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Effective practices for managing staff performance in higher education: an exploratory study

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Effective Practices for Managing Staff Performance in Higher Education:
An Exploratory Study
by
Lisa Jimenez

Rossier School of Education
University of Southern California
A dissertation submitted to the faculty
in partial fulfillment of the requirements for the degree of
Doctor of Education

May 2021

© Copyright by Lisa Jimenez 2021
All Rights Reserved

The Committee for Lisa Jimenez certifies the approval of this Dissertation

Issam Ghazzawi
Jennifer Phillips
Helena Seli, Committee Chair

Rossier School of Education
University of Southern California
2021

iv

Abstract
The purpose of this study was to explore the degree to which Health Sciences University (HSU),
a mid-size, private university for professional and graduate programs in health sciences was able
to meet its goal for operational excellence through building core competencies in leadership and
management. The analysis focused on managers’ knowledge and motivation as well as
organizational influences that either supported or hindered effective implementation of
performance management practices based on the Clark and Estes (2008) framework. Qualitative
data was collected via one-on-one interviews, using a semi-structured approach. Purposeful
sampling was used to select a typical sample of participants. The interview participants consisted
of managers at HSU who have at least one direct report and performance management
responsibilities. The findings indicated participants’ strengths in the areas of knowledge and
motivation for effective implementation of performance management practices. The findings
identified three areas for improvement related to the organizational influences: organizational
culture, consistency in performance management processes and tools, and performance
management and evaluation training for managers. The recommendations are derived from the
best practices for effective performance management practices.

iv

Dedication
To my amazing husband Joel, I could not have achieved this without your love, encouragement,
and support. You have always believed in me. Your belief in me has pushed me to be brave,
made me stronger, helped me overcome, and believe in myself. I am forever grateful to have you
in my life. With you by my side, I know I can handle anything. I love you always.

vi

Acknowledgements
I would like to thank Dr. Seli for going above and beyond, helping and encouraging me
throughout this process. I cannot imagine getting through this without your support, guidance,
and expertise. My committee members Dr. Phillips and Dr. Ghazzawi have also shared their
time, encouragement, and expertise. I will forever be grateful for the contributions from all three
of you.
I would also like to thank Dr. Jimenez and Dr. Nelson for being role models and mentors,
always offering encouragement and support. You both recognized my potential and have always
encouraged me to pursue my dreams. I appreciate your advice and how you have helped me to
see what I am capable of.
Finally, I would like to thank my family and friends. I appreciate the sacrifices some of
you have made for me and your understanding of the time and effort I have dedicated to this
program. You have all believed in me more than I believed in myself. I am so proud of the
support and love I have received from all of you, and I hope that I make you proud. I consider
myself very fortunate to have you all in my life.

vi

Table of Contents
Abstract iv
Dedication v
Acknowledgements vi
List of Tables 1
List of Figures 2
Chapter One: Overview of the Study 3
Background of the Problem 3
Importance of Addressing the Problem 5
Organizational Context and Mission 5
Organizational Goal 6
Description of Stakeholder Groups 6
Stakeholder Group for the Study 7
Stakeholders’ Performance Goals 7
Purpose of the Study and Research Questions 8
Overview of the Conceptual and Methodological Framework 9
Definition of Terms 9
Organization of the Study 9
Chapter Two: Review of the Literature 11
Background and Benefits of Performance Management 11
Effectiveness of Performance Management 12
Clark and Estes (2008) Knowledge, Motivation, and Organizational Influences’
Framework 18
v
Managers’ Knowledge, Motivation, and Organizational Influences 19
Conceptual Framework 30
Summary 32
Chapter Three: Methodology 33
Overview of Methodology 33
Data Collection, Instrumentation, and Analysis Plan 34
Ethics and Role of Researcher 37
Chapter Four: Findings 39
Participating Stakeholders 39
What Are HSU Managers’ Knowledge and Motivation Influences Related to
Implementing Effective Performance Management Practices? 40
How do Organizational Influences Such as Training, Mentoring, Resources, and
Organizational Culture Support or Hinder Managers’ Capacity to Implement
Effective Performance Management Practices? 50
How Has COVID-19 Impacted the Implementation of Performance Management
Practices at HSU? 53
Conclusion 54
Chapter Five: Discussion and Recommendations 56
Discussion of Findings 56
Recommendations for Practice 58
Limitations and Delimitations 67
Recommendations for Future Research 68
Conclusion 68

vi

References 70
Appendix A: Interview Protocol 85

1

List of Tables
Table 1: Organizational Mission, Organizational Goal and Stakeholder Group’s
Performance Goal …………………………………………………………………………….….8
Table 2: Knowledge Influences …………………………………………………………………23
Table 3: Motivation Influences ………………………………………………………………….26
Table 4: Organizational Influences ……………………………………………………………...30
Table 5: Interview Participants ………………………………………………………………….40
Table 6: Summary of Findings ………………………………………………………………….57

2

List of Figures
Figure 1: Conceptual Framework.……………………………………………………………….31

3

Chapter One: Overview of the Study
Performance management involves evaluating performance and taking action to ensure
desired performance is achieved (Brudan, 2010). Effective performance management including
performance feedback, is intended to develop the skills, motivation, and values needed to
produce the desired outcomes (Clark & Estes, 2008; Sahoo & Mishra, 2012). Kluger and
DeNisis’s (1996) meta-analysis emphasized that although performance feedback interventions
can improve performance, over one-third of the interventions in their study in fact resulted in
decreased performance. Research has indicated that ineffectiveness of performance management
practices is often attributed to a focus on control rather than improved performance (Brudan,
2010; Wright & Cheung, 2007). Determining which performance management practices are most
effective can help the organization ensure its managers have the necessary skills and motivation
for implementation of effective practices in the organization. This study explores the degree to
which the organization of focus for this study is able to meet its goal for operational excellence,
which includes building core competencies in its leadership and managers.
Background of the Problem
The effectiveness of performance management will vary based on how the employee
receives and internalizes this process (Sharma & Sharma, 2017). Clark and Estes (2008) found
the reason effectiveness varies so widely is that often the focus is not of performance goals and
desired outcomes but on standardization of performance and reducing errors or increasing
profits. The Kluger and DeNisi (1996) study showed that there are several different ways to look
at the problem of ineffective performance management. Their research outlines a hierarchy of
performance measures that are closer to the task details, the task, or the self, and discusses cues
for how individuals are motivated at the different levels. The variety of variables makes it
4

difficult to define a clear right or wrong answer. Among the variables that impact the
effectiveness of performance management is the extent to which employees are satisfied with the
performance management systems and how feedback is delivered (Sharma & Sharma, 2017). It
is possible to deliver feedback in a manner where people are more likely to be responsive, even
when providing feedback on poor performance (O'Malley & Gregory, 2011). When employees
are responsive, performance management can be seen in the same light as a good business plan
for the organization in that it provides guidance, accountability, and measures for success
(Simoneaux & Stroud, 2012). Successful implementation of performance management practices
can increase employee engagement and is considered a high leverage activity (Clark & Estes,
2008; Mone et al., 2011).
Institutions of higher education have faced economic and political issues forcing them to
adapt operations and often take on business models and human resource management systems
similar to those in private business industries (Decramer et al., 2013). Performance management
is not a single activity but a series of activities over time, such as goal setting, ongoing feedback,
performance appraisal, professional development, and relationship building (Mone et al., 2011).
Clear communication and understanding of the performance management practices contribute to
overall satisfaction with the performance management system. Decramer et al. (2013) conducted
a study on employee satisfaction with performance management systems in higher education
institutions. To improve satisfaction and overall effectiveness of performance management
practices, Decramer et al. (2013) recommended a clearly defined process that aligns with desired
institutional outcomes.
5

Importance of Addressing the Problem
The problem of ineffective performance management practices is important to address
given the pressures of accountability and effectiveness facing institutions of higher education.
Institutions need to consider their performance management processes and practices to ensure
they are meeting the demands and expected institutional outcomes (Decramer et al., 2013).
Performance management systems not only look at employee performance but can also outline
employee training and professional development (Shrivastava, 2018). Ineffective performance
management practices can result in continued employee performance issues as well as employee
recruitment and retention issues (Cezanne, 2008). Effective performance management has been
shown to have a significant impact on employee job satisfaction and commitment (Shrivastava,
2018). However, ineffective practices can result in decreased productivity, worsened
performance, inaccurate assessment of performance, and loss of valuable employees (Clark &
Estes, 2008). Having an effective process in place for managing the performance of staff at an
institution of higher education is important for meeting the expected performance outcomes and
retaining a high-quality workforce. The cost of replacing an employee include recruitment costs,
training costs, the cost of lost productivity during that process, and potentially the loss of
institutional knowledge (Humphress & Berge, 2006).
Organizational Context and Mission
Health Sciences University (HSU, a pseudonym) is accredited by the Western
Association of Schools and Colleges and delivers several professional degree programs in the
health sciences. HSU has two main campuses on the United States’ west coast and partners with
clinical sites across the United States for the delivery of curriculum and clinical experiences. The
mission of HSU is to enhance the quality of life in the community by providing health care
6

professionals and biomedical knowledge. HSU has over 1,200 employees and about 4,000
students. The main campus also contains several centers offering healthcare services.
Organizational Goal
As a part of the university strategic plan, HSU has a goal for innovation and operational
excellence. By 2023, the plan is to create an adaptable culture of innovation, strong financial
stewardship, provide strategic planning, and build core competencies in leadership and
management. This study focuses on building core competencies in leadership and management.
To meet this part of the goal, HSU has created a leadership development series intended to
develop the leadership and management skills of the university’s current and emerging leaders.
In the first two years of this initiative, between 2017 and 2019, HSU has conducted two major
live events and three strategic planning conferences covering managerial best practices,
employee recognition, and other initiatives to ensure a collective movement toward the mission.
Exploring the managers’ experience with professional development and implementing
performance management practices helps to identify assets and gaps in this area and support best
practices that can be implemented across the university.
Description of Stakeholder Groups
The stakeholder groups who are directly involved in the implementation of effective
performance management practices are managers, human resource personnel, and senior
administration. Managers are any individual who is the direct supervisor of an employee. These
individuals have titles of manager, director, department chair, or dean with various levels of each
title. Human resource personnel includes employee relations director, executive director, and
vice president titles. Senior administration includes individuals in the provost, chief operations
officer, and president roles. Managers need to practice effective leadership and management
7

skills, allowing them to make greater contributions to university growth, employee growth, and
student experience. As the university has grown, many of the managers have assumed leadership
roles and yet have received little to no training in the area of managing employees and their
performance. Developing performance management skills helps managers to execute these roles
more effectively. Employees benefit from having managers who can lead and offer guidance
toward optimal performance and professional development. When employees are engaged and
committed to the job, they contribute to the overall student experience. As an institution of
higher education, the students are the driving force of the university.
Stakeholder Group for the Study
A complete analysis of performance management would include perspectives from all
stakeholder groups; however, it is important to explore the capacity of managers to implement
effective performance management practices. Some of these practices are evaluating staff
performance, providing feedback, and setting goals for professional development. Through the
effective management of staff performance, managers contribute to overall operational
excellence. Failure to implement effective performance management practices could result in
inconsistent practices and experiences across the university and continued performance issues,
including a decline in performance. Improved performance is beneficial to all stakeholder groups
and contributes to the overall success of the university.
Stakeholders’ Performance Goals
Table 1 outlines the stakeholders’ performance goal as it relates to the organizational
performance goal and mission.

