised by someone

who had little knowledge of their roles and responsibilities.

Review of the DfES Performance Management Process: An HR manager was hired at the school. Because of concerns raised by support staff about the DfES performance management system, the

HR manager reviewed the system.

 During the review, the following issues were raised:

 A large percentage of staff members did not meet the annual deadline to complete the appraisal

process.

 There was confusion among staff about what exactly needed to be completed and when.

 Staff members thought the system was a ‘waste of time’.

 A trade union representative thought the system was not appropriate for all staff members.

 The DfES system was irrelevant to support staff. For example, support staff members could not

set objectives in pupil progress or have lessons observed.

 Little attention was paid to identifying training needs and further, when needs were identified,

there was no follow-up with appropriate actions

 Appraisals were led by teachers who had little knowledge of the support staff member’s job.

 Performance meetings were a one-way process with some performance objectives established

before the meeting started.

New System Design: It was crucial in designing the new system that the HR manager address the concerns raised about the DfES system. Involving support staff and relevant trade union representatives in

the process was critical to gain support of the new system and to ensure transparency, a key

organizational goal.

Table 1 shows how some of the practical issues were addressed.

Practical Performance Management Issues

Issues with the Old System How it was addressed in the New System

Meetings were held on short notice Both parties must agree to the date of the meeting

at least one week in advance.

Employees didn’t know what to talk about. Employees must complete a pre-meeting

document highlighting proposed areas of

discussion. The completed document must be sent

to the appraiser in advance of the meeting.

Job descriptions were out of date making

performance expectations ambiguous.

Job descriptions are reviewed on an annual basis

to ensure they are accurate.

There was too much documentation required in

the old system, some of which was confusing.

Job descriptions are kept to a minimum are

written in plain terms and avoid unnecessary

jargon.

Appraisers were not knowledgeable in training

issues.

All appraisers are given information on available

local training programs and are expected to help

the appraisee identify the most appropriate

training intervention.

Both parties were under-prepared. Training is provided to all staff members so

everyone is clear about expectations. Performance

checklists are also distributed to both parties.

Reviews were conducted in public areas. A private meeting room is available for all review

meetings.

Appraisers not matched to appraisees’. The appraisers and appraises are scheduled so that

the most appropriate person conducts the review.

New System Content

The new system allows the appraiser and employee to review past performance; set goals and objectives

for the upcoming year; and identify training and development needs. Performance review meetings occur

annually, but both parties are encouraged to meet at regular intervals throughout the year to discuss

progress.

In the new system, most support staff employees’ performance reviews are conducted with their direct

line manager (usually another support staff member). This way, the appraiser understands the employee’s

job and can fairly assess the employee’s performance. In some cases, though, the most appropriate

appraiser may be a teacher. For example, the best person to appraise a Chemistry class science technician

is the teacher in charge of the classroom, since the teacher works with the technician on a daily basis.

Reviewing Performance

Appraisers and employees must independently complete the Performance Review Meeting form (Work

tool #2) before the performance review meeting. The new system does not to use a formal rating scale;

this approach was too closely associated with the DfES system. Instead, the system is designed to assess

general performance and then employee-specific projects and/or tasks. The new system is also designed

so that the appraiser can evaluate if the employee has met the objectives identified during the last

performance review.

The new system also requires annual review of job descriptions to make sure they are up-to-date. Support

staff jobs have changed significantly during the last few years; support staff members are increasingly

asked to complete tasks traditionally performed by teachers. Today, many support staff employees

prepare learning materials and work directly with students to meet their learning needs. It is important,

then, that job descriptions are reviewed regularly so that both parties understand employee roles and

responsibilities and can avoid misunderstandings. Job description changes must be approved by line

managers to ensure there are no negative implications for the organization or other employees.

Another issue employees raised in regard to the DfES system was that it was a one-way communication

process where the appraiser often identified goals and objectives before meeting with the employee. To

ensure that the new system is a two-way communication process, employees must complete the Preparing

for the Performance Review form (Work tool #1) before the meeting. This form helps employees identify

issues and areas they would like to discuss with their appraiser.

Finally, the new performance review system requires appraisers and employees to document any agreed

actions so that everyone understands the action plan for the upcoming year. This documentation can also

be used to monitor progress throughout the year.