8

Table 1
Organizational Mission, Organizational Goal and Stakeholder Group’s Performance Goal
Organizational Mission
The mission of Health Sciences University is to improve the quality of life for its surrounding
communities by developing and training health care professionals and contributing to knowledge
in biomedical sciences.
Organizational Performance Goal
By 2023, Health Sciences University will attain operational excellence.
Stakeholder Group Goal
Managers will implement effective performance management practices.

Purpose of the Study and Research Questions
The purpose of this study is to explore the degree to which the organization is able to
meet its goal for operational excellence, which includes building core competencies in leadership
and management. While a complete performance evaluation would focus on all HSU
stakeholders, for practical purposes, the stakeholder of focus in this analysis is HSU managers.
The analysis focuses on managers’ knowledge, motivation, and organizational influences related
to implementing effective performance management practices.
This study is guided by the following research questions:
1. What are managers’ knowledge and motivation influences related to implementing
effective performance management practices?
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2. How do organizational influences support or hinder managers’ capacity to implement
effective performance management practices?
3. What performance management recommendations can be made based on the findings?
Overview of the Conceptual and Methodological Framework
This study utilizes the Clark and Estes’ (2008) gap analysis framework along with
performance management theory as described by Buchner (2007). These frameworks are adapted
to an exploratory model that examines the knowledge, motivation, and organizational influences
that impact managers’ capacity to implement effective performance management practices. The
assumed influences are generated based on context-specific research and general learning and
motivation theory. The qualitative methodological framework is used to analyze these influences
via individual interviews.
Definition of Terms
HSU Managers: Individuals who are responsible for managing the performance of staff
employees.
Performance Feedback: The providing of information about the employees’ performance,
effectiveness, success, or failure towards set goals (Clark & Estes, 2008; Kluger & DeNisi,
1996).
Performance Management: A collaborative process that encompasses the establishment of goals,
providing ongoing performance feedback, and professional development (Clark & Estes, 2008;
Mone, Eisinger, Guggenheim, Price, & Stine, 2011; Sahoo, & Mishra, 2012).
Professional Development: Often defined in different ways, for this study the term will refer to
efforts towards continued professional growth.
10

Organization of the Study
This dissertation study is organized into five chapters. This chapter introduced the reader
to the topic of performance management and common terminology that will be referenced
throughout the five chapters. HSU was introduced as the organization of focus, along with the
mission and goals that support the overall topic of this study. Chapter Two provides an in-depth
review of the literature on this topic. The review covers past research, best practices, challenges,
and possible strategies for addressing ineffective performance management practices. Chapter
Two will also describe HSU managers’ knowledge, motivation, and organizational influences
explored in the study, along with the constructs of the theoretical frameworks. Chapter Three
outlines the methodology for choosing participants, data collection, and analysis. Chapter Four
contains data analysis. Finally, Chapter five consists of discussion and offers recommendations
for practice along with potential for future research.

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Chapter Two: Review of the Literature
Performance management is a popular topic for organizations looking for ways to
measure and improve performance. How one defines performance management and decisions
about how to successfully accomplish performance management can vary greatly but managing
employee performance is essential. In this chapter, the literature is reviewed to provide
definitions for performance management, discuss best practices, and uncover some of the reasons
behind the ineffective implementation of performance management practices. The Clark and
Estes (2008) theoretical framework is used to present the managers’ knowledge, motivation, and
organizational influences assumed to impact their capacity to implement effective performance
management practices. A conceptual framework is created to illustrate the key characteristics
and move forward towards recommendations for the implementation of best practices and future
research.
Background and Benefits of Performance Management
This section defines performance management and outlines the essential elements of
performance management practices. A discussion on the benefits of performance management
illustrates the importance of implementing effective performance management practices.
Performance management is a systematic process where an organization measures individual
outputs against performance goals. It contains elements of strategy management and human
resource management (Brudan, 2010; Lewis, 1998). Performance management is often linked to
employee pay, employee retention, and employee job satisfaction (Clark & Estes, 2008; Lewis,
1998). The elements of performance management include setting performance goals, evaluating
performance, and providing feedback (Budan, 2010; Clark & Estes, 2008). Some argue that the
purpose of performance management is to increase performance and productivity (Adler, et al.,
12

2016) while others argue it is a system for providing ongoing performance feedback, discipline,
or rewards (Kluger & DeNisi, 1996; Simoneaux & Stroud, 2012). Performance management has
also been described as a mechanism for control (Bruden, 2010; Soltani, 2003). It is when the
purpose of performance management is considered professional development that it is the most
effective and beneficial.
The most common reason for implementing performance management practices is to
increase productivity and, ultimately, to improve net revenues or profits. Clark and Estes (2008)
see performance management as a process for identifying gaps. These gaps can then be aligned
with performance goals and strategic organizational goals (Clark & Estes, 2008; Brudan, 2010).
Not only can performance management align with organizational goals, but it can also be aligned
with and promote organizational values and principles (Sahoo, 2012). Proper alignment of goals
and values helps to increase employee engagement (Monet et al., 2011). Clark and Estes (2008)
explained that performance management is an investment in the workforce. This investment is
attributed to the professional development, and ultimately the growth of the individuals and is
often cited as the most beneficial aspect of performance management (Brudan, 2010; Kluger &
DeNisi, 1996; Simonex & Stroud, 2012; Soltani, 2003).
Effectiveness of Performance Management
Elements of effective performance management include creating a system that
encompasses job satisfaction, assessing performance which includes setting goals and providing
feedback, and providing opportunities for growth. Having this system in place, however, does
not guarantee effectiveness. Whether or not performance management is effective has been a
topic of debate for several years. Schleicher et al. (2019) conducted a comprehensive review of
over 30 years of empirical research on this topic. From this review, Schleicher et al. (2019)
13

developed a theoretically grounded, comprehensive model to understand the effectiveness of
performance management. This model highlights employee abilities, reactions, and outcomes.
Current Best Practices
There are best practices that can be used across multiple organizations that have been
shown to produce positive results in human resource management and organization performance
(Sikýr, 2013). Successful implementation of best practices is a major component of
effectiveness. A thoughtful analysis of best practices to comprise a custom plan for the
organization is critical to successful implementation (van Zyl et al., 2017). Some of the
significant areas of focus are job fit, feedback, training, and professional development. To focus
efforts on only one area is not sufficient as they each contribute to the overall effectiveness of
performance management.
Ensuring Job Satisfaction
Effective performance management starts with the creation of the job and job fit (van Zyl
et al., 2017). Job descriptions outline job duties and should clearly outline roles, core
competencies, and expectations. Once the job has been created, the recruitment process should
ensure that the selected employee has the competencies and clearly understands the role and
expectations (Grote, 2000; Sikýr, 2013; van Zyl et al., 2017). The alignment of the employee
with the job is critical to achieving the desired outcomes. Once that alignment is achieved, it will
be important to align clearly defined performance goals with the employee and the job (Sikýr,
2013; van Zyl et al., 2017). This alignment contributes to employee engagement and job
satisfaction. Over time, it is important to include the employee in updating the job description to
ensure the employee values the position and show that the organization values the employee
(Saratun, 2016). This continued value is reinforced as the employee grows professionally.
14

Professional development and career growth are important elements of job commitment,
performance, and retention (Mokgojwa, 2018). Successful implementation of performance
management practices includes planning for the professional development of the employees. In
order to retain valuable employees, they need to grow and continue making valuable
contributions. Many organizations believe professional development to be the responsibility of
the individual employee when it should be a shared responsibility with the manager (Amann,
1996; Davis, 2015). Professional development is a process that needs to be ongoing and
consistent, just as performance management is.
Assessing Employee Performance
Performance management methods vary for different organizations and what works well
for one organization may not work for another (Hunt, 2015). However, it is necessary for any
organization to have a way for assessing employee performance. Hunt (2015) describes
employee assessment as necessary for employee classification, such as job assignment and
evaluation, and employee development to provide feedback for increased effectiveness.
Uses of Performance Appraisal. Performance appraisals are used for evaluating past
performance, task assignment, goal setting, and providing feedback (Hunt, 2015; Wright &
Cropanzano, 2000). Typically, performance appraisals are conducted on an annual basis and
used for employee development, pay increases, promotions, and other administrative tracking
activities (Roch, 2017). Performance appraisals for employees in higher education is also said to
be used to hold universities accountable for effectiveness and efficiency in the use of resources
(Flaniken, & Cintrón, 2011).
Responsibility for Performance Appraisal. Performance appraisals in higher education
are important to ensure that employees are fulfilling their responsibilities to the organization
15

(Flaniken, & Cintrón, 2011). The appraisal process is typically the responsibility of the manager
and over time has become a collaborative effort between the manager and the employee (Venne,
& Hannay, 2018). The shift from a manager tool for monitoring performance to a tool for
improving performance has made the process more effective for the organization (Venne, &
Hannay, 2018).
Providing Effective Performance Feedback. Feedback is a major component of
performance management. It entails providing information to the employee about how they have
performed in their job duties and progress towards assigned goals. Typically, this feedback is
intended to improve overall performance by highlighting areas that need improvement as well as
areas that have proven successful in relation to assigned performance goals (Baker et al., 2013).
Often, feedback is not well accepted and thus ineffective (Baker et al., 2013; Kluger & DeNisi,
1996). A trend in providing more effective feedback is utilizing a 360-feedback approach (Baker
et al., 2013; Campion et al., 2015). This approach entails the gathering of performance feedback
from several perspectives, including peers, subordinates, supervisors, and one’s self. The use of
360 feedback in performance management increases effectiveness by making the process more
holistic, eliminating potential bias, and increasing acceptance of performance ratings (Campion
et al., 2015).
There are several ways to provide performance feedback, many of which are both formal
and informal. It is important that feedback is delivered frequently and consistently; during
regular performance assessment processes, at times of major successes and failures, and
periodically throughout the performance period to ensure progress towards established goals
(Simoneaux & Stroud, 2012). A newer approach to feedback with a positive focus is called
“feedforward” (Rice, 2017, p. 7). This approach describes a process where the manager discusses
16

successful performance areas and how those successes impact the organization, followed by
addressing performance gaps as opportunities for improvement and growth (Rice, 2017).
Providing Training
Research has demonstrated a need for management development in organizations due to
the trend of promoting talent from within (Olesen, 2007; Patton & Pratt, 2002). In order to
ensure these individuals are prepared for management roles, they should receive management
development, which includes implicit bias training, rating error due to this bias, as well as frame
of reference training (MacDonald & Sulsky, 2009). In order to provide effective training for
managers, it is necessary to understand their cognitive approaches to performance management.
This means looking at how managers collect, interpret, and use the information gathered in the
performance management process (Wright & Cheung, 2007).
There has been success in manager training through simulation. Rachman-Moore and
Kenett (2006) created a simulation for MBA students to provide a practical approach to
performance management training. The simulation showed significantly more effective training
with the use of a balanced scorecard and multi-rater assessment. This training allowed for the
application of knowledge in a realistic environment.
Managers’ communication and interpersonal skills are another essential element for
effective delivery of performance management practices. These skills can assist managers in
delivering clear and consistent messages while implementing performance management tasks
and communicating the messages to subordinates. Interpersonal skill training should include
feedback behavior and the use of language when providing and receiving feedback (Ock &
Oswald, 2015). In addition to training managers, there is a need to assess managers’ ability to
17

develop performance plans, evaluate performance, deliver performance feedback, and provide
mentorship (Fludd, 2016).
Culture and Performance Management
Organizational culture can support or impede on the successful implementation of
performance management practices. Many organizations are considering the impact of
performance management on employee engagement and job satisfaction. Often, success is reliant
on trust and the ability for managers to provide mentorship (Antony, 2018; Nazir & Islam, 2017).
The following sections review the significance of these elements in effective performance
management.
Increasing Employee Engagement
Employee engagement encompasses the employee’s commitment to the organization and
has been linked to improved performance for the employee as well as the organization (Antony,
2018; Ayub & Islam, 2018; Monet et al., 2011; Nazir & Islam, 2017). Effective implementation
of performance management practices can have a direct impact on increasing employee
engagement (Antony, 2018; Nazir & Islam, 2017). There is a growing need to increase employee
engagement and greater emphasis should be placed on this from the performance management
perspective (Saratun, 2016).
Improving Job Satisfaction
Effective performance management practices can increase employee job satisfaction.
When employees are developed for optimal performance, growth, and commitment, they show
increased levels of content and fulfillment with the job and the organization (Shrivastava, 2018).
Since employees want to be in positions where they are valued, fulfilled, and performing well,
dissatisfaction can have a negative impact on overall organizational performance (Deepa, 2012;
18

Mallaiah, 2008). As levels of satisfaction with the performance management process increase,
employees tend to improve outputs and performance, which is why many organizations include
satisfaction as an organizational goal (Jaksic, & Jaksic, 2013).
Importance of Trust
Trust in the organization and in managers has shown to have a direct correlation to
employee commitment and engagement (Ferndale et al., 2011). Trust in management is likely to
decrease if employees feel that performance management practices are poorly or unjustly
delivered (Jafri, 2011). Also, acceptance of performance feedback is directly impacted by the
level of trust an employee has in the manager (Moon, 2019). Establishing a relationship of trust
between employee and manager improves performance management and, ultimately,
performance.
Building Mentorship Relationships
Another important relationship that can greatly impact employee performance is that of
mentor and mentee (Schraeder & Jordan, 2011). Mentorship refers to the relationship between
the employee and a more experienced individual, typically the manager. A mentor offers
guidance, helps build competencies and supports career development, all of which encourage
better performance (Schraeer & Jordan, 2011). Establishing this type of relationship between
employee and manager can bring together several components that assist in the success of
performance management; professional development, engagement, satisfaction, and trust.
Clark and Estes (2008) Knowledge, Motivation, and Organizational Influences’
Framework
This study utilizes the Clark and Estes (2008) gap analysis framework. This framework
focuses on performance improvement through the development of performance goals, starting
19

with organizational goals that directly lead to individual performance goals. These goals are
reviewed for performance gaps. Identified performance gaps then go through an in-depth
analysis to determine causes in the areas of knowledge, motivation, and organizational (KMO)
barriers. Conducting this analysis allows for solutions to be implemented that are directly
designed to address gaps in each area. As solutions are implemented, data is continuously
gathered, and the results can be evaluated and reflected on to allow for reassessment of the goals
and updating as needed. The use of the Clark and Estes KMO framework is useful in evaluating
existing performance management practices and providing insight to the knowledge, motivation,
and organizational influences that support or hinder effectiveness and provide best practices for
future implementation.
Managers’ Knowledge, Motivation, and Organizational Influences
The following sections outline the elements within each of the KMO influences in order
to discuss how each KMO influence directly impacts performance management practices. Once
the influences and their connection to performance management is outlined, a conceptual
framework can be created. That framework is described after these sections. The stakeholder
goal is to ensure that managers have the necessary skills, motivation, and organizational support
to effectively implement performance management practices.
Knowledge Influences
This section will review knowledge-related influences that are assumed to impact Health
Sciences University managers’ capacity to implement effective performance management
practices. Exploring knowledge influences can help the organization identify performance gaps,
understand what skills and abilities need improvement, and create solutions directed at the
specific influences (Clark & Estes, 2008). Performance is impacted by different knowledge types
20

including factual, procedural, conceptual, and metacognitive (Bloodgood & Chilton, 2012;
Richlin, 2006). Factual knowledge refers to knowing the basic elements and terminology in a
specific area (Richlin, 2006). Conceptual knowledge entails understanding the interrelationships
between these basic elements (Richlin, 2006). Procedural knowledge includes knowing how to
do a specific task and how to apply skills in a specific area (Richlin, 2006). Metacognitive
knowledge involves understanding one’s own cognition about specific tasks, concepts, and
processes (Richlin, 2006). The knowledge influences in this study are then categorized into these
knowledge types.
Knowledge and Skills Related to Evaluating Performance
The first knowledge influence that impacts performance management practices is
knowing how to evaluate performance. This would be considered procedural knowledge where
managers need the knowledge and understanding of the appropriate evaluation techniques and
the ability to implement them into practice. Effective performance evaluation is essential to
organizational success and requires the implementation of a systematic process to assess an
employee’s contributions and goal achievement (Ahmed, Sultana, Paul, & Azeem, 2013). As
discussed previously, feedback, professional development, and mentorship are essential skills
needed for managers in evaluating performance. Elements of the performance evaluation include
creating employee performance goals that align with organizational goals, providing ongoing
feedback, and assessing employee performance of assigned tasks and goal achievement (Clark &
Estes, 2008). This study explores managers' knowledge and self-efficacy in evaluating employee
performance.

21

Ability to Engage in Difficult Conversations
Having the ability to communicate and engage in difficult conversations is considered
procedural knowledge. Communication skills are a critical skill in the manager role in the
context of providing effective feedback and engaging in difficult conversations with employees,
yet quite often managers are recruited without this skill (Bambacas & Patrickson, 2009).
Hennessy and Finney (2010) conducted a study from 2007 to 2009 where they surveyed
managers about discussing poor performance. In this study, only eight percent of managers felt
the organization managed poor performance well, and only three percent of managers felt
confident in dealing with underperformance. Many managers avoid difficult conversations
because they do not feel comfortable engaging with employees about negative or confrontational
topics. Effective performance management requires effective communication, including the
ability to engage in difficult conversations and provide feedback about performance and
underperformance (Hennessy & Finner, 2010; Polito, 2013).
Coaching Skills for Improved Performance
Performance management involves evaluating performance, providing feedback, and
coaching for improved performance (Sahoo & Mishra, 2012). Successful coaching of an
employee includes communication about performance and ways to improve and continue
professional growth. Again, these skills are considered procedural knowledge. Employee
coaching is dependent on the relationship between the manager and employee in building trust
and mutual respect, which can lead to increased effectiveness and goal accomplishment (Gregory
& Levy, 2011). Meyers and Bachikirova (2018) developed an empirical model for coaching
approaches that indicated the most effective approaches were either client-lead or process-led.
The client-led approach focuses on the relationship, and the process-led focuses on structured
22

goals and the use of specific techniques. Whichever approach is chosen, coaching is an important
skill for the effective implementation of performance management practices.
Manager Self-reflection
Development of managers requires self-reflection and self-awareness (Landesz, 2018).
Self-reflection begins with self-awareness which includes thoughts and feelings about
performance management abilities; followed by critical analysis by comparing previous
knowledge and experiences; and finally learning or developing new perspectives causing
cognitive and behavioral changes (Ractham & Srisamran, 2018). This is an example of
metacognitive knowledge. Self-reflection is one of the most effective ways to learn about one’s
strengths and weaknesses, and then further develop skills in those areas. Managers who seek
lifelong learning are often more likely to practice self-reflection (Marques, 2007). It has been
shown that when managers practice self-reflection regularly and reflect on what makes them
effective managers, it can improve their ability to channel their energy towards the successful
implementation of those qualities (Lanaj et al., 2019).
Table 2 presents the four knowledge influences discussed and the corresponding
knowledge types.

23

Table 2
Knowledge Influences
Knowledge Influence Knowledge Type
Managers need to be able to evaluate employee
performance.
Procedural

Managers need to be able to engage in difficult
conversations.
Procedural

Managers need to be able to coach for improved
performance.
Procedural
Managers need to be able to self-reflect on their
strengths and areas of growth in the area of
performance management.
Metacognitive

Motivational Influences
Knowledge and motivation are both key to performance. Knowledge is required to know
how to accomplish something, and motivation is necessary to influence action and efforts
towards accomplishing something (Clark & Estes, 2008). This study focuses on motivation
influences that are related to the effective implementation of performance management practices.
This section provides an overview of the literature on motivation-related influences specific to
the effective implementation of performance management practices. Motivation involves making
a choice to do something, the persistence to continue doing something through completion, and
the amount of mental effort one is willing to put forth in completing something (Clark & Estes,
24

2008). Self-efficacy and utility value are the motivation influences that support choice,
persistence, and mental effort towards the effective implementation of performance management
practices.
Utility Value for Performance Management
The perception of utility combined with manager self-efficacy can increase the overall
effectiveness of performance management practices (Baron, & Morin, 2010). Utility value
encompasses how one perceives the usefulness of the task at hand towards present and future
goals (Vansteenkiste et al., 2004). It is possible to increase utility through goal setting. Goal-
setting theory was developed by Edwin Locke in the 1960s and its premise is that when
individuals have clearly set performance goals they are striving to achieve, they will have more
effective performance than if there were no performance goals (Miner, 2005). Having clear goals
directs their attention and contributions in a specific direction. It is argued that having more
difficult and specific goals can result in increased and sustained efforts and can even encourage
innovation. In addition to difficulty and specificity of the goals, goal commitment and
importance impact performance (Buchner, 2007).
Goal-setting theory focuses on setting goals to motivate the employee. For this study, it is
necessary to look at the managers’ motivation to implement effective performance management
practices. In this respect, managers are often performing the tasks of performance management
motivated by a goal of completing the task. A more appropriate goal would be to improve
performance and provide professional development for the employee. Making the goal more
robust in this manner should then impact commitment to and effort toward the achievement of
that goal. This type of goal is more complex and difficult than simply completing a task in that
the outcomes are dependent on the employee’s as much as they are on the manager’s efforts.
25

Success at this type of goal is then more important and rewarding, impacting motivation and self-
efficacy in this area.
Self-Efficacy Related to Performance Management
Self-efficacy encompasses how one perceives their ability to accomplish something. This
perception consists of a cognitive process that includes social comparison and perceived
controllability. The motivation process then guides one’s action through anticipation of outcomes
(Bandura, 1993). Self-efficacy is an important influence in leadership ability and manager
effectiveness (Ng, Ang, & Chan, 2008). In order to consistently invest the mental effort
necessary to be effective, managers need to believe in their own abilities to implement
performance management practices and need to have the confidence in their ability to produce
positive outcomes. A lack of confidence can lead to a lack of persistence and can result in
managers choosing not to invest the effort (Clark & Estes, 2008). Manager self-efficacy has been
shown to improve employee engagement and contribute to overall manager effectiveness
(Luthans, & Peterson, 2002). Self-efficacy influences effectiveness even when training managers
to implement performance management practices (Baron, & Morin, 2010).
Social cognitive theory builds on or compliments goal-setting theory in that it highlights
the accomplishment of difficult goals and the subsequent setting of even more difficult goals. As
individuals achieve success in their goals, they experience increased self-efficacy, which then
motivates them to apply more effort towards the next goal (Bandura, 1989). One can also build
self-efficacy by observing others achieve success with the same goal (Buchner, 2007). Similar to
goal-setting theory, social cognitive theory can be looked in the context of managers’ ability and
self-efficacy in implementing effective performance management practices. Rather than looking
at performance management as a task with a goal to complete the task, the goal should focus on
26

what is accomplished with performance management. Accomplishing the goal is not simply
completing a performance evaluation, rather it has a more productive employee who develops to
make greater contributions. This adds value to the goal, and as the goal is accomplished,
managers should be motivated to set even more difficult goals in that regard.
Table 3 presents the motivation influences impacting the effective implementation of
performance management practices as they align with motivation constructs.