Setting Goals and Objectives

The new system is designed to help employees understand how their jobs contribute to the wider

objectives of their team, unit and the overall organization. To achieve this, employee goals and objectives

must be specific and achievable, and not phrased in broad strategic terms. To help, employees are asked

to complete the Performance Review Meeting document (Work tool #2).

The new process uses the SMART system to help employees define their goals and objectives. In the

SMART system, goals can be monitored and reviewed objectively as part of next year’s review process.

Using the SMART method means that objectives are:

 Specific. The objective must be clear and unambiguous.

 Measurable. The objective must be quantifiable in some way in terms of quantity or quality.

 Achievable. The objective should be challenging but also realistic.

 Relevant. The objective should be related to the employee’s job or organizational goals.

 Time framed. The objective should clearly state the date for completion.

Identifying Training and Development Needs

In the final step, appraisers and employees identify training needs. Training should be linked to the goals

and objectives set for the coming year. Employees can request additional personal or professional

development that they feel would benefit them. The appraiser then works with the HR manager to create a

training and development action plan. The appraiser is responsible for monitoring the employee’s

progress toward the training and development goals throughout the year.

Supporting the System

To successfully implement the new system, all employees had to be trained. With agreement from support

staff employees, two training courses were created—one for appraisers and one for appraisees. The HR

manager who designed the new system led the training. Table 2 shows key areas that are explored and

discussed in both sessions.

Key areas covered in performance management training.

 Benefits of performance management to staff, managers and the organization.

 Characteristics of a successful performance review.

 How to prepare for a performance review meeting.

 General communication skills, with an emphasis on effective listening.

 Understanding and setting SMART goals and objectives.

 Identifying training and development activities.

The training for appraisers included how to provide effective feedback. The following points were

emphasized:

 Feedback should be constructive and provide potential solutions.

 Emphasis should be on the positive and acknowledge strengths.

 Feedback should be based on facts rather than opinions and backed with evidence.

 The goal should be on moving forward in a positive way.

Embedding Performance Management

To ensure the new system is an ongoing process rather than an annual event, regular reviews were built

into the design. Six months after the annual performance appraisal, the appraiser and employee meet

again to review the status of performance objectives and take any necessary action. There is also

flexibility in the system so that reviews can occur more often if desired. Because effective feedback is

critical at each step in the performance review process, delivering effective feedback is highlighted in the

managers’ training program. Refresher training on the performance management system will be held

annually for all staff and will be required for all new staff with line management responsibilities.

Conclusions

Southwood School recognized that their existing performance management system was not meeting all

employees’ needs, undertook a comprehensive review to assess where it was coming up short, and

introduced an improved process. The new system reflected support staff input, allowing them to feel more

engaged in the new system and gain ownership. Since the new system was launched, there has been more

employee participation; training and development activities have increased by more than 200 percent,

bringing new skills into the organization.

Although this case study is a success story, it is important to recognize that there is no “one-size-fits-all”

approach to designing a new performance management system. It is important to take the context and

culture of the organization into consideration.

Discussion Questions 1. Do you think support staff employees were right to complain about the previous performance

management system?

2. What are some potential barriers to the successful implementation of the new system and how

would you overcome these barriers?

3. How should managers prepare before conducting performance review meetings?

4. Is it appropriate to use measurable outputs as goals? If so, please give some examples.

5. How should employees prepare for their performance review meeting?

6. What areas do you think they should consider and why?

7. Should the organization use a rating method so each employee receives a score? Explain your

answer.

8. Why does the HR manager need the buy-in of appraisers and appraisees?

9. What types of training and development opportunities could be offered to employees?

10. Write an e-mail to all support staff to tell them about the new performance management system.

11. You have been asked to give a presentation to all support staff to discuss the practical details of

the new system. What areas will you cover?

12. What five tips would you give managers to help them deliver an effective performance review

meeting?

13. Explore how the use of a 360° appraisal system could be beneficial to Southwood School.

14. Identify the pros and cons of introducing a performance-related pay option into the organization’s

performance management system. What would you recommend?

15. What improvements would you make to Southwood’s new performance management system?

16. How would you ensure that the organization’s commitment to equal opportunity and diversity is

embedded into the performance management process?