Table 3
Motivation Influences
Motivation Construct Motivation Influence
Utility Value Managers need to see the value in implementing effective
performance management practices.
Self-Efficacy Managers need to feel confident in their ability to effectively
implement performance management practices.

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Organizational Influences
Although knowledge and motivation are important influences in successful performance,
organizational influences are also critical factors (Clark & Estes, 2008). Clark and Estes (2008)
describe these influences as either processes and resources or culture. Processes and resources
are typically reviewed regularly, which allows for the identification of performance gaps.
Organizational culture is much more complex, and identifying gaps is more difficult.
Organizational culture can be described as shared values, beliefs, and ways of doing things. Gaps
in organizational culture can be identified at the individual level, group level, and the overall
environment (Clark & Estes, 2008). This study focuses on four organizational influences that
directly impact managers’ capacity to implement effective performance management practices:
training, mentoring, performance management resources, and organizational culture.
Provision of Effective Performance Management Training
Training in an organization is intended to give those individuals participating in the
training a set of knowledge and competencies intended to help the individual perform and
contribute to the organizational goals (Govil & Usha, 2014). Govil and Usha (2014) argue that
training is critical to organizational growth and success. Bond and McCracken (2005) indicate
that many employee performance issues are compounded due to a lack of manager training and
that providing training to managers can support effective practices. This study explores the types
of training provided to managers as well as the effectiveness and appropriateness of the training.
As discussed previously, training in several areas is critical to successful implementation of
performance management practices (Fludd, 2016; Ock & Oswald, 2015). Training is a resource
provided by the organization. This study explores managers’ perceptions about the adequacy of
any training they might have received.
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Provision of Performance Management Related Mentoring
In addition to training, organizations need to provide opportunities for mentorship.
Mentoring can be described as a long-term relationship where one is taught, advised, and
provided with emotional support as they develop and make progress towards their goals. A
mentor is typically an individual with more experience in a given area who offers guidance, often
based on personal experience (Saletnik, 2018). Some of the benefits of mentoring are the passing
on of knowledge, professional growth, increased performance, increased productivity, and
increased confidence (Núñez-Cacho Utrilla & Grande Torraleja, 2013; Saletnik, 2018).
Managers can improve the effectiveness of performance management practices if they
receive mentoring from more experienced managers. When faced with new performance
management issues, managers can rely on the guidance from mentors who may have experienced
similar situations. Even the behavior of mentorship can be developed by the manager who can
then offer guidance and pass on knowledge to their employees.
Provision of Performance Management Resources
Resources for performance management include the tools, software, job aids, policies,
and processes available for managing the performance of employees (Clark & Estes, 2008).
Processes need to be aligned with organizational goals, and organizational policies need to
support the processes (Clark & Estes, 2008). Performance management tools include software,
forms, and other systems to assist with the various tasks that are required for successful
performance management.
In order for managers to be effective at implementing performance management
practices, these resources are important in offering support and guidance. Not having an
adequate system for documenting performance management activities can result in varying types
29

of documents and inconsistent practices (Brudan, 2010). When policies and processes are not
aligned, this can cause confusion and frustration for managers and employees. Having proper
instructional guides can assist managers in following the desired process for managing employee
performance.
Organizational Culture for Effective Performance Management
Organizational culture impacts performance management practices because it reinforces
beliefs, attitudes, and behaviors throughout the organization (Jardioui et al., 2019; Ul Mujeeb &
Ahmad, 2011). Organizational culture is driven by the leaders and how they value performance
management impacts the effectiveness of performance management practices (Sivakami &
Samitha, 2018). Support from top leaders in the organization through the implementation of the
organizational mission and goals provides a model for the value in effective performance
management at every level of the organization (Pawirosumarto et al., 2017). Having a strong and
successful organizational culture can provide guidance towards the attainment of organizational
goals and overall performance improvement (Vveinhardt & Andriukaitiene, 2017).
Table 4 presents the organizational influences that impact the effective implementation of
performance management practices.

30

Table 4
Organizational Influences
Organizational Influence Category Organizational Influence
Organizational Setting The university needs to provide effective training for
managers in the area of performance management.
Organizational Setting The university needs to provide opportunities for
mentorship of managers in the area of performance
management.
Organizational Setting The university needs to provide the performance
management resources such as software, job aids,
value chains necessary to effectively manage employee
performance.
Organizational Culture The university needs to provide a culture that
prioritizes effective performance management.

Conceptual Framework
The conceptual framework for this study takes the key elements from the Clark and Estes
(2008) gap analysis framework as it applies specifically to the effective implementation of
performance management practices and, ultimately, employee performance and growth.
Managers need to understand what is required for effective management of employees, which
includes evaluating performance. They need the communication skills to deliver positive and
negative feedback and address performance issues as they arise. These communication skills,
31

combined with effective coaching skills, give managers the required competencies to guide
employees towards improved performance and growth.
Having these competencies alone is not sufficient to accomplish effective performance
management practices. Managers then need motivation, driven by self-efficacy, value for, and
commitment to performance management. In addition to having the required competencies and
motivation, appropriate organizational resources reinforce the effective implementation of
performance management practices and ultimately improve employee performance and growth.
Figure 1 depicts the conceptual framework for this study.

Figure 1
Conceptual Framework

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Summary
This chapter reviewed the literature as it relates to defining performance management
while providing an overview of best practices for and benefits of effective implementation of
performance management practices. This was complemented by a brief review of the impact on
organizational culture these practices reinforce. The Clark and Estes (2008) gap analysis
framework was explained along with the critical knowledge, motivation, and organizational
influences as they relate to effective implementation of performance management practices. This
was followed by the conceptual framework derived from this theory.

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Chapter Three: Methodology
The purpose of this project is to explore the degree to which the organization is able to
meet its goal for operational excellence, which includes building core competencies in executive
leadership and management. While a complete performance evaluation would focus on all HSU
stakeholders, for practical purposes, the stakeholder to be focused on in this analysis is HSU
managers. The analysis focuses on managers’ knowledge, motivation, and organizational
influences related to implementing effective performance management practices. This chapter
provides an overview of the research and data collection methods. Included in the overview are
descriptions of the instruments and participating stakeholders. Concluding this chapter is a
description of the researcher and her role.
This study is guided by the following research questions:
1. What are the managers’ knowledge and motivation influences related to implementing
effective performance management practices?
2. How do organizational influences such as training, mentoring, resources, and
organizational culture support or hinder managers’ capacity to implement effective
performance management practices?
3. What performance management recommendations can be made based on the findings?
Overview of Methodology
This project used a qualitative methods approach to explore and attempt to understand the
knowledge, motivation, and organizational influences being studied. Qualitative research is an
approach to research where the data collected is words or experiences, and that data is then
interpreted to develop an understanding of those experiences (Creswell, 2014; Merriam &
Tisdell, 2016). Data was collected through one-on-one interviews with managers at HSU who
34

have direct reports and are responsible for managing performance. These interviews are intended
to gather information about the stakeholders’ knowledge and motivation as well as their
perception of whether and how the organization supports them in performance management
practices. The goal was to gain an understanding of what influences impact managers’ ability to
implement effective performance management practices, the organization’s and the managers’
value of and self-efficacy in the implementation of effective performance management practices,
and possible ways to improve the implementation of effective performance management
practices.
Data Collection, Instrumentation, and Analysis Plan
This study used interviews as the data collection method. This section outlines the details
of that method including a description of the participating stakeholders, procedures, and analysis.
A copy of the interview protocol is included in the appendix.
Interviews
Interviews allow a researcher to gather data about an individual’s feelings or their
interpretations of their environment in their own words, uncovering information that might not
come up in a survey with predetermined responses (Merriam & Tisdell, 2016). For this study, the
goal was to gain insight into the knowledge, motivation, and organizational influences from the
perspective of the managers at HSU. The questions outlined in Appendix A are each aligned with
one of the three research questions for this study.
Participating Stakeholders
The target population for the interviews is managers at HSU who have direct reports and
performance management responsibilities. This population was targeted in an effort to gain
insight into their perspectives of the key concepts as outlined for this study. Purposeful sampling
35

was used to select a typical sample of participants. For this study, a typical sample was a
manager at HSU who supervises at least one employee. There are approximately 250 individuals
that meet this criterion. Merriam and Tisdell (2016) described the point of saturation to be when
data becomes repetitive. Recruitment of participants was done via email, sent by the researcher
to a list of managers created via the HSU website directory. The target sample size was 10 to 12
participants based on the number of responses. With an adequate number of individuals who
volunteered, one third of the sample consisted of managers who are faculty, one third consisted
of managers who are deans, and one third consisted of managers who are staff who have had
supervisor duties.
Instrumentation
The overall approach was semi-structured, where participants were all asked the same,
open-ended questions. Questions were followed by probes or follow up questions for additional
details or follow up questions according to Merriam and Tisdell’s (2016) suggestion. This
approach allowed participants to discuss their experiences and opinions about performance
management openly. The interviews were designed to collect information about the managers’
value and self-efficacy as they relate to performance management, while also gaining an
understanding of managers’ knowledge, training, and other forms of organizational support.
Data Collection Procedures
The interviews were conducted via teleconference using the Zoom software, which
allowed for remote, yet face-to-face interaction. The Zoom software allowed for recording the
interviews, including video, audio, and transcription of the audio. This method for interviews
was chosen to accommodate the social distancing restrictions currently mandated by state
officials. Because teleconference meetings can be done from anywhere, this also provided
36

flexibility and privacy. The interview sessions were scheduled for a one-hour duration. The
interviewees were asked for consent to record the sessions. In addition to the session recordings
and transcriptions, the researcher took field notes to record observations of behaviors, emotions,
and other significant findings. Each interview session began with a brief introduction to the study
to help identify the significance and direction of the questions. The Information Sheet for
Exempt Studies was shared with all participants, so they were aware of their rights.
Data Analysis
In using the qualitative method, data collection and analysis should happen
simultaneously (Merriam & Tisdell, 2016). This is because as qualitative data is collected, new
insights emerge and can give insight about information to look for as the data collection process
continues. Data analysis is the interpretation and classification of data and includes the
organization of information into themes or codes. Merriam and Tisdell (2016) described coding
as a shorthand so one can later find parts of the data easier. Codes that are developed in advance
are called a priori codes.
For this study, the Clark and Estes KMO influences were used as the a priori codes. After
each interview, it is important to review the transcripts and field notes to make notes about and
highlight information that is relevant to the study questions. Each interview was transcribed by
the researcher. The transcripts were then coded according to the KMO influences and other
themes as they emerged. Once all of the interviews were transcribed and coded, the data was
reviewed to identify assets and strengths that aligned KMO influences with best practices.

37

Credibility and Trustworthiness
In qualitative research, ensuring credibility and trustworthiness validates the research by
ensuring the data is collected and analyzed in an ethical and consistent manner (Merriam &
Tisdell, 2016). Credibility in qualitative research refers to whether the researcher’s interpretation
of the data is a valid representation of reality (Merriam & Tisdell, 2016). Ensuring this
interpretation is trustworthy can be accomplished by collecting data from multiple sources and
analyzing data while acknowledging potential bias. To ensure credibility and trustworthiness for
this study, the researcher used the same questions for all interviews, along with probing follow
up questions, and continued to conduct interviews and gather data until the point of saturation
which was estimated to be around 10 participants. Merriam and Tisdell (2016) described the
point of saturation as the point where the data is collected until no new or relevant information is
found. During data collection and analysis, memos are created and can be used to reflect on the
study goals as well as the positionality and prior experiences of the researcher (Maxwell, 2013).
For this study, the participants were considered peers to the researcher, minimizing
potential issues of positionality and power. Other potential issues are fear of retaliation or
judgment from HSU administration if participants respond negatively to organizational support
questions. This was mitigated by ensuring confidentiality and protecting the identity of
participants. Interview questions were guided by the research questions, reviewed by peers for
clarity, and beta-tested through pilot interviews and modified to maximize effectiveness.
Ethics and Role of Researcher
Ethical considerations in qualitative research are important in ensuring that the study is
conducted with integrity, and all parties involved in the collection and dissemination of data are
not harmed (Merriam & Tisdell, 2016). The researcher made it clear to all parties that their
38

participation was completely voluntary. Consent was requested for participation, and for all types
of recording during the interview sessions. The researcher ensured confidentiality through the
use of pseudonyms. All data records are kept secure in a cloud database that is password
protected. No data was gathered prior to receiving approval from both the University of Southern
California (USC) and HSU institutional review board (IRB).
The researcher is a manager at HSU, which could result in potential bias about her
personal feelings about organizational influences impacting performance management practices.
To mitigate this potential bias, the researcher beta tested the interview questions with two other
managers at HSU who were not included in the sample population, asking for feedback about the
quality and completeness of the questions as well as specifically addressing her potential bias. As
a manager at HSU, the interview participants are peers of the researcher, providing insider access
to participants without potential conflicts of power.

39

Chapter Four: Findings
Qualitative data was collected via one-on-one interviews to understand managers’
knowledge and motivation as well as organizational influences that support or hinder the
effective implementation of performance management practices at HSU. The interviews were
conducted via teleconference using a semi-structured approach, where participants were all asked
the same open-ended questions to allow them to discuss their experiences and opinions about
performance management openly. The original plan included a qualitative document analysis.
However, HSU did not allow access to internal documents or policies and procedures for the
purpose of this study.
Participating Stakeholders
Purposeful sampling was used to select a typical sample of participants. The interview
participants consisted of managers at HSU who have at least one direct report and performance
management responsibilities. Recruitment of participants was done via email, sent by the
researcher to a list of managers as listed on the website directories. A total of 15 people
volunteered. Volunteers were selected to have an equal number of participants from each college
and an equal ratio of staff, faculty, and dean participants. Interviews were conducted with 12
participants from six different colleges and included four faculty members, four staff members,
and four deans. All participants have been assigned as Participant 1-12 and all colleges have
been labeled A-F in effort to maintain confidentiality. Table 5 outlines interview participants,
their gender identity, employee type, and which college they work in.

40

Table 5
Interview Participants
Participant Number Gender Employee Type College
Participant 1 Male Faculty A
Participant 2 Male Dean B
Participant 3 Male Staff C
Participant 4 Female Staff D
Participant 5 Female Dean D
Participant 6 Female Staff C
Participant 7 Female Staff E
Participant 8 Female Dean E
Participant 9 Female Faculty B
Participant 10 Male Faculty F
Participant 11 Male Dean A
Participant 12 Male Faculty F

What Are HSU Managers’ Knowledge and Motivation Influences Related to Implementing
Effective Performance Management Practices?
An analysis of the degree to which participants demonstrated competence in areas of
performance management and the level of self-efficacy for performance management practices
41

was conducted to determine areas of strength as well as needs. Areas were categorized as an
asset when 75% or more of participants demonstrated knowledge and skills or high levels of self-
efficacy. Otherwise, they were categorized as a need. The findings are organized into two
categories: knowledge findings and motivation findings. Within each category, strengths or
needs are described in further detail.
Knowledge Findings
Knowledge-related influences that were analyzed for this study are HSU managers’
abilities to evaluate performance, coach for improved performance, engage in difficult
conversations, and self-reflect on their strengths and areas of growth. Participants were asked to
define performance management and to describe their role as managers. This prompted
discussions about process and the most important elements of performance management as they
perceived it.
Managers’ Evaluation Processes Focused on Employee Goal Setting and Efficient Job
Performance
The study sought to identify managers’ practices related to evaluating employee
performance. When asked to define performance management, 11 out of 12 participants
described their efforts of monitoring and evaluating staff performance in a way that is consistent
with best practices as described in the literature review. The participants described these efforts
as being focused on setting goals, and ensuring said goals are met. Research on best practices for
assessing performance indicates that these are essential elements of performance assessment and
can improve effectiveness. Participant 9 outlined the most important elements of performance
management:
42

I think there are three parts. The first is the job expectation or what it is you are required
to do. The second is finding the right indicators for performance, SMART indicators like
SMART goals. The third is using it both summative in terms of merit adjustment and
formatively in terms of development of the individual.
Participant 5 described managing staff performance as “setting goals and then having regular
contacts to touch on updates and challenges encountered, adjust goals, and then review the
achievements at the end of the year.” The types of goals described were targeted at performance
of job duties, performance improvement, or professional development.
Two participants described an approach to goal setting that was aligned with the career
maturity of the staff. For example, Participant 11 explained that when setting goals for a recent
college graduate, the goals should be focused on the starting career. However, if the staff is near
retirement, “the goals are going to be different and may not have anything to do with improving
this individual but limited to correcting some problems we still have.” Participant 1 described
staff that are in their positions for long-term periods as compared to staff who will be around
short-term and then transition to other positions or other institutions. He described goals for the
long-term staff focused on:
that long term relationship and making sure that person is comfortable and happy enough
to stay in that position because those are people that we need to hold on to because
they’re kind of our foundation of those teaching labs.
On the other hand, goals for the short-term transitional staff focus on what the staff “can
contribute to most in the shorter time [they’re] going to be here.”
As for their role in performance management, participants reported the focus was on
providing resources for meeting goals, completing job tasks with maximum efficiency, and
43

providing opportunities for growth. Participant 2 described this as “surround yourself with really
good people and you make sure that they have the training, the resources, the skills that they
need to do their jobs effectively and then you sort of get out of their way.” Participant 4
explained that she manages performance by reviewing “customer satisfaction, efficiency, sense
of judgement, and critical thinking.”
Although process and style varied amongst participants, the most discussed attribute in
performance management was communication. Half of the participants indicated that more
consistent or frequent communication with their staff about expectations and goals throughout
the year was a critical element in how they manage staff performance. This included a practice of
communicating both positive and negative feedback to those they supervise promptly.
The data demonstrated that participants possessed a firm understanding of performance
management. Their emphasis on goal setting is aligned with best practices for performance
evaluation. Chapter 5 will present the discussion of the study’s data regarding performance
management practices in the context of research about best practices in performance
management.
Managers’ Emphasis on Coaching for Improved Performance and Recommending
Professional Development
Another goal of this study was to explore managers’ practices related to coaching for
improved performance and to establish their assets and needs in this area. Throughout the
interviews, all participants demonstrated robust skills in coaching for improved performance and
recommending professional development of staff. When meeting with staff to discuss goals, 10
participants explained the importance of meeting goals, and addressing any issues that may have
caused those goals to not be met. The types of practices reported were the following: identifying
44

performance issues, resource issues, and possibly the need to modify performance goals. In
alignment with performance management-related research, skill in this area was determined to be
an asset when participants expressed the critical nature of addressing these needs promptly to
ensure corrective action if necessary.
Participant 2 described how critical it was to “figure out what isn’t going well, and how
we can fix it now, not a year from now.” Participant 6 explained that “if you don’t tell someone
right away that their performance isn’t great, they just continue on with the practice that isn’t
working” and how being honest with them, “allows them to improve.” The manner in which
participants addressed these issues were through ongoing communication and transparency.
Participants indicated that performance management efforts incorporate staff professional
development when they have identified areas with a need for improved performance. This
included improving performance that was not satisfactory or opportunities for growth for the
staff they supervise. Participants described examples of recommended professional development
for staff via completion of performance correction plans, designed by the supervisor to address
identified performance deficits. Participants indicated they recommended workshop and
conference attendance, specific skill training, and even multi-year professional development
plans that outline future training and career goals for staff who were interested in professional
development for professional growth. Participant 11 explained how important it is for staff to
“see the connection between aspiration and performance, or growth and performance.”
Participants discussed helping staff improve performance as a benefit the individual and the
organization as a whole.
Although most participants discussed professional development efforts that were focused
on employee growth, two participants mentioned improving staff performance due to them not
45

meeting expectations. For example, Participant 1 explained that he has only recommended
professional development once since becoming a manager and this was “definitely directed and
targeted at a negative component of this employee’s performance, where we needed to see
improvement.” As another example, Participant 5 explained that she acts as a facilitator for
professional development and “will only impose it in cases where it is a remedial plan.” Overall,
the data demonstrated that participants understand the importance of coaching for improved
performance and are knowledgeable in recommending professional development for the staff
they supervise.
Managers’ Variable Abilities to Engage in Difficult Conversations
An important aspect of the managers’ knowledge and skills the study sought to explore
was their ability to engage in difficult conversations when giving performance feedback. After
analyzing the responses surrounding this skill set, it was clear that not all participants possessed
the same level of ability and understanding of best practices in this area. Best practices indicate
that it is important to deliver performance feedback frequently and consistently, during
performance evaluations, at times of significant successes and failures, and throughout the
evaluation period (Simoneaux & Stroud, 2012). Half of the participants expressed the importance
of having difficult conversations immediately upon encountering any performance issues. Three
participants reported having open-door policies where employees can feel comfortable having
regular conversations about their performance without the stressful implication of a negative
performance evaluation.
Ten of the 12 participants indicated that having on-going conversations about
performance and addressing performance deficits immediately gave them as managers the ability
to handle these conversations effectively and with confidence. As Participant 2 explained, “as
46

long as you have open and direct communications, and regular communications, then you can
step in and provide assistance as soon as that might be needed.”
However, there were two participants who reported having an area of weakness in
providing negative feedback. For these participants, the conversations still took place, but they
perceived them as not always being effective. Participant 5 described it as an area for
improvement in “how to communicate poor performance.” She explained that she
“communicate(s) very directly” and this often results in staff interpreting the message as a
personal attack rather than guidance for improving performance. Four participants expressed a
need for additional training in this area. In summary, participants demonstrated knowledge in
some elements of providing performance feedback, but it was unclear if any participants clearly
understood and had the ability to implement all elements per best practices.
Managers’ Prevalent Self-Reflection on Strengths and Areas of Growth
The final knowledge and skill-related area this study looked to gain insight about was
how well managers were able to self-reflect and identify areas of strength and areas of growth in
their managerial practices. When participants were specifically asked to self-reflect on their
ability to manage performance and areas of strength, 10 out of 12 participants quickly identified
personal strengths and areas in need of growth in performance management. It was clear from
those responses that participants practiced regular self-reflection in earnest. For example,
Participant 11 explained,
That's difficult for me because I don’t think I do this as well as I like. I think my strength
is that I care that my direct reports and those that report to me have the opportunity to
grow. But my experiences are so mixed that I don’t necessarily see my approach as a
strength. I am uniform enough in my approach because every individual is different.
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They either have different needs or they react differently, or they may fail to achieve their
own aspirations. It’s difficult for me to sometimes separate my role as a manager from
their obligation to themselves to move forward. So, I’m kind of hard on myself when the
partnership has failed to move people forward.
Many reflections of strengths were directly linked to areas for growth. Participant 7
reported a strength of “encouraging participation and gathering the troops together” but indicated
that she struggles with “gathering all the information and providing timely feedback.” Participant
8 reflected on how she is “a really good listener” and asks, “really good questions.” However,
she recognized that her staff often get frustrated with her unwillingness to give definitive
answers to requests. Similarly, Participant 6 explained how her direct and open approach is a
strength and helps build comradery with her team, but that some people do not appreciate the
direct approach and that “it doesn’t work for everyone.”
Although 10 participants seemed to readily identify areas of strength and growth, two
participants were either hesitant or described themselves as not strong, but how they were
unwilling to change it. For example, Participant 8 explained that she was “not planning to
change” because circumstances often require her to analyze and take her time making a decision.
She concluded the explanation with, “maybe I could do a little bit better.” Overall, the data
demonstrated that participants engage in self-reflection on their management practices.
Motivation Findings
Areas of motivation this study explored were based on the motivation constructs of utility
value and self-efficacy. In exploring utility value, it was important to determine whether
managers saw the value in implementing effective performance management practices. In terms
of self-efficacy, the study looked at managers’ level of confidence in their ability to effectively
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implement performance management practices. The data demonstrated that both of these areas
are assets for the organization. In addition to these two motivation findings, the data identified an
area of intrinsic motivation for several participants.
Managers Value Implementing Effective Performance Management Practices
The study sought to establish if managers believed the implementation of effective
performance practices held value and if so, what they perceived that value to be. All participants
demonstrated high utility value in this area. Specifically, participants expressed the importance
of effective performance management practices in order to accomplish organizational priorities,
grow the individual employee, and to provide a sense of purpose for everyone involved.
Participant 2 explained how “it’s very important that the people you’re working with
have a clear understanding of what their expectations are” and this is “very, very important for
programmatic success.” Participant 11 described it as “critical, because you can’t get anything
done without a team effort and managing performance is key to a successful team effort.”
Another perspective on the value of effective performance management practices was described
by Participant 1 as the value of a “smooth running machine; one that I’m on while it’s running”
and it also provides a historical reference of success allowing him to “shift and avoid some of the
pitfalls when new people come in.”
Participants described added value from guiding staff to grow and make additional
contributions. As Participant 3 described, “you’re going to get the best out of people when you
let them know that you support them and that you’re encouraging them to grow.” These
contributions then reflect the guidance and mentorship provided by the manager. For example,
Participant 11 said, “you know who your talent is, and you should know that they are going to
represent you wherever they go.” Participant 4 described how performance management is
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critical because it ensures the staff’s “continued growth and their success” while helping staff to
understand how their roles contribute to “the big picture.”
Managers’ High Levels of Confidence in their Ability to Effectively Implement Performance
Management Practices
The other motivation influences this study sought to understand was how confident
managers were in their ability to effectively implement performance management practices.
When asked to reflect on their own ability to effectively implement performance management
practices, all participants felt they were doing well, reflecting high self-efficacy. Responses were
consistently, “I feel pretty confident” and “I think I’m pretty good at it” or as Participant 5 said,
“I have a good, strong track record.” Three managers expressed that their strong ability was
demonstrated by the success and growth of their staff. Participant 2 even described how his
approach is appreciated by those he manages:
I’ve really tried to turn it around and say the reason I am doing this evaluation is for your
success. It’s not to measure you and compare you to someone else and say you’re doing a
bad job. And honestly, I think everyone sort of appreciates it.
Participant 4 reported, “I feel that I’m strong in that area because I know that we have to give
people a chance to really show what they have.” Participant 7 described it as “you know you are
managing people right when they leave you for something better.”
Participants frequently linked their ability to manage performance with their leadership
abilities. Participant 2 said, “I think I have a pretty good handle on leadership and really, it’s
about their success; how do you make them successful.” Participant 9 explained how she “used
performance management as a tool to motivate. 90% was motivation, and 10% was more
constructive but harsher.”
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Development of Staff as Intrinsically Motivating for Most Managers
An additional finding that emerged and will therefore not be categorized as an asset or
need as it was not explored with each participant, was that seven of the participants seemed to be
intrinsically motivated by engaging with the staff they supervise in professional development
plans and then seeing the outcomes of those activities. Participants who reported this motivation
influence saw the growth of individuals they mentor as satisfying to them personally, and they
even viewed that growth as their own accomplishment or contribution. An example of this is
when Participant 11 said, “I’m constantly seeking opportunities to allow people to improve
themselves… that’s what adds joy to the job” and “everyone wants to be better or have a better
job, and it is rewarding to give people the opportunity to grow in place.” Participant 3 explained
that he finds it “rewarding to see somebody learn something new and apply it.” Also, Participant
4 explained how she loves to see people succeed and how “like the cliche, your success is our
success.” Participant 12 said, “I feel like I can inspire my students and staff to perform at a level
that they may have not thought possible” and “that gives me a great sense of pride.”
Participant 7 reported that her motivation came from ensuring that her staff were “happy
where they are at...but if they want to fly, help them.” Participant 6 indicated that she was “a
teacher at heart” and that she runs her department “like a classroom.” She described where her
motivation came from by saying, “I want them to do well because I like them as people” and “I
feel good about that.”
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How do Organizational Influences Such as Training, Mentoring, Resources, and
Organizational Culture Support or Hinder Managers’ Capacity to Implement Effective
Performance Management Practices?
An analysis of organizational influences such as culture, training, and other resources was
conducted to establish how these influences support or hinder the effective implementation of
performance management practices. The findings are organized into four areas where
participants identified needs or areas for improvement. Organizational influences were classified
as having areas of need when 50% or more of participants reported concerns about these areas.
Concerns About University Leadership Commitment to Performance Management
The first organizational influence explored was organizational culture. Organizational
culture refers to shared values and expectations. In this area, data demonstrated prominent
concerns about their leadership’s commitment to performance management. Although two
participants felt the university leaders were trying to make improvements in this area, 10 of the
12 participants expressed perspectives reflective of Participant 2’s comment, “I don’t think they
have a clue. I’m sorry I think that, unfortunately our leadership does not understand leadership
management at all.” He also said, “I don’t think they value it at all.” Participant 12 explained that
“they don’t invest any time in it; it’s an afterthought.” As Participant 9 described it, “I think the
university is moving in a lot of different directions, and that’s not really a priority.” Participant 5
had this perspective, “I would say the university as a whole has a pretense of ensuring
accountability, but I believe that the importance is more related to protecting themselves from
liability.”
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Disconnection Between University and College Units
Another organizational culture influence that emerged in the data was the feeling of the
individual college units being disconnected from the university as a whole. Seven of the 12
participants reported that their college unit had established effective processes for ensuring
effective performance management practices that were separate from university processes. They
also expressed confidence in the leadership for the college units but felt that the university was
lacking in those areas.
There were several comments similar to the one from Participant 3, “every college just
figures it out for themselves.” When asked to describe the university’s priorities for ensuring
effective performance management practices, Participant 11 said, “if you had said college
priorities, I could answer that question.” He explained how the disconnected priorities reflected
“a schizophrenic approach” where it is “recognized that the strength of the university is related to
the strength of the college, yet there’s an attempt to subjugate the role of the individual colleges
to that of the university.” He then explained how he believes that “the university leadership has
to allow the individual colleges to shine for the university then to glow.”
Ineffective Performance Management Tools
The study sought to explore the impact of organizational resources such as tools for
performance management on managers’ abilities to provide effective performance management.
The tools described by participants included performance evaluation forms and the software
platform for conducting performance evaluations. All participants expressed dissatisfaction with
these tools and frequently described them as confusing, clunky, inefficient, ineffective, and
focused more on checking boxes than actually managing performance.
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Four participants explained that they have been forced to adopt external tools such as
mobile phone applications to assist with communication, software, and other systems for
tracking staff projects and activities. They also develop their own tools in house for conducting
performance evaluations including interactive forms and rating systems. Participant 2 described a
formative assessment tool that his college created and then administered through the office of
institutional research and effectiveness. This process was completely separate from the
university’s human resource evaluation process. This type of activity has added to the
disconnectedness or misalignment with university processes. There was a lot of frustration with
the process and tools. Participant 3 described, “it’s just a mess. I think it’s probably a powerful
platform, but I don’t think we’re using it very well and I don't think that there’s a lot of
direction.”
Inadequate Opportunities for Training
An area of organizational influence that this study explored was the training provided to
managers to prepare them for managing staff performance. Eight out of 12 participants expressed
a need for more training in terms of performance management practices as well as the university
processes and tools. When asked about the training managers did receive, 10 participants
described training outside of the university or prior experience at other institutions. An example
of this is when Participant 7 explained:
at my other jobs, they would have yearly training for managers and any supervisors on
how to give difficult conversations, how to do performance evaluations, and also
professional development for yourself. I tend to rely on that because in this position, there
hasn’t really been much training.
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In the few instances where participants discussed the training available at the university,
it was described as not being very effective or as optional for those who take the initiative. For
example, Participant 12 indicated that “there are workshops you can take part in that can give
you the insights and the tips for effective management” and he tries to “take advantage of those
sort of things” however, he has not “had anyone pull me aside and say, I think you have
potential, and I’m going to invest in you to make you the best version of yourself.” Participant 5
described training offered for conflict management and delivering poor performance feedback,
but said, “I’m not sure they are very effective.”
How Has COVID-19 Impacted the Implementation of Performance Management Practices
at HSU?
This study took place during the COVID-19 pandemic of 2019-21. Late in 2019, there
were several outbreaks of a novel coronavirus, that was eventually named COVID-19. In March
of 2020, COVID-19 was officially declared a pandemic by the World Health Organization
(World Health Organization, 2020). California’s Governor proclaimed a State of Emergency as a
result of COVID-19 and issued an executive order where all residents were ordered to stay at
home (Exec. Order No. N-33-20, 2020). This order prompted schools and other businesses to
shut down temporarily.
HSU notified all employees and students in March of 2020 that the university would shut
down and begin remote operations for two weeks in order to comply with the state order and for
the safety of the campus community. All curricular and business activities went online. When the
interviews for this study took place, HSU had been operating remotely for 11 months. This
presented a number of challenges including the online delivery of curriculum, deciding when to
allow in person clinical skills training, managing the operations of on campus clinics, and
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managing personnel during these uncertain and challenging times. Key findings related to
COVID-19 and the impact on performance management were in the areas of adaptability and
communication.
Seven of the participants expressed the need for adaptability during COVID-19. As
managers, they are responsible for ensuring their staff have the necessary resources to fulfill their
responsibilities remotely. Participant 4 explained:
During these times when people might be working remotely, we all have to remember
that we’re all human beings and it’s a hard time right now. We are doing the same things,
we’re just doing them in a different way.
One challenge for these participants was maintaining strong communication systems.
This often called for having more frequent meetings, one-on-one as well as team meetings. They
often incorporated various communication platforms such as Zoom, MS Teams, e-mail, phone,
and text messaging. Even with increased frequency of meetings, some participants still reported
difficulty in maintaining the same level of team motivation. Participant 6 reported, “Zooming
with my staff has been a great challenge for me. It’s hard to gauge their mood. Normally, when
they are all sitting in their cubicles, I can hear the conversations and feel the mood”.
Many of the typical performance management processes, measurements, and even
philosophies had to be adapted to the new way of doing business. Initially, the intent was to
temporarily modify operations. However, at the completion of the study, there are many
discussions about permanent changes including hybrid and completely remote operations for
several positions across campus.
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Conclusion
Interview data was analyzed to understand the HSU managers’ knowledge and
motivational influences along with organizational resources and how these impact their effective
implementation of performance management practices. This analysis demonstrated that there are
several assets in the areas of knowledge and motivation. However, the organizational resources
highlighted several areas with need for improvement. Table 6 represents a summary of the
findings in each of the KMO influences and classifies them as either an asset or need. Chapter
Five contains recommendations for addressing these needs by creating a culture that is conducive
to supportive environments, providing consistency across college units, and providing training
opportunities for managers.

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Table 6
Summary of Findings
Type Influence Asset Need
Knowledge Managers’ ability to evaluate employee
performance
X
Knowledge Managers’ ability to coach for improved
performance
X
Knowledge Managers’ ability to engage in difficult
conversations
X
Knowledge Managers’ ability to self-reflect on their
strengths and areas of growth
X
Motivation Managers’ perceived value in implementing
effective performance management practices
X
Motivation Managers level of confidence in their ability to
effectively implement performance
management practices
X
Organization Culture (Leadership) X
Organization Culture (Division) X
Organization Resources (Tools) X
Organization Training X

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Chapter Five: Discussion and Recommendations
Chapter Five presents a discussion about the study’s findings in the context of existing
research related to performance management and recommendations based on the findings. The
recommendations are based on the needs identified via the data analysis. The findings identified
three areas for improvement related to the organizational influences: organizational culture,
consistency in performance management processes and tools, and performance management and
evaluation training for managers. The recommendations are derived from the best practices as
described in the literature and previously outlined in Chapter Two.
Discussion of Findings
The literature review highlighted best practices for ensuring effective performance
management practices. Managers need to possess knowledge and skills in the best practices of
ensuring job satisfaction and assessing performance in order to be effective at implementing
performance management practices. The findings indicated that participants demonstrated areas
of strength in knowledge and skills for ensuring job satisfaction and assessing performance as
well as high levels of value and self-efficacy for performance management activities.
Performance management requires assessment of employee performance to make decisions on
employee assignments as well as to allow for providing feedback on performance for improved
effectiveness (Hunt, 2015). Participants reported strengths in performance evaluation and
identified goal setting and efficiency in performance of job duties as the main focus in their
assessment of staff performance.
Employee performance assessment involves the use of performance appraisals to evaluate
past performance, set performance goals, provide feedback, and for employee development
(Hunt, 2015; Roch, 2017; Wright & Cropanzano, 2000). Participants described their efforts in
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coaching for improved performance and recommending professional development plans when
asked about how they manage staff performance. Research indicates that performance
management efforts should be focused on a developmental approach and provide feedback for
improving future performance (Venne & Hannay, 2018). Participants reported high levels of
self-efficacy in their ability to engage in difficult conversations with the staff they supervise.
They perceived the effective implementation of performance management practices to be critical
and had high levels of confidence in their ability to do so.
The data demonstrated that participants were intrinsically motivated by the professional
development of their staff. Research in performance management trends for younger generations
indicates there is a shift from the traditional model of performance assessment for monitoring
employee performance to a model focused on developing skills for the future of the employee
and the organization as they grow (Venne & Hannay, 2018). Training and development for
managers may also contribute to their motivation for effective implementation of performance
management practices (O’Neill et al., 2017).
The findings identified several areas needing improvement in the areas of organizational
culture and resources. Clark and Estes (2008) explained that organizational culture affects
stakeholders’ performance and added that even when people have the necessary knowledge and
skills, and are highly motivated, inadequate organizational resources can impede success. The
first organization-related need identified via participant discussions was related to organizational
leadership. Many participants indicated that they did not feel the university leadership valued
effective implementation of performance management practices and believed it to be low priority
for the university. They expressed a lack of support and guidance from the university and a
desire for a more meaningful process for management and for the staff they manage. Research
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indicates that a lack of support from the organization can hinder effective implementation of
performance management practices (Williams, 2019).
The second area that emerged as a need was the participants’ perception of inconsistency
across campus in regard to performance management tools and processes. The participants
indicated that the inconsistency has created a sense of disconnection between the university and
college units. Participants described inefficient and ineffective processes and systems for
managing performance and expressed frustration with the lack of consistency. They expressed a
need for more effective performance management tools and opportunities for training. Research
indicates managers are impeded by unclear human resource policies and procedures, and it is
necessary for human resource policies and procedures to be consistent across the organization
and over time (Williams, 2019). Implementation of performance management practices and the
application of human resource forms and policies needs to be consistent across the organization
(Kehoe & Han, 2020).
Managers need to be trained so they have the necessary knowledge and skills to
effectively implement and feel confident in their ability to implement performance management
practices (Williams, 2019). Many organizations experience success in the implementation of
performance management practices when managers have support from senior leadership,
consistent communication, training for managers, and strong relationships between human
resource personnel and managers (Jesuthasan, 2003).
Recommendations for Practice
There are three recommendations identified to address the key needs that emerged based
on study’s data. The first recommendation targets the identified needs in the area of
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organizational culture. Recommendations two and three are focused on the organizational
resources of process, tools, and training.
Recommendation 1: Create a Culture that is Conducive for Effective Implementation of
Performance Management Practices
Organizational culture is important because it is the driving force for how the
organization ultimately produces outcomes and achieves its mission (Clark & Estes, 2008).
Creating a culture that is conducive for effective implementation of performance management
practices will address concerns about HSU organizational leadership. This recommendation is
based on motivation findings and focuses on providing managers with guidance and support in
performance management practices and making the performance management process more
rewarding for all stakeholders.
Providing Managers with Guidance and a Supportive Environment
The data revealed concerns for the level of perceived university leaders’ value for
performance management practices. It is important for organizational leaders to connect
performance management practices to organizational goals and demonstrate the value of those
goals (Clark & Estes, 2008). In the context of this study, university leaders should emphasize the
importance of implementing effective performance management practices as a step towards the
operational excellence described in the HSU strategic plan. It is important for employees to be
able to connect their actions back to the impact on the organization (Jesuthasan, 2003). Guidance
on making this connection could be provided through mentorship for the various levels of
managers on campus. Managers also want to feel the university supports them and is concerned
for their success and not just the best interest of the organization. Research indicates that
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leadership support, management guidance, and communication support the effective
implementation of performance appraisals that align with organizational goals (Ayers, 2013).
Making Performance Management Processes More Rewarding for All Stakeholders
The findings demonstrated that managers were motivated by contributing to the
professional development and growth of the staff they supervise. Both managers and staff can
appreciate the performance management process when they clearly understand the value other
than “checking a box” as described in the interviews. Participants reported value coming from
seeing the impact of their contributions to the staff’s professional growth. Performance appraisal
processes that are considered fair and consistent and also focus on professional development of
the employee result in a positive impact on employee motivation (Bulto & Markos, 2017).
It is also important to make the performance management processes more user friendly to
keep everyone engaged. Participants described the process as confusing and inefficient. Creating
a performance management process that is meaningful and includes employee development and
employee involvement will foster engagement (Saratun, 2016). This could include a process
where HSU staff are included in the creation of their own professional development plans that
are then incorporated into their performance goals. The aim of performance management should
be to provide future-oriented developmental feedback rather than feedback on past performance
(Saratun, 2016). Managers should encourage two-way communication and involve staff in
suggesting ways to improve performance (Saratun, 2016). This process can focus on improving
performance as well as progress towards the professional development plans mentioned earlier.
This recommendation also aligns with the next recommendation for ensuring consistent
performance management practices.
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Recommendation 2: Ensure Consistent Performance Management Practices and Use of
Tools Throughout all Departments on Campus
The findings indicated there was inconsistency in how performance is managed and the
use of performance management tools in different college units on campus. It was unclear what
the process was and how it aligned with university priorities. Clark and Estes (2008) explained
that processes and policies need to be aligned with organizational goals, and when they are
inadequate there is risk of inefficiency or even failure. This recommendation focuses on
standardizing processes for performance management practices across campus and ensuring
access and proper use of standardized performance management tools. The tools that are relevant
to performance management are the forms and different software used to deliver performance
evaluations and performance feedback.
Standardize Performance Management Processes Across Campus
Chapter two discussed several best practices for performance management. These best
practices were ensuring job satisfaction, assessing performance including setting goals and
providing feedback, and training. Interview participants indicated that the university was lacking
a consistent onboarding process for managers. A standardized onboarding process for all
employees that includes a review of job descriptions and clarification of expectations will ensure
job fit and promote job satisfaction (Grote, 2000; Sikýr, 2013; van Zyl et al., 2017). In the
context of HSU, a standardized process is needed for new employees to understand their roles
and the expectations for performance, to provide training on their job duties and how this
connects back to university priorities, and to provide a clear understanding of relevant policies
and procedures. Standardizing the processes for assessing performance, setting goals, and
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providing feedback creates consistency, transparency, and fairness. Consistency and fairness in
performance management processes contribute to employee motivation (Bulto & Markos, 2017).
Interview participants reported that training and development offerings for staff and
managers are minimal and typically optional. These offerings should be outlined and assigned
for specific job categories and completion of training needs to be required uniformly for all
employees in various positions across campus. Providing consistent employee training and
development in organizations improves employee motivation and organization competitiveness
(Hoi & Chan, 2012; Powell, 1996). This ensures that all employees are properly trained in their
roles and can be eligible for the same growth and promotion opportunities. Creation of career
paths for employees, allowing them to plan for their professional development and growth
contributes to their overall job satisfaction (Mokgojwa, 2018).
Access and Use of Standardized Performance Management and Evaluation Tools
Participants expressed frustration with performance management and evaluations tools,
noting that they were ineffective, difficult to maneuver, and required them to repeatedly login to
a system and “check boxes” that did not have much meaning, which often caused confusion.
They reported often creating their own tools and adopting outside tools to meet the needs of
managing staff performance. Evaluation and feedback tools need to be more efficient and user
friendly to improve the managers’ ability and motivation for using them effectively (Rodger et
al., 1998). Having standardized performance management and evaluation tools aligns with best
practices for assessing performance. In addition to the existing tools, HSU needs to make more
tools available for both managing and assessing performance such as tools for tracking and
providing feedback on assignments and professional development. The current performance
management software could be streamlined to be more user friendly and less confusing. Some
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tools that participants found to be effective were 360-degree performance assessment tools,
mobile device applications for team communication and collaboration, and other applications for
task organization and tracking.
Recommendation 3: Provide Best Practice Performance Management and Evaluation
Training for All Managers
Participants reported they had not received formal training at HSU for performance
management and evaluation. Training will allow managers to acquire the necessary knowledge
and skills to effectively implement performance management practices. Training will include the
information along with practice and corrective feedback (Clark & Estes, 2008). This
recommendation focuses on training managers in two areas: training in general performance
management practices and training on the use of performance management tools.
General Performance Management Training
The findings highlighted the need for additional training on the performance management
processes including the following: setting effective goals and aligning those with organizational
goals, evaluating performance, and providing performance feedback. Participants indicated they
did not receive performance management training, and typically acquired these skills at previous
institutions. Providing training on how to evaluate and rate staff performance can provide
consistency in the way staff is evaluated (DeNisi & Murphy, 2017). An example of an effective
training approach for managers is Frame of Reference training, where managers are given
examples of performance and then discuss how these example performances should be rated
(DeNisi & Murphy, 2017). HSU can offer similar training for managers where they can review
performance scenarios, complete performance evaluations, and then compare ratings or even
conduct role play for providing performance feedback.
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Training on the of Use Performance Management Tools
Interview participants expressed frustration with the performance management forms and
software. Providing regular training on how to properly use the forms and software can improve
the effectiveness of these tools. Rodger et al. (1998) recommended designing a more user-
friendly process and providing additional training on the performance management software
system to improve effectiveness. HSU could create job aids to assist managers in effectively
implementing performance management practices and in using the tools available. Job aids are
an effective tool for providing a high level of information on how to complete a task and can
serve as a reminder of how to implement what was learned in training (Clark & Estes, 2008). Job
aids can also provide guidelines used in the Frame of Reference training described earlier
(DeNisi & Murphy, 2017).
Integrated Recommendations
Integrating the above recommendations to ensure change is made to address the needs
identified in the findings and sustained overtime requires an implementation plan. The following
plan is outlined using Lewin’s (1947) Three-Step model for implementing change. Lewin’s three
steps, unfreezing, changing, and refreezing, focus on behavior and emphasize organizational
norms and values (Lewin, 1947).
Unfreezing
Unfreezing is primarily focused on initiating a change in the existing behavior or norms
within the organization (Burke, 2018). For this integrated set of recommendations, it will consist
of gathering input from all stakeholders and presenting these data to demonstrate the gap
between where the organization currently is and where it desires to be. Identifying the gaps is a
way to identify which performance management processes and systems are currently not
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working and need to be addressed. The goal with this step is to demonstrate the need for change
to take place.
Based on the study data, it is anticipated that gaps will be identified in the areas of
software applications for conducting performance evaluations, on-boarding and training for
managers, and linkage between performance goals and organizational goals. Gathering input
from stakeholders about these elements and identifying managers’ additional needs to be
successful in the effective implementation of performance management practices will provide
HSU with a starting point for implementing change. As the next step, it is necessary to examine
and analyze the identified gaps to understand their causes. Understanding why the gaps exist
includes outlining details about the software and what specifically about it needs to be different
and why. It will be necessary to identify what elements of the training are not effective and why
managers feel the training is inadequate. Then, HSU leadership will need to review the
organizational goals to understand how or if the goals can be aligned with the needs and goals of
managers.
After the gaps have been clearly identified and analyzed, it will be necessary to decide
what HSU wants the new standard to be. This includes identifying what needs HSU is trying to
meet with the performance management software and what exactly is the intended goal for the
software. It will be important to identify what types of training need to be offered, who should
offer the training, who should receive the training, and how that training will be assessed.
Finally, HSU will need to consider how individual goals can be aligned with the organizational
goals. This may include consideration of updating the organizational goals to demonstrate a
commitment to employee performance.

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Changing
The changing step is the implementation phase where the organization begins to
transition to where it desires to be (Burke, 2018). Implementation of the recommendations will
consist of creating processes that are consistent across the organization and include input from all
levels of the organization. The processes will include onboarding for managers as well as
processes related to performance management and evaluation that allow for open communication
and feedback channels. The processes need to consider the consistent use of evaluation and other
performance management tools to complete performance management activities. Training on
these processes and tools will need to be consistently delivered to all managers. Opportunities
for additional training need to be made available on a regular basis to ensure all managers have
the same understanding of the processes and are using the same tools. Training will also need to
stay up to date with any updates to forms, software, and other compliance requirements.
Refreezing
The refreezing step involves establishing ways of reinforcing and stabilizing the new
behaviors, norms, and values (Burke, 2018). Maintaining the processes and practices will require
the creation of a system with checks and balances to ensure continuous improvement and
feedback. Ensuring accountability for maintaining the new standard can be achieved by
implementing incentives related to the new processes. These incentives can be both in the form
of rewards for compliance, and consequences for non-compliance. For example, incentive
systems may include recognition, merit pay increases, and promotions that are not otherwise
granted. If the activities are not completed, managers and the staff they supervise will not be
eligible for the rewards and may be subject to mandated participation in training and other
assignments targeting performance improvement. The alignment of performance management
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activities and goals with organizational goals can also increase the value attributed to the
consistent completion of the respective activities
Limitations and Delimitations
All qualitative research studies have limitations and delimitations. Limitations in any
study are those constraints that could potentially impact the outcome of the study, which are
beyond the control of the researcher. Delimitations are the constraints that come from the
researcher’s choices in creating the boundaries of the study (Simon & Goes, 2013). For this
study, limitations included the number of identified stakeholders who volunteered to participate,
since participation was voluntary. The limitation of interview data was that they are self-reported
and subject to participant honesty.
Delimitations for this study included convenience sampling, the specific stakeholder
group chosen for this study, the number and type of questions asked, and the specific research
questions. Convenience sampling refers to the sample of participants coming from the
organization that was available to the researcher (Merriam & Tisdell, 2016). Since the sampling
is only from one organization, the participants reflected on their particular organizational culture
only, and lack generalizability to other organizations. The researcher chose to interview
managers at HSU and was limited to managers listed on the university website directories with
management titles. The number and type of questions asked were intended to identify strengths
and areas of need in knowledge, motivation, and organizational resources relative to performance
management practices at HSU. Research questions focused on areas of performance management
that the researcher believed were important and had the potential to have overlooked other
elements of performance management. An area that might have been explored is measurement
and rating during performance assessment, and the criteria used in conducting assessments.
70

Existing incentive systems and benefits offered to stakeholders and their effectiveness could
have been analyzed. There may also be other existing programs the researcher was not aware of
and did not include in the questions.
Recommendations for Future Research
Findings of this study provide opportunity for future research that could further address
the impact of the COVID-19 pandemic on performance management practices in the workplace.
During the course of this study, new practices were beginning to emerge as managers adapted to
remote operations. Many participants discussed the potential long-term changes resulting from
COVID-19 and how the workplace will evolve going forward. Several participants mentioned
the uncertainty of what the future workplace will look like and whether the workforce will return
to operations in the previously accustomed manner. Based on the findings related to adaptations
to current operations and discussion about potential long-term changes, it would be valuable to
study how post COVID-19 environments, often described as the “new normal” evolve and to
understand the impact of COVID-19 on employee productivity, performance management, and
motivation for employees and managers in the new environments .
Conclusion
The purpose of this study was to explore the degree to which the organization of study, a
mid-size, private university for professional and graduate programs in health sciences was able to
meet its goal for operational excellence through building core competencies in leadership and
management. The analysis focused on managers’ knowledge and motivation as well as
organizational influences that either supported or hindered effective implementation of
performance management practices based on the Clark and Estes (2008) framework. The
findings indicated participants’ strengths in the areas of knowledge and motivation for effective
71

implementation of performance management practices. Participants reported having knowledge
and skills that are congruent with industry best practices for managing staff performance. They
also demonstrated high self-efficacy for and placed significant value on the effective
implementation of performance management practices.
However, the findings identified three areas for improvement related to the organizational
influences: organizational culture, consistency in performance management processes and tools,
and performance management and evaluation training for managers. Participants expressed
concerns about university leadership and perceived university leaders to have a low priority for
the effective implementation of performance management practices. Participants also expressed
frustration with performance management processes and tools describing them as ineffective,
cumbersome, and inconsistent. Finally, participants reported that the training offered was
inadequate and not offered frequently or consistently to all managers.
Therefore, this chapter offered recommendations for creating an organizational culture
that is conducive to the effective implementation of performance management practices via
manager support and a more rewarding process. Other recommendations included are aimed at
ensuring consistent processes and use of tools along with providing training for performance
management practices to address the identified needs. Together, these recommendations can
support improvement in effective implementation of performance management practices and
contribute to the organizational goals and objectives.

72

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Appendix A: Interview Protocol
Introduction: I’d like to start out by first thanking you for taking the time to meet with me and
participate in this interview as a part of my research project. The purpose of this interview is to
explore your practices related to implementing performance management practices. Before we
begin, I have provided you with an information sheet that provides an overview of the project
and explains your participation in this interview is completely voluntary and includes a statement
about confidentiality for you and the organization. With your permission, I’d like to use Zoom to
record the audio and video of this interview to assist in my data collection. Do you have any
questions?
Questions
Researc
h
Question
KMO
Influence
Please describe the job you were originally hired to do. Follow up:
Describe the supervisory duties at the time. Describe how those duties
have changed.
K
Please describe your role as a manager. Follow up: How would you
describe your management style? How do you see managing the
performance of staff in that role?
1 K & M
How would you define performance management? 1 K
Can you explain what it means to manage the performance of your
staff?
1 K & M
Tell me about what you perceive to be your areas of strength in
performance management. What might be some areas in which you see
a benefit for growth?
2 K
How would you describe the training, if any, you received to prepare
you for managing staff performance (here or elsewhere)?
2 O
How do you feel about your ability to manage performance, and why? 1 M
How would you describe the value to you personally in performance
management?
1 M
In the context of the university’s priorities, where do you feel ensuring
effective performance management ranks?
2 O
How do you perceive the university leaders’ value of performance
management?
2 O
How would you describe the university’s commitment to performance
management?
2 O
88

Questions
Researc
h
Question
KMO
Influence
What would you say is the most important part of performance
management and why?
1 K & M
Please describe some of the performance management tools available
at the organization. Follow up: What are your thoughts on these tools?
2 K & O
How can the organization better support performance management
efforts?
2 O
Tell me about your level of motivation to manage the performance of
your staff? Follow up: where does that motivation (or lack thereof)
come from?
1 M
If you encounter challenges in the management of staff performance,
where or to whom do you go for assistance/advice/mentorship? Follow
up: Can you walk me through one of these examples?
1 K & O
In what ways does your staff benefit from performance management? 1 K
How would you describe the significance of professional development
of your staff?
1 K & M
Describe your role in the professional development of your staff. 1 K
Describe the value of performance goals. 1 M
Is there anything we didn’t discuss regarding performance
management at this organization that you feel is relevant?
1 & 2 K/M/O

Abstract (if available)

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Asset Metadata

Creator Jimenez, Lisa (author)

Core Title Effective practices for managing staff performance in higher education: an exploratory study

School Rossier School of Education

Degree Doctor of Education

Degree Program Organizational Change and Leadership (On Line)

Publication Date 04/25/2021

Defense Date 04/15/2021

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag Higher education,OAI-PMH Harvest,performance evaluation,performance feedback,performance management,professional development

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Seli, Helena (committee chair), Ghazzawi, Issam (committee member), Phillips, Jennifer (committee member)

Creator Email lisa_lua@yahoo.com,llua@usc.edu

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c89-452748

Unique identifier UC11668609

Identifier etd-JimenezLis-9533.pdf (filename),usctheses-c89-452748 (legacy record id)

Legacy Identifier etd-JimenezLis-9533.pdf

Dmrecord 452748

Document Type Dissertation

Rights Jimenez, Lisa

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA