Pesquisa Mundial de Práticas de Gestão Adaptada para Escolas PDF

Developing Management:
An expanded evaluation tool for developing

countries
Renata Lemos∗ Daniela Scur†

University of Cambridge University of Oxford
London School of Economics, CEP London School of Economics, CEP
This draft: March 2016
[Click here for the latest version]
Abstract In recent years new striking evidence emerged showing a large tail of badly managed
schools and hospitals in developing countries across a number of management areas such as oper-
ations management, performance monitoring, target setting and people management. But where
exactly along the process of setting their management structures are these organizations failing?
This paper describes the development of an expanded survey tool based on the existing World
Management Survey (WMS) instrument, but tailored to research in the public sector of developing
countries (Development WMS). We collected detailed data from pilots in India and Mexico using
face-to-face interviews in settings where weak management practices prevail and observe more vari-
ation in the left tail of the distribution. Using this data, we present a brief discussion of the type
of data that can be collected and explored with the expanded tool, including three new processes
used to systematically measure the strength of each management area in the WMS: (1) process
implementation, (2) process usage, (3) process monitoring.1
∗
Email: r.lemos@lse.ac.uk
†
Email: d.scur@lse.ac.uk; daniela.scur@economics.ox.ac.uk
1
We would like to thank Kerenssa Kay and Raissa Ebner for their research assistance in this project. We also
thank Karthik Muralidharan for making the pilot of this project possible, Rafael de Hoyos and Ciro Avitabile for the
use of the Mexican data and Arthuro Harker Roa for use of the Colombian data. We also thank James Fenske and
Kalina Manova for helpful comments on an earlier draft.
1
“If the system does not add up to a functional whole, the causal impact of
augmenting individual elements is completely unpredictable.”
— Lant Pritchett, RISE Working Paper 15/005
1 Introduction
Although there has been much progress in improving school enrolment around the
world, there is still striking heterogeneity in the distribution of student learning
outcomes across countries. This is particularly true for the developing world, and
researchers and policy makers are paying increasing attention to addressing this
“learning crisis” (Pritchett 2015). The traditional economics literature that considers
the effect of an individual input on output has provided us with great insights into
the individual effect of inputs such as teacher salaries, school infrastructure, school
financing, extra teachers, different curriculums, and more textbooks, among many.
However, variation in these inputs has not been able to explain a substantial share
of the variation in student learning (Glewwe & Muralidharan 2015). Thus, a new
research agenda is urging a more holistic view of education systems in a “systems
framework” that includes a series of interconnected types of relationships between
different actors and stakeholders, outlined in Pritchett (2015), and at the core of the
new programme Research on Improving Systems of Education (RISE).2
This paper makes a methodological contribution to the literature by developing a

feasible tool to measure management practices in schools in developing countries,
based on the well-established World Management Survey tool. Since 2008, we have
worked alongside Nicholas Bloom, Raffaella Sadun and John Van Reenen to signifi-
cantly expand the original WMS data collection project and systematically measure
management practices within and across countries.3 Here we describe the “Devel-
2
For more information also see the Research on Improving Systems of Education (RISE) pro-
gramme at www.riseprogramme.org.
3
The WMS project started in 2002 and in 2004 had its first wave, collecting 700 data points
on management practices for the first time across four developed countries: US, UK, Germany and
2
opment WMS”, a survey tool based on the original WMS but tailored to measuring
management practices in the public sector of developing countries. Although this
paper focuses on the tool for the education sector, we also developed a version of
this tool for the healthcare sector and include both in the Appendix. We will discuss
each innovation in detail below, but in short:
1. We identified three management processes - implementation, usage, and moni-

toring - taken into consideration when measuring the strength of each manage-
ment practice covered by the WMS but which could not be extricated ex-post
from a score in the original methodology.4
2. We expanded the survey “vertically” by disentangling and mapping these pro-

cesses to each question of the 20 management practices.5 In this new model,
however, the responsibility of weighting the importance of each process does
not lie with the enumerator conducting the interview, thereby both reducing
measurement error and allowing the data user to know precisely what led the
score for a particular practice to be higher or lower.
3. We expanded the survey “horizontally” to allow for greater variation of scores

and allow interviewers to differentiate at a finer level between the strength of
processes in place at these schools and hospitals.
While we have strived to keep the essence of the WMS in terms of the questions and
France. The results were first published in Bloom & Van Reenen (2007). To date, the project
has collected data for several countries in its current manufacturing sample across multiple waves,
expanded the number of countries to 35 and expanded the range of sectors where it measured
management, going beyond the manufacturing sector and into retail, education and healthcare.
4
In 2008 the WMS project extended into the public sector and was employed in schools offering
education to 15 year-olds in six countries - Canada, Germany, Italy, Sweden, the US and the UK -
and hospitals offering acute care and with either an Orthopeadics or a Cardiology department in
seven countries - Canada, Germany, France, Italy, Sweden, the US and the UK. The instruments
consist of a set of 20 basic management practices on a grid from one (“worst practice”) to five
(“best practice”), in increments of one point. A high score indicates that a school or a hospital that
adopts the practice is likely to improve its performance such as pupil or patient outcomes. For a
recent review, see Bloom et al. (2014).
5
We did this based on our seven years of training interviewers to conduct the WMS interviews,
such that the questions asked related to types of processes are comparable to previous years of
surveys.
3
practices being measured and the spirit of the scoring grid, we also ensured that the
adapted version was applicable in the development setting by addressing three main
challenges to using the original WMS in developing countries.
First, the distribution of scores in the education sector in the two developing countries
surveyed in the original WMS, India and Brazil, was tight around the scores for weak
management practices. Although the global context of the WMS project allows for
a very useful comparison of world-class and poorly managed organizations across
a number of countries, the very thick (almost truncated) left tail for developing
countries makes it harder to explore the variation of managerial practices in the less
well managed organizations. For example, Lemos & Scur (2012) points out the thick
left tail in both schools and hospitals in India. Bloom et al. (2015) show that there is
evidence of truncation at the lower bound score of 1, with 82% of the schools in the
WMS Indian sample having an overall management score between 1 and 2 that and
no schools have a score above 3 on the WMS 1 to 5 scale with a delta of 1. During
the data collection for these countries, we often heard analysts evaluating their given
scores after an interview, wishing they could “give a 0” to those schools and hospitals
that had no process whatsoever to differentiate those from schools and hospitals that
had minimal processes, but not enough of an informal process to warrant a score of
2 in the scoring grid.6
Second, in terms of implementation, the WMS original methodology uses available

sampling frames from established organizations and phone calls to carry out the
interviews. Although this was less of a barrier in the manufacturing survey, it was
a massive barrier in the public sector surveys in developing countries. For instance,
sampling frames in India were difficult to acquire and build, and, when available,
they often had names of schools and hospitals but no phone numbers. Unfortunately
a common reason for the lack of phone number was that schools simply did not have
a physical phone line available.7 We often ran interviews through managers’ cell
6
The reason we refrained from stretching the scoring grid to 0 and instead added half points
was to preserve comparability of the ordinal scale and increase specificity equally across all score
categories.
7
We encountered a similar problem with reaching hospital managers.
4
phones, and a handful of times through payphones located near these organizations
as cellphones or landlines were not available. When we were able to reach them, the
connection itself was sometimes problematic and several calls had to be placed to
complete the interview.8
Finally, when thinking about policy implications, we did not have much information
in the WMS to pinpoint precisely what part of the process of developing management
practice organizations were failing the most. Although very useful experiments such
as Bloom et al. (2013) and Fryer (2014) have tremendously helped us learn about
the large effect that improvements in whole sets of management practices can afford,
we do not yet have a systematic picture of what particular types of processes matter
the most across different settings in developing countries.9 The 20 management
practices covered by the WMS are scored based on a set of processes which are
systematically triangulated by the skilled interviewer and facts are evaluated based on
the survey grid to determine higher or lower scores. However, it becomes important
to understand the marginal importance of each type of process when considering the
type of policy interventions that are feasible, especially in the context of countries
facing limited budgets and institutional constraints.
We have also developed accompanying field paper forms to facilitate the interview
process as the Development WMS is meant to be run face-to-face by enumerators who
visit the schools and hospitals. These forms were carefully designed to ensure that the
information collected during the interviews would be sufficient for the post-interview
scoring. In the phone interviews, the enumerators are able to consult the grid to
ensure they have enough information, but in the face-to-face interviews they are not
allowed to take the grid along as it would undermine the double-blind exercise.10
8
The higher the number of calls that have to be made, the lower the probability of completing
an interview.
9
Focusing on charter schools in the US, Dobbie & Fryer (2013) run a similar exercise where
they collect a large amount of information on the inner-workings of 35 charter schools to investigate
the practices that matter the most for school effectiveness.
10
The importance of providing a useful field-friendly data collection tool is often underestimated.
The enumerators are often not researchers by training and may fail to record important information
or even record wrong information during survey interviews if not properly prompted by their field
5
We are in the process of building a website with instructional videos and interactive
calibration tools to minimize the fixed costs of training and implementation, and
hope this will be made freely available to the research community before the end of
2016.
With a set of individual project partners,11 we are in the process of collecting data
using this new expanded survey tool in schools in Andhra Pradesh-India (completed),
Mexican schools (ongoing, pilot completed), Colombian schools (completed), Chinese
hospitals (ongoing) and Indian hospitals (pilot completed). Thus far this survey tool
has been used as an additional module in larger projects.12 This means that the
sampling frames of these projects were not always necessarily representative random
samples and thus are not directly comparable. While these samples were not formally
designed to be representative of all schools in these countries, collectively they paint
a useful picture of selected public sector organizations in low- and middle-income
countries.13
This short paper describes our expanded survey tool in Section 2 including the
methodology used to collect data and the innovations in the survey, and briefly
reviews the patterns we have found in the data thus far in Section 3.
tool.
11
We have partnered with Karthik Muralidharan and the APSC project for Indian schools,
Arturo Harker Roa and the Colombian Ministry of Education for Colombian schools, Rafael de
Hoyos and Ciro Avitabile from the World Bank and the Mexican Ministry of Education for Mexican
schools, Winnie Yip and the Ministry of Health for Chinese hospitals and Raffaella Sadun for
Indian hospitals. We are immensely thankful to Raissa Ebner and Kerenssa Kay for training the
Mexican school pilot teams, Raissa Ebner for training the Mexican and Colombian school teams,
and Kerenssa Kay for running the Indian hospital pilot.
12
In fact, the survey tool is also included in the large-scale RISE Country Research Team pro-
posals from India and Tanzania.
13
The samples are as follows: the Andhra Pradesh data is a random sample of public and
private primary schools in 5 districts from the APRESt project; the Mexican data is a combination
of samples from primary schools that are part of PEC (Programa Escuelas de Calidad) in Durango,
Guanajuato, Estado de Mexico and Tabasca, marginalized primary schools in Puebla, and primary
and junior high schools in Tlaxcala and Morelos; the Colombian data is a random sample from
the lowest performing public schools in the country (approximately 4,000 of the 22,000 schools in
Colombia); the Chinese hospital data is a random sample of hospitals and the Indian hospital data
is from a pilot of 25 hospitals in Andhra Pradesh.
6
2 Measuring processes in developing countries
The original public sector WMS covers 20 questions across two main areas: opera-
tions management and people management. We can sub-divide operations manage-
ment into lean operations, monitoring and target management, as follows:
1. Operations management
(a) Lean operations in schools covers practices including whether the school
has meaningful processes that allow pupils to learn over time; teaching
methods that ensure all pupils can master the learning objectives; whether
the school uses assessment to verify learning outcomes at critical stages
and makes data easily available and adapts pupil strategies accordingly.14
(b) Monitoring management covers practices of continuous improvement, per-
formance tracking, review and dialogue, and consequence management. It
measures whether the school has processes towards continuous improve-
ment and lessons are captured and documented, whether school perfor-
mance is regularly tracked with useful metrics, reviewed with appropriate
frequency, quality, and follow-up, and communicated to staff.15
(c) Target management covers practices in the balance and interconnection
of targets, the time-horizon and difficulty of the targets, as well as their
clarity and comparability. It measures whether the school, department,
and individual targets cover a sufficiently broad set of metrics; whether
these targets are aligned with each other and the overall goals.16
2. People management covers practices in handling good and bad performance,
measuring whether there is a systematic approach to identifying good and bad
performance, rewarding school teachers proportionately, dealing with under-
performers, and promoting and retaining good performers.17
14
Lean operations in hospitals covers practices including how well the patient pathway is con-
figured and whether staff pro-actively improve their own work-place organization; the motivation
behind changes to operation; whether integrated clinical pathways are standardized and well moni-
tored; whether processes are documented and there is an attitude towards continuous improvement;
and how staff allocation is carried out.
15
Although, of course, the types of indicators tracked are different, the processes measured here
are the same for hospitals (and indeed manufacturing and retail) and the questions are identical.
16
The hospital questions are the same.
17
The hospital questions are the same, but deal with hospital nurses and doctors rather than
teachers.
7
As mentioned before, we preserve the practices and areas covered in the original
WMS. To adapt the instrument to the developing country context, however, we iden-
tify three key processes used to systematically measure these practices, and expand
it both “vertically,” by further dividing each of the 20 practices into the three key
processes we are looking to measure and “horizontally,” by increasing the granularity
of scores by allowing half points.
2.1 Identifying processes behind management practices
In the Development WMS, we identify three key processes that are captured to
systematically measure the strength of each management practice within an organi-
zation. Each process consists of a series of steps:
1. Process implementation: formulating, adopting and putting into effect man-

agement practices;
2. Process usage: carrying out and using management practices frequently and
efficiently;
3. Process monitoring: monitoring the appropriateness and efficient use of man-
agement practices.
More specifically, in the original WMS, each of the overall management, operations
and people management indices is made up of a set of the 20 practices, and each
practice is measured through several structured questions. Each one of the 20 man-
agement practices contains a large amount of information about how that specific
practice being carried out at the establishment. For example, when measuring “Per-
formance Tracking” at a school, the WMS interviewer evaluates the practice based on
three processes: (1) types of parameters used for tracking (such as student marks, at-
tendance regularity, behaviour, teacher absenteeism, enrolment rates, dropout rates,
teacher professional development, budgets etc.), (2) tracking frequency (such as once
a year, twice a year, bi-monthly etc), (3) to whom and how the tracking is com-
municated (such as head of departments, teachers, parents, students, and through
8
meetings, newsletters, boards, etc). The combined responses to this practice are
scored against a grid which goes from 1 - defined as “Measures tracked do not in-
dicate directly if overall objectives are being met. Tracking is an ad-hoc process
(certain processes aren’t tracked at all).” up to 5 - defined as “Performance is con-
tinuously tracked and communicated, both formally and informally, to all staff using
a range of visual management tools.”
In the original WMS instrument, the interviewer triangulates the processes herself
and assigns one single score taking all the processes into account. This task requires
a high cognitive ability from the interviewer as well as consistent monitoring of the
interviewing process by supervisors.18 It is not possible, however, to extricate from
the final data ex-post how each process weighed in the interviewer decision. In the
Development WMS, each process is evaluated separately and ex-post averaged out
to get the practice’s score, thereby removing the “triangulation responsibility” from
the interviewer.
2.2 Expanding the instrument vertically
We map the three key processes identified back to the questions asked for measuring
each WMS practice. Process implementation is related to question 1, process usage
is related to question 2, and process monitoring is related to question 3 in each
management practice.
Thus, beyond looking at the average score of each practice, we can also dig deeper
to understand what part of the process is driving the results. This increases the
number of scores from 20 to 60. Furthermore, we expanded the survey horizontally
by adding increments of 0.5 to the scoring grid and more finely defining the scores
along those lines.19
18
This is one of the reasons for the high per-interview cost of the WMS. Interviewers are gen-
erally masters students from top UK schools and experienced supervisors monitor over 80% of the
interviews.
19
The Development WMS scoring grid is presented in the Appendix. The original WMS grid is
available on the project’s website: www.worldmanagementsurvey.org
9
We construct four sets of indices. For the first set, we follow a similar methodology
to the original WMS and use the information referring to all three processes by first
taking a simple average of them to build a single score for each of the 20 practices,
analogous to how a WMS interviewer would assign a single score to each practice. We
then take the z-score of each practice and creating indices for overall management
(average of all 20 practices), operations management (average of lean, monitoring
and target practices) and people management (average of people management prac-
tices). This can be interpreted in the same way as the original WMS, but with less
measurement error.
The main innovation in our survey is in the second, third and fourth set of indices.
To build these, we skip the first step of averaging across the three processes for each
practice and re-organize the dataset into three new sets of 20 practices along the lines
of each process. We take the z-score of each of the 60 processes and build average
indices for overall management, operations management and people management for
each of the process types.
In short, we first produce a set of overall management, operations management and

people management indices using a similar methodology to the original WMS (ie.
using all the information given for a particular question), and also produce three
“finer” sets of indices, broadly referring to (1) process implementation of overall,
operations and people management, (2) process usage of overall, operations and
people management, and (3) process monitoring of overall, operations and people
management.
While we broadly follow the original WMS convention for building the comparable in-
dices (overall management, operations and people management), we have conducted
a factor analysis of our new school survey tool with the data from the pilot in Andhra
Pradesh to validate this. We find that factor analysis on the 20 management prac-
tices as well as the more granular 60 processes yields similar results to those found
in the manufacturing sector in Bloom et al. (2014). There is one principal factor
that explains over half of the variance and loads positively on all questions, and a
second factor that explains about one fifth of the variance and loads positively on
10
nearly all of the operations, monitoring and targets questions (generally, operations),
but negatively on all the people questions. Much like the result in manufacturing,
this suggests that there is a “common factor of good management,” (Bloom et al.
2014) leading schools that are well managed on one practice to be well managed
on all practices more generally. The second factor also mirrors the previous results,
suggesting that some schools specialize more in operations (in a general sense) while
others specialize in people management.
2.3 Expanding the instrument horizontally
The horizontal expansion of the instrument is more straight-forward. In the original

WMS, interviewers are allowed to score values of 1, 2, 3, 4 or 5. No half points are
allowed and no “2 or 3” values are accepted. If interviewers are unsure of whether the
practice warrants a 2 or a 3, they discuss it with their colleagues and their supervisors
to make a final decision. This scoring guideline worked well in developed countries
as there was wide range of scores, with some schools or hospitals being very well
managed and some being very badly managed, but most schools or hospitals had
at least some practice in place, even if rudimentary. In the India and Brazil waves,
however, we found several schools that had absolutely no practices in place and some
that had very minimal practices in place. To score a 2 in the WMS, there must be a
reasonable practice in place that is informal (if it were a formal practice it would be
awarded a 3 or higher). Thus, both schools with no practices and minimal practices
were awarded 1, whereas in the Development WMS the interviewer would be able to
distinguish and score 1 for no practices and 1.5 for minimal practices.
Figures 1 and 2 show an example of a question to illustrate the survey expansion.

Figure 1 shows the practice on “performance tracking”’ from the original WMS. The
interviewer always asks - ad minimum - the questions shown in the survey tool, and
may ask extra follow up questions. The questions suggested are generally enough to
elicit the necessary information from the manager, but, from the training session, the
interviewer knows what the practice is testing and will probe for further information
11
if needed. Once the interviewer is satisfied that she has enough information, she
will then score based on the grid provided. Figure 2 shows the Development WMS
and illustrates the expansion. The first dimension is the separation of the overall
practice into three components, following each of the three processes the instrument
is looking to measure. The questions asked are still the same, and scores of 1,
2, 3, 4 and 5 will still be equivalent in both surveys. The Development WMS,
however, allows interviewers to score each process individually and also allows them
to award half-point scores. As a result of the double disaggregation, the scoring
more accurately reflects the strength of management practices in each school and
helps reduce measurement error.
2.4 Collecting data using the Development WMS
In order to collect the data in developing countries, rigorous training on the Devel-
opment WMS for schools was provided to 15 interviewers in India, 30 interviewers
in Colombia, 70 interviewers in Mexico, and training on the Development WMS for
hospitals was provided to 40 interviewers in China.
The training consists of thorough explanations of the scoring grid in an interactive

environment, and multiple group scoring sessions of mock interviews to correct any
inconsistent interpretation of responses and to ensure consistency across interview-
ers.20 This one-week training session and subsequent routine data and calibration
checks are crucial for data quality, and we have developed a process to standardize
both the training and the supervisory follow up.
The Development WMS uses the same open-ended questions used in the original
WMS methodology, seeking both comparability and to follow best practices in elic-
iting truthful responses from respondents. Continuing with the example on the
20
During the training week for the school survey in India, we also piloted the Development
WMS in 5 schools (a mix of private and public) to ensure the detailed questions and scoring
grid appropriately captured the information provided during the interview. Travel expenses were
generously covered by J-PAL.
12
management practice of “Performance Tracking,” the interviewer starts by asking
the open question “What kind of main indicators do you use to track school perfor-
mance?”, rather than a closed ended question such as “Do you use class-room level
test scores indicators [yes/no].” The first question is then usually followed up by fur-
ther open-ended questions such as “how frequently are these indicators measured?”,
“Who gets to see this data?” and “If I were to walk through your school what could
I tell about how you are doing against your indicators?” Such open-ended questions
avoid leading responders towards a particular answer and produce higher quality
data. As mentioned above, the interviewer knows the information she is seeking and
will continue to ask follow up questions if necessary.
In order to ensure the interviews are consistent within interviewer groups and non-
biased, all interviews were “double-scored” and “double-blind,” following the WMS
methodology but adapting it to face-to-face interviews. Double scored means that
the first interviewer was accompanied by a second interviewer whose main role was
to monitoring the quality of the interview being conducted by taking notes and sep-
arately scoring the responses after the interviews had ended. The first and second
interviewers would then discuss their individual scores to correct for any misinterpre-
tation of responses. We mixed pairs of interviewers as much as possible throughout
the survey, conditional on geographic limitations. Double-blind means that, at one
end, interviewers conducted the face-to-face interview without informing school prin-
cipals or hospital managers that their answers would be evaluated against a scoring
grid.21 At the other end, our interviewers did not know in advance anything about
the school or hospital’s performance.
As detailed in Bloom et al. (2014), the original WMS is an expensive survey to run
and requires highly skilled interviewers to conduct the interviews and consistently
score establishment practices. The WMS has primarily employed masters and PhD
students from top European and North American universities to conduct the inter-
21
None of the forms used by both the first and the second interviewers contained the detailed
scoring grid. The interviewers would score the interviews based on their notes after the interviews
had been completed and, therefore, the scoring grid was not shared with the principal.
13
views over the past 10 years of the project. With the Development WMS instrument
the level of skill of the interviewers is relatively lower considering that the decision of
“weighting” the quality of the processes to decide on a single score for each practice
is taken away. To be sure, the interviewers still need to be skilled enough to under-
stand the training session and the practices being measured, but in general the new
tool allows for greater flexibility in recruitment of interviewers and facilitates local
capacity building by hiring from local institutions.
2.5 Interpreting the management index and sub-indices mea-

sures
Before we move on to providing a brief overview of the data collected thus far, it is
important to emphasise a few key points when interpreting the management index
and sub-indices.
The D-WMS (as well as the WMS) does not measure the skills of the manager but
rather measures the processes embedded in each managerial practice in place within
the establishment. Thus, the methodology requires that interviews be conducted
with managers who have been in the establishment long enough to become acquainted
with the practices in place at that establishment. If the interview is conducted with
a manager who has recently taken a post in the establishment in question (that is,
less than one year), the manager might refer to practices that were in place in her
previous post rather than the particular establishment she is currently working in.22
For example, a principal who has been at a school for only 2 months might not have
gone through a review process with their teachers and cannot speak directly about
the appraisal systems in place in that particular school. Although they possibly
bring in new and different managerial practices into the school, it becomes difficult
to discern whether these practices have truly been implemented in the new school or
22
In fact, this does happen during interviews and those conducting the interviews are instructed
to continuously check that the examples provided are from the current establishment rather than
any previous post.
14
whether it is a current “wish list” of the new principal.
Considering that we are measuring the management practices currently in use, in

general the management indices can be interpreted as follows:
• A score from 1 to 2 refers to an establishment with practically no structured

management practices or very weak management practices implemented;
• A score from 2 to 3 refers to an establishment with some informal practices

implemented, but these practices consist mostly of a reactive approach to man-
aging the organization;
• A score from 3 to 4 refers to an establishment that a good, formal management

process in place (though not yet often or consistent enough) and these practices
consist mostly a proactive approach to managing the organization;
• A score from 4 to 5 refers to well-defined strong practices in place which are

often seen as best practices in the sector.
3 Does D-WMS provide any new meaningful vari-

ation for data analysis?
3.1 Observing within-practices and between-practice varia-

tion
As mentioned in the previous section, the expanded D-WMS instrument allows us

to improve the quality of data collection in a number of ways. But is this new
way of collecting data also helpful in terms of data analysis, that is, do we observe
any within-practice and between-practice variations in the data which can be further
explored?
Within-practice variation indicates whether organizations emphasize one process over

the other within each management practices such as scoring highly in process imple-
15
mentation but poorly in process usage or process monitoring. For example, in order
to track their performance, schools may formulate and put into effect a system of
metrics to monitor performance but not use this system frequently and efficiently.
Alternatively, some schools may define perhaps only one or two indicators to monitor
performance but use this indicators appropriately and frequently. Between-practice
variation indicates if the scores for the three types of processes vary systematically
across all management practices. For example, schools may be able to formulate and
put into effect systems for performance monitoring, target setting as well as peo-
ple management. But while process implementation scores may be high across the
board for some organizations, they might not be able to effectively use or monitor
all systems in place.
We present the correlation matrix for processes within each practice in Figure 4.
We observe that all correlations are positive and significant at the 1% level but of
varying coefficients, ranging from 0.04 to 0.66: 14.1% of correlated pairs present a
coefficient of equal or lower than 0.25, 65.0% present a coefficient between 0.25 and
0.50, while 21% present a coefficient of equal or above 0.50.
3.2 Understanding management practices and processes data

in more detail
In this section we illustrate the different types of data outputs that are possible with
the D-WMS data versus the original WMS. Summary statistics for the data for India
(Andhra Pradesh), Mexico and Colombia are presented in Table 2.23 Although
we present the data in this section side by side, we are not drawing any direct
comparisons as the underlying samples are not comparable. The figures in this
section have four panels: the first panel shows the distribution of scores for the
management practice referring to the practice being illustrated. The solid line is
23
School characteristics data for Andhra Pradesh comes from the AP School Choice Project in
Muralidharan & Sundararaman (2015). The sampling frame for the D-WMS data for AP is from
this project and the data was collected immediately following their last wave of data collection. We
thank the authors for use of the school characteristics data in this paper.
16
the average of the three processes from the Development WMS while the dashed
line is the average of the three processes re-cast into the comparable scores to the
original WMS (that is, without the ability of scoring with half points). Each of the
three panels in the second column show the distribution of each process pertaining
to the management practice. Figure 5 refers to the practice “performance dialogue.”
The practice measures whether meetings relating to performance review are well-
structured, and evaluates the quality of the dialogue and root cause analysis of
problems. The comparable WMS distribution is, as expected, slightly shifted to the
left as the limitation on “integer scores” led to lower scores on average.
More interestingly, however, is that now we are able to see what processes led to
the average scores. The first process measured in this practice is “ implementation”:
does the performance tracking meeting follow a clear agenda? How is the meeting
structured? The second process is related to “usage” and measures whether the meet-
ing has enough data to inform the discussion and whether it is used appropriately.
The third process measured is “monitoring” and in this practice we measure whether
feedback is constructive, leads to the root cause of problems and a plan of action.
Panels P4.1, P4.2 and P4.3 of Figure 5 show the distributions of each of the processes
of “performance dialogue.” Figure 5a, for example, shows that schools in AP seem
to be very bad at following a clear agenda and building a culture of constructive
feedback focussed on root cause analysis, but they are relatively better at ensuring
that data is present and that the data is useful. Thus, this suggests a much more
targeted approach to the type of intervention that could be useful considering they
have good data, but are not using it effectively to target problems and solve them in
a structured meeting setting. Figures 5b and 5c show the equivalent measures but
using the data collected in Mexican and Colombian schools.
Figure 6 shows a similar figure for management practice topic 12 on the survey,
relating to the interconnection of targets and goals. The practice is measuring how
well connected the targets of the school are, both between different school targets
and with individual targets. The three processes measure the “implementation,”
or how the principal learns about the targets that are expected of them and how
17
clear those are; “usage,” or how the targets broken down between members of staff
such that everyone is accountable; and “monitoring,” or communication of targets to
staff and keeping track of progress. Figure 6a shows the distribution for AP schools,
which suggest they have some targets that they receive or develop, but are less able
to break them down across staff to ensure accountability, and in turn do not have a
system to keep track of how well people understand their role in target achievement.
Figures 6b and 6c show the distributions for Mexico and Colombia.
Figure 7 presents the distributions for management practice topic 19 in the survey,
which measures the effectiveness of the processes for dealing with poor performers in
the school. It is on average a fairly poor-scoring question, particularly in AP, where
Figure 7a shows that largest share of the mass of the distribution is under a score
of 2. Looking at the detailed processes, however, we see that the distributions for
process implementation, which deals with the ability to identify the poor performers
with a systematic criteria, and for usage, which deals with the method of assessing
performance are both strictly equal or under a score of 3. This means that no
school in the sample had a good, formalized process to identify and deal with poor
performers, though some had a flawed process. However, in terms of monitoring
the process, here the time-scale of action once a problem is identified, some schools
scored very well in contrast with the other two processes. Figures 7b and 7c show
the distributions for Mexico and Colombia respectively.
4 Closing remarks
Over the past decade the research agenda on the economics of management prac-
tices has been moving forward in exciting ways. As development economists, we see
and hear about the missed opportunities in our field visits and in hundreds of in-
terviews when it comes to “good management” practices. As suggested in Pritchett
(2015), management practices are important facet in understanding public service
delivery from a systems framework view. This new measurement tool is only the first
18
step. We are currently working with colleagues on starting to build the Development
WMS dataset and also merging the new dataset with performance data to begin
the policy-relevant work that motivates the effort in first place. We hope that this
extended survey tool will be useful to the research community in itself as a way to
systematically measure management practices in schools and hospitals in developing
countries.24
24
Please feel free to contact us if you are considering using the tool and we can discuss the
training required and logistics on how to administer the survey.
19
References
Bloom, N., Eifert, B., Mahajan, A., McKenzie, D. & Roberts, J. (2013), ‘Does
management matter? evidence from india’, The Quarterly Journal of Economics
128, 1–51.
Bloom, N., Lemos, R., Sadun, R. & Reenen, J. V. (2015), ‘Does management matter
in schools?’, The Economic Journal 125, 647–674.
Bloom, N., Lemos, R., Sadun, R., Scur, D. & Reenen, J. V. (2014), ‘The new empir-
ical economics of management’, Journal of the European Economics Association
.
Bloom, N. & Van Reenen, J. (2007), ‘Measuring and explaining management prac-
tices across firms and countries’, The Quarterly Journal of Economics 122, 1351–
1408.
Dobbie, W. & Fryer, R. G. (2013), ‘Getting beneath the veil of effective schools:
evidence from new york city’, American Economic Journal: Applied Economics
5(4), 28–60.
Fryer, R. G. (2014), ‘Injecting charter school best practices into traditional pub-
lic schools: evidence from field experiments’, Quarterly Journal of Economics
129(3), 1355–407.
Glewwe, P. & Muralidharan, K. (2015), Improving school education outcomes in

developing countries, Working Paper 15/001, RISE.
Lemos, R. & Scur, D. (2012), Could poor management be holding back development?,
Working paper, International Growth Centre.
Muralidharan, K. & Sundararaman, V. (2015), ‘The aggregate effects of school

choice: evidence from a two-stage experiment in india’, The Quarterly Journal
of Economics 130(3), 1011–1066.
20
Pritchett, L. (2015), Creating education systems coherent for learning outcomes,
Working Paper 15/005, RISE.
21
Tables
Table 1: Summary statistics
Panel A: Andhra Pradesh Private Schools

Mean Median SD Min 25th p 75th p Max N
School Characteristics
Number of Students 352.07 300.00 (264.17) 18.00 192.00 450.00 1780.00 182
Number of Teachers 14.78 13.00 (8.43) 3.00 9.00 18.00 52.00 182
Student/Teacher Ratio 23.31 22.22 (8.99) 4.60 17.50 27.50 57.14 180
Management Scores
Management 2.15 2.17 (0.26) 1.43 2.03 2.33 2.62 182
—M1: implementation 2.10 2.14 (0.26) 1.50 1.95 2.28 2.60 182
—M2: usage 2.13 2.17 (0.27) 1.30 1.98 2.35 2.72 182
—M3: monitoring 2.20 2.22 (0.29) 1.40 2.05 2.38 2.97 182
–Operations Management 2.15 2.17 (0.28) 1.43 2.01 2.36 2.69 182
—O1: implementation 2.11 2.18 (0.28) 1.36 1.96 2.29 2.64 182
—O2: usage 2.15 2.18 (0.30) 1.36 2.00 2.36 2.96 182
—O3: monitoring 2.20 2.21 (0.32) 1.43 2.04 2.43 2.96 182
–People Management 2.13 2.11 (0.25) 1.36 2.00 2.33 2.69 182
—P1: implementation 2.10 2.08 (0.29) 1.42 1.92 2.33 2.83 182
—P2: usage 2.09 2.08 (0.29) 1.17 1.92 2.33 2.75 182
—P3: monitoring 2.21 2.17 (0.35) 1.33 2.00 2.42 3.42 182
Panel B: Andhra Pradesh Public Schools
Management Scores
Management 1.81 1.84 (0.25) 1.17 1.65 1.97 2.24 107
—M2: usage 1.74 1.75 (0.21) 1.20 1.65 1.90 2.22 107
—M3: monitoring 1.83 1.88 (0.28) 1.12 1.70 2.03 2.38 107
—O2: usage 1.97 2.00 (0.28) 1.21 1.86 2.18 2.46 107
—O3: monitoring 2.08 2.14 (0.35) 1.18 1.86 2.32 2.64 107
—P2: usage 1.19 1.17 (0.17) 1.00 1.08 1.25 1.92 107
—P3: monitoring 1.26 1.17 (0.23) 1.00 1.08 1.42 1.92 107
Notes: School Infrastructure Index is the sum of 4 questions on whether the school has available drinking
water, functional toilets, functional electricity, and functional library. The Andhra Pradesh data is a random
sample of public and private primary schools in 5 districts from the APRESt project.
22
Table 2: Summary statistics
Panel C: Mexico Public Schools

Management Scores
Management 2.54 2.48 (0.50) 1.38 2.23 2.82 4.82 1084
—M2: usage 2.56 2.50 (0.51) 1.26 2.25 2.84 4.84 1084
—M3: monitoring 2.53 2.47 (0.49) 1.16 2.24 2.82 4.68 1084
—O2: usage 2.77 2.71 (0.54) 1.29 2.43 3.07 4.86 1084
—O3: monitoring 2.76 2.71 (0.56) 1.21 2.39 3.07 4.93 1084
—P2: usage 1.99 1.90 (0.57) 1.00 1.60 2.20 4.80 1084
—P3: monitoring 1.89 1.80 (0.46) 1.00 1.60 2.10 4.20 1084
Panel D: Colombia Public Schools
Number of students 787.84 560.00 (718.35) 5.00 286.00 1122.00 4190.00 439
Number of teachers 32.17 26.00 (34.26) 1.00 14.00 41.00 527.00 443
Student-teacher ratio 24.20 23.34 (10.72) 1.66 18.43 28.05 115.78 438
Management Scores
Management 2.28 2.25 (0.40) 1.00 2.03 2.51 3.41 450
—M2: usage 2.28 2.22 (0.43) 1.00 1.98 2.50 3.65 450
—M3: monitoring 2.32 2.28 (0.43) 1.00 2.05 2.55 3.60 450
—O2: usage 2.41 2.36 (0.51) 1.00 2.04 2.71 3.93 450
—O3: monitoring 2.53 2.50 (0.52) 1.00 2.21 2.86 4.07 450
—P2: usage 1.78 1.70 (0.33) 1.00 1.60 2.00 3.20 450
—P3: monitoring 1.77 1.70 (0.38) 1.00 1.50 1.90 4.20 450
Notes: The Mexican data is a combination of samples from primary schools that are part of PEC (Programa
Escuelas de Calidad) in Durango, Guanajuato, Estado de Mexico and Tabasca, marginalized primary schools in
Puebla, and primary and junior high schools in Tlaxcala and Morelos. The Colombian data is a sample from the
lowest performing public schools in the country (approximately 4,000 of the 22,000 schools in Colombia).
23
Figure 1: Original WMS survey: example question and scoring grid
Figure 2: Development WMS survey: example question and scoring grid
24
Figure 3: Management process: correlations
Andhra Pradesh Mexico Colombia

Schools Schools Schools
implementation
implementation
implementation
monitoring
monitoring
monitoring
usage
usage
usage
2. Standardization of implementation 1.00 1.00 1.00
Instructional Planning usage 0.52 1.00 0.37 1.00 0.44 1.00
Processes monitoring 0.42 0.37 1.00 0.45 0.38 1.00 0.42 0.44 1.00
implementation 1.00 1.00 1.00
3. Personalization of
usage 0.11 1.00 0.36 1.00 0.26 1.00
Instruction and Learning
monitoring 0.04 0.52 1.00 0.52 0.57 1.00 0.45 0.39 1.00
4. Data-‐driven Planning and
usage 0.34 1.00 0.44 1.00 0.39 1.00
Student Transitions
monitoring 0.39 0.38 1.00 0.42 0.43 1.00 0.37 0.45 1.00
5. Adopting Educational Best
usage 0.47 1.00 0.47 1.00 0.56 1.00
Practices
monitoring 0.43 0.32 1.00 0.48 0.55 1.00 0.48 0.53 1.00
6. Continuous Improvement usage 0.41 1.00 0.42 1.00 0.44 1.00
monitoring 0.30 0.57 1.00 0.42 0.56 1.00 0.52 0.61 1.00
7. Performance Tracking usage 0.26 1.00 0.25 1.00 0.28 1.00
monitoring 0.12 0.26 1.00 0.44 0.27 1.00 0.32 0.35 1.00
8. Performance Review usage 0.29 1.00 0.21 1.00 0.30 1.00
monitoring 0.32 0.41 1.00 0.26 0.44 1.00 0.34 0.41 1.00
9. Performance Dialogue usage 0.36 1.00 0.46 1.00 0.48 1.00
monitoring 0.33 0.31 1.00 0.43 0.52 1.00 0.57 0.56 1.00
10. Consequence
usage 0.26 1.00 0.16 1.00 0.32 1.00
Management
monitoring 0.18 0.23 1.00 0.47 0.17 1.00 0.33 0.34 1.00
11. Balance of Targets/Goal
usage 0.35 1.00 0.60 1.00 0.54 1.00
Metrics
monitoring 0.48 0.41 1.00 0.54 0.59 1.00 0.26 0.46 1.00
equal or below 0.25

equal or above 0.50
25
Note: All correlations are significant at the 1% level.

Figure 4: Management process: correlations
Andhra Pradesh Mexico Colombia
implementation
implementation
implementation
monitoring
monitoring
monitoring
usage
usage
usage
12. Interconnection of
usage 0.40 1.00 0.31 1.00 0.29 1.00
Targets/Goals
monitoring 0.31 0.47 1.00 0.31 0.54 1.00 0.34 0.52 1.00
13. Time Horizon of
usage 0.08 1.00 0.58 1.00 0.64 1.00
Targets/Goals
monitoring 0.18 0.20 1.00 0.42 0.50 1.00 0.48 0.35 1.00
14. Stretch of Targets/Goals usage 0.15 1.00 0.36 1.00 0.29 1.00
monitoring 0.11 0.14 1.00 0.28 0.34 1.00 0.14 0.32 1.00
17. Clarity and Comparability
usage 0.30 1.00 0.49 1.00 0.47 1.00
of Goals
monitoring 0.40 0.30 1.00 0.47 0.41 1.00 0.39 0.38 1.00
18. Building a High implementation 1.00 n.a. 1.00
Performance Culture/ usage 0.46 1.00 n.a. n.a 0.34 1.00
Rewarding High Performers monitoring 0.57 0.66 1.00 n.a. n.a n.a 0.36 0.26 1.00
19. Making Room for Talent/
usage 0.27 1.00 0.51 1.00 0.13 1.00
Removing Poor Performers
monitoring 0.07 0.12 1.00 0.34 0.37 1.00 0.36 0.30 1.00
20. Promoting High
usage 0.57 1.00 0.42 1.00 0.41 1.00
Performers
monitoring 0.42 0.57 1.00 0.24 0.38 1.00 0.10 0.20 1.00
21. Managing Talent usage 0.10 1.00 0.35 1.00 0.52 1.00
monitoring 0.27 0.07 1.00 0.15 0.02 1.00 0.45 0.65 1.00
22. Retaining talent usage 0.44 1.00 0.43 1.00 0.43 1.00
monitoring 0.36 0.57 1.00 0.42 0.56 1.00 0.32 0.40 1.00
23. Creating a Distinctive
usage 0.55 1.00 0.44 1.00 0.39 1.00
Employee Value Proposition
monitoring 0.45 0.53 1.00 0.52 0.37 1.00 0.33 0.35 1.00
equal or below 0.25

equal or above 0.50
26
Note: All correlations are significant at the 1% level.

Figure 5: Management practice: Performance Dialogue
(a) Andhra Pradesh, India (b) Mexico (c) Colombia
WMS and Development WMS WMS and Development WMS WMS and Development WMS
.8
.8
Original Original Original
.8
WMS WMS WMS
.6
Development Development Development
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WMS WMS WMS
Kernel Density
Kernel Density
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0
0
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1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
Management score Management score Management score
P4.1: Process implementation P4.1: Process implementation P4.1: Process implementation

.8
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27
1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
P4.2: Process usage P4.2: Process usage P4.2: Process usage

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P4.3: Process monitoring P4.3: Process monitoring P4.3: Process monitoring

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1 2 3 4 5 1 2 3 4 5
1 2 3 4 5
Management score Management score
Management score
Data source: Andhra Pradesh data comes from the APSC project. Data source: Arturo Harker Roa and the Colombian Ministry of Education.
N=182 private and N=107 public schools. Data source: World Bank. N=1,084 primary and secondary public schools. N=450 of the lowest performing public schools in Colombia.
Figure 6: Management practice: Interconnection of targets and goals
.8
.8
.8
WMS WMS WMS
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WMS WMS WMS
Kernel Density
Kernel Density
Kernel Density
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1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
P7.1: Process implementation P7.1: Process implementation P7.1: Process implementation

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1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
P7.2: Process usage P7.2: Process usage P7.2: Process usage

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P7.3: Process monitoring P7.3: Process monitoring P7.3: Process monitoring

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1 2 3 4 5 1 2 3 4 5
1 2 3 4 5
Management score Management score
Management score
Data source: Andhra Pradesh data comes from the APSC project. Data source: Arturo Harker Roa and the Colombian Ministry of Education.
N=182 private and N=107 public schools. Data source: World Bank. N=1,084 primary and secondary public schools. N=450 of the lowest performing public schools in Colombia.
Figure 7: Management practice: managing poor performers
.8
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WMS WMS WMS
Kernel Density
Kernel Density
Kernel Density
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WMS WMS WMS
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T3.1: Process implementation T3.1: Process implementation T3.1: Process implementation

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1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
T3.2: Process usage T3.2: Process usage T3.2: Process usage

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T3.3: Process monitoring T3.3: Process monitoring T3.3: Process monitoring

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1 2 3 4 5 1 2 3 4 5 1 2 3 4 5
Data source: Andhra Pradesh data comes from the APSC project.
N=182 private and N=107 public schools. Data source: World Bank. N=1,084 primary and secondary public schools. Data source: Arturo Harker Roa and the Colombian Ministry of Education. N=450 of the lowest performing public schools in Colombia.
5 Appendix A - Development WMS Schools Tool
5.1 20 management practices
30
ITEM Possible questions 1 1.5 2 2.5 3 4 5
2. Standardization of Instructional Planning Processes
School follows a standardized School follows a standardized curriculum School follows a standardized curriculum,
School follows a standardized School follows a standardized School follows a standardized
curriculum based on state and national based on state and national mandates which may be based on state and national
curriculum based on state and curriculum based on state and national curriculum based on state and national
mandates (without flexibility or (without flexibility or initiative to take mandates but takes into account local contexts
national mandates (without mandates (without flexibility or mandates (with some flexibility or
initiative to take into account local into account local contexts and adapt the and adapt the curriculum to their needs. The
2.1: Well-‐defined flexibility or initiative to take initiative to take into account local initiative to take into account local
School does not follow contexts and adapt the curriculum to curriculum to their needs), and uses up-‐ school uses up-‐to-‐date textbooks and other
and Standardized a) How do you ensure into account local contexts contexts and adapt the curriculum to contexts and adapt the curriculum to
a curriculum, does not their needs), and uses up-‐to-‐date to-‐date textbooks and may use other useful resources. School teachers teaching the
Planning Processes that all students of a and adapt the curriculum to their needs), and uses up-‐to-‐date their needs), and uses up-‐to-‐date
use textbooks or other textbooks but no other materials. materials. Teachers individualy prepare same subjects prepare daily lesson plans
and Materials: given grade are learning their needs), and uses only textbooks and other useful resources. textbooks and other useful resources.
materials in the Teachers individualy prepare lesson lesson plans and sometimes have together based on a range of resources
curriculum, the same topics in the textbooks provided by the School teachers teaching the same School teachers teaching the same
classroom, and does plans and never check with other informal conversations with other available to them at the school (not only
textbooks and other same way within a government or educational subjects prepare daily lesson plans subjects prepare daily lesson plans
not prepare lesson teachers to see if they are all teaching teachers to see if they are teaching in the textbooks) to ensure that there is
classroom materials, similar timeframe? system but no other together based on a range of resources together based on a range of resources
plans. in the same manner across same manner across classes/grades and consistency/standardization across grades and
and lesson plans materials. Teachers teach available to them at the school (not available to them at the school (not
classes/grades and aligned with past aligned with past grades (i.e., two years. Teachers use a newly acquired online
straight from the textbook only textbooks) to ensure that there is only textbooks) to ensure that there is
years (i.e., two teachers will have teachers will have different lesson plans resource to plan lesson plans, which are
without preparing lesson consistency/standardization across consistency/standardization across
different lesson plans for a grade 1 for a grade 1 class at different points in available to student and parents online
plans. grades and years. grades and years.
class at different points in time). time). beforehand.
31
Principal actively conducts scheduled

There is no Principal sporadically rounds (though without telling Principal actively conducts scheduled rounds
implementation/monit conducts rounds or classroom teachers about it so it is unexpected) (though without telling teachers about it so it is
2.2: Implementation Principal randomly conducts rounds or Principal actively conducts scheduled
oring of standard observations and verifies for classroom observations and takes unexpected) for classroom observations and
and Monitoring classroom observations and verifies Principal randomly conducts rounds or rounds (though without telling
processes because the lesson plans when he/she time of his day to verify lesson plans to takes time of his day to verify lesson plans to
lesson plans when he feels like it (it classroom observations and verifies teachers about it so it is unexpected)
b) How do you keep track school does not follow believes the teacher is ensure quality across classrooms once ensure quality across classrooms at least once
Note: CCTV with only may be due to a problem or not). He lesson plans when he feels appropriate. for classroom observations and takes
of what teachers are a curriculum, does not performing badly. He/she a month for every teacher and keeps a month for every teacher and keeps track of
video (not audio) is says it can be done regularly but only He says it can be done regularly but only time of his day to verify lesson plans to
doing in the classrooms? use textbooks or other says it can be done regularly track of his observations. In certain his observations. Heads of departments and
not considered a does it twice or three times a year per does it twice or three times a year per ensure quality across classrooms once
materials in the but only does it when a ocasions, heads of departments and other school leaders are involved in checking
monitoring tool in teacher and does not keep track as teacher and keeps track. a month for every teacher and keeps
classroom, and does problem arises and does not other school leaders are involved in the implementation and monitoring of
this question he/she does not have time. track of his observations.
not prepare lesson keep track OR does regurlarly checking the implementation and instructional planning processes in a consistent
plans. but does not keep track. monitoring of instructional planning and comprehensive manner.
processes.
Principal states that the Principal explains that the current

No decision was made
current curriculum, textbooks Principal cannot pinpoint why the Principal explains that the current curriculum, textbooks and other Principal explains that the current curriculum,
c) Why did you and the because school does Principal states that the current
and other materials are used current curriculum, textbooks and other curriculum, textbooks and other materials used in the classroom, and textbooks and other materials used in the
teachers decide on the not follow a curriculum, textbooks and other
because the materials used in the classroom, and materials used in the classroom, and lesson plans are aligned with defined classroom, and lesson plans are specifically
current curriculum, curriculum, does not materials are used because the
2.3: Aligned with government/school board lesson plans were chosen. But Principal lesson plans are aligned with defined learning expectations (which are designed to align instructional strategies and
textbooks and other use textbooks or other government/school board sets it as
learning expectations sets it as such, but he/she is vaguely mentions that it is linked to learning expectations (which are ultimately linked to student materials with learning expectations (which are
materials and lesson materials in the such, and is able to vaguely justify why
not able to explain why they improving education in general but does ultimately linked to student achievement in state/national ultimately linked to student achievement in
plans used throughout classroom, and does he/she thinks these were chosen,
were chosen. There is not a not directly links it to speficic student achievement in state/national examinations) and, in certain ocasions, state/national examinations) and incorporate
the year? not prepare lesson though not very specifically
particular reason for chosing outcomes. examinations) incorporate some flexibility to meet flexibility to meet student needs
plans.
these materials. student and community needs.
3. Personalization of Instruction and Learning
3.1: Identifying and There isn't any process for There is an informal process There is an informal process which There is an process There is an process A school assigns student advisors who are
a) How much does the
addressing individual the teacher to identify which indirectly helps the teacher indirectly helps the teacher identify (computerized or on paper) to (computerized or on paper) to committed to identify and assess student
school try to identify
student needs through a individual student needs identify individual student needs individual student needs (i.e., track student records which track student records which needs and create an individualized learning
individual student needs?
range of student methods but the teacher generally (i.e., progress cards for each progress cards for each student helps teachers identify helps teachers identify program for every student. There is a
b) How do teachers
Individual student knows what types of student which will reflect what which will reflect what types of individual student progress individual student progress computerized process to track student
accommodate student
needs are not different learning needs types of learning needs the learning needs the student has). and possible special needs. and possible special needs. A records which helps teachers identify
needs within in the
Common alternative identified. Traditional students have (but not student has) but teacher does not Teacher may try to tailor their Usually four or more wide range of alternative individual student progress and possible
classroom? (for example, if
teaching methods: teaching methods are based on any data, this is tailor their teaching to address teaching to address the needs of alternative teaching methods teaching methods (in addition special needs. Several alternative teaching
a few children are visual
participation, the only method used. just a feeling!). Usually one the needs of each student. each student, but this is not done in (in addition to traditional to traditional teaching) are methods (in addition to traditional
learners, how do they deal
demonstration, recitation, alternative teaching Usually two alternative teaching a systematically manner. Usually teaching) are used in the used in the classroom to teaching) are used in the classroom to
with that in a class of 30
memorization, method (in addition to methods (in addition to three alternative teaching methods classroom to encourage encourage student address individual student needs and to
board learners?)
collaborating (group work), traditional teaching) is used traditional teaching) are used in (in addition to traditional teaching) student engagement in their engagement in their own encourage student engagement in their
and learn by teaching in the classroom. the classroom. are used in the classroom. own learning. learning. own learning.
Student have some influence

32
of their own learning through

Student have some influence of Student have some influence individual or group projects,
their own learning through of their own learning through and it is structured within the Student have influence of their own
Student have very little Student have some influence of
individual or group projects, but individual or group projects, class plans so they know learning through individual or group
c) How do you make sure influence of their own their own learning through
this is rather random and not and it is structured within the they're expected to engage. projects, and it is structured within the
students are engaged in learning through individual individual or group projects, and it is
3.2: Student/parent Neither students nor structured within the class plans class plans so they know Parents are still not engaged class plans so they know they're expected
learning? And how are or group projects, and don't structured within the class plans so
engagement in student parents are engaged in so the students don't know they're expected to engage. (such as helping in to engage. Parents have access to these
parents incorporated in the know they're expected to they know they're expected to
learning student learning. they're expected to engage in this Parents are still not engaged homework), but they do come online reports and the individualized
this? be creative and engaged. engage. Despite being informed
way. Despite being informed (such as helping in to PTA meetings and seem learning program for every student and are
Parents are not engaged in about student progress, parents are
about student progress, parents homework), but they do come somewhat engaged. Parents able to observe their children’s progress
student learning at all. not engaged in student learning.
are not engaged in student to PTA meetings and seem have access to some online throughout the year.
learning. somewhat engaged. reports and are able to
observe their children’s
progress throughout the year.
Principal actively conducts

scheduled rounds (though
without telling teachers about Principal actively conducts scheduled
Principal sporadically
Principal actively conducts it so it is unexpected) for rounds (though without telling teachers
conducts rounds or Principal randomly conducts
scheduled rounds (though classroom observations to about it so it is unexpected) for classroom
3.3: Implementation and There is no classroom observations rounds or classroom observations
Principal randomly conducts rounds without telling teachers about ensure individual student observations to ensure individual student
Monitoring d) How do you keep track implementation/monit when he/she believes the when he feels like it (it may be
or classroom observations when he it so it is unexpected) for needs are being addressed needs are being addressed at least once a
of what teachers are doing oring of standard teacher is performing due to a problem or not). He says
feels appropriate. He says it can be classroom observations to once a month for every month for every teacher and keeps track of
Note: CCTV with only video in the classrooms to ensure processes because the badly. He/she says it can be it can be done regularly but only
done regularly but only does it twice ensure individual student teacher and keeps track of his his observations. Heads of departments
(not audio) is not that different student school does identify or done regularly but only does it twice or three times a
or three times a year per teacher needs are being addressed observations. In certain and other school leaders are involved in
considered a monitoring needs are taken care of? address individual does it when a problem year per teacher and does not
and keeps track. once a month for every ocasions, heads of checking the implementation and
tool in this question student needs. arises and does not keep keep track as he/she does not
teacher and keeps track of his departments and other school monitoring of the personalization of
track OR does regurlarly have time.
observations. leaders are involved in instruction in a consistent and
but does not keep track.
checking the implementation comprehensive manner.
and monitoring of the
personalization of instruction.
4. Data-‐driven Planning and Student Transitions
Little data is available such as only Data is available (such as results Data is available from formative
an overall mark for the student at Some data is available such Data is available at the end of for quarterly, mid-‐year and end-‐ assessements and from several
Data is available (such as results
the end of the year but it is not as end-‐of-‐year examinations the year, such as a range of of-‐the year examinations plus different sources such as weekly
for quarterly, mid-‐year and end-‐
integrated or easy to use (i.e., and teacher impressions but academic data and behaviour health information, teacher quizzes, student participation,
a) What type of of-‐the year examinations plus
teachers give an overall mark to it is not recorded data, although not impressions, baseline tests...) student involvement in student
information about the health information, teacher
students based on their systematically and it is not necessarily in an integrated although not necessarily in an associations, and the use of tutoring
4.1: Individual student data individual students is impressions, baseline tests...).
No data is available. impressions throughout the year integrated or easy to use or easy to use (i.e. a larger integrated or easy to use available after class, standardized
availability available to teachers at the Data is recorded frequently and
without providing much comments (i.e., student performance is set of data is recorded but manner (i.e. data is recorded tests and placement testing. Data is
beginning of the academic presented in an easy way which
about students behavior, recorded in a progress card not in way which will allow a frequently, but on paper, and recorded frequently and is
year? allows a new teacher to fully
performance in examinations, etc. which is returned to the new teacher to fully not in way which will allow a computerized and presented in an
understand the strengths and
and impressions are recorded in a parents at the end of the understand the strengths and new teacher to fully understand easy way which allows a new teacher
weaknesses of the students).
progress card which is returned to year) weaknesses of the students) the strengths and weaknesses of to fully understand the strengths and
the parents at the end of the year) the students) weaknesses of the students).
33
Principal does understand the

Principal does understand
4.2: School awereness of Principal does understand Principal does understand the main points of transition for
the main points of transition
critical student transitions Principal vaguely understands the the main points of transition main points of transition for students to be the transition
b) What do you think are for students to be the Principal, heads of departments,
Principal does not main points of transition for for students to be the students to be the transition across quarters and semesters
the main points of transition from grade to other school leaders and teachers
"Critical transitions" can be understand/ is not students to be the transition from transition from primary to across quarters and semesters throughout the academic year,
transition/promotion for grade (grade promotion), and fully understand the main points of
student mark promotions, aware of main points primary to secondary, but he/she secondary, and he/she may throughout the academic year, and he/she formally
students? How is this he/she may communicate transition for students as this is often
or perhaps quarterly unit or "critical transitions" does not communicate this to communicate this to heads and he/she may communicate communicates this to heads of
communicated to your this to heads of departments a focus point during meetings to
by unit progress, or for students. heads of departments and of departments and this to heads of departments departments. He/she also
teachers? and teachers from time to discuss instructional strategies.
primary to secondary teachers. teachers from time to time and teachers from time to time communicates this to teachers
time in informal
promotion. in informal conversations. in informal conversations. but in more informal ways or
conversations.
with less frequency.
Principal and teachers are

made aware of past student School verifies student School verifies student
Teachers are made aware
4.3: School management of performance before the outcomes at critical stages (that outcomes at critical stages (that
of past student performance
critical student transitions Teachers are given progress cards beginning of the year in is, across quarters, semesters is, across quarters, semesters School verifies student outcomes at
c) Does the school use any before the beginning of the
Teachers are not to check on past student order to be able to address and academic years). Teachers and academic years). Teachers critical stages and conducts data-‐
data to consider student year byt having informal
"Critical transitions" can be made aware of past performance before the beginning any issues raised in the past. observe academic results every observe academic results every based meetings across disciplines
promotions through critical conversations with other
student mark promotions, student performance of the year but rarely revise the They also talk to the previous quarter to try to determine quarter to try to determine with the aim to address any areas
transitions (such as grade teachers in order to be able
or perhaps quarterly unit at any point during the documentation given and make teachers to get feedback where the weaknesses are in where the weaknesses are in that need attention throughout the
promotions or unit to address any issues raised
by unit progress, or new academic year. very little effort to address any about students, and pass on instruction and make a good instruction and make a good year in order to ease student
progressions)? in the past. They make some
primary to secondary issues. their own feedback to the effort to address identified effort to address identified transition through grades and levels.
effort to address issues but
promotion. next grade. They make some weaknesses but in an weaknesses in a structured and
in an unstructured way.
effort to address issues but in unstructured way. coherent way.
an unstructured way.
5. Adopting Educational Best Practices
The principal acknowledges

that new teaching School systematically
practices are necessary and The principal fully The principal fully provides staff with
The principal does not somewhat encourages understands that new understands that new opportunities to
The principal fully
encourage teachers to teachers to learn new teaching practices are teaching practices are collaborate and share best
understands that new
learn new teaching The principal somewhat techniques but in an necessary and often necessary and actively practice techniques and
teaching practices are
a) How do you encourage techniques. Same teaching acknowledges they could unstructured way (i.e., encourages teachers to encourages teachers to learnings. They have
5.1: Where the school finds necessary and actively
the teachers to incorporate practices have been used use some new teaching principal has informal learn new techniques learn new techniques quarterly in-‐service days,
out about education best encourages teachers to
new teaching practices into for a long time. The practices but does not conversations with through formal training through some formal teachers are often sent to
practices learn new techniques
the classroom? principal believes the encourage teachers to teachers once in a while and shadowing within the training and shadowing conferences and have
through some formal
practices they use are good learn new techniques. and asks them to come up school. However, in within the school. Teachers additional professional
training and shadowing
enough and no change is with new ways to practice the initiative are sent to conferences, development opportunities
within the school.
needed. incorporate other teaching actually comes from the but this doesn't happen to learn about best
practices into the teachers. very often. teaching practices used in
classroom, in practice this other schools.
rarely happens).
34
The principal reviews the

Once a year in an annual
new best practices being
meeting teachers are asked The principal reviews the The principal reviews the
Teachers sometimes adopted in the school
to talk about the methods Teachers often collaborate new best practices being new best practices being
collaborate to share during quarterly teacher-‐
b) How are these learnings they use, but this is not in to share learnings or “best adopted in the school adopted in the school in a
5.2: How are these best learnings or “best practice” staff meetings, but does
shared across teachers and No sharing of learnings the spirit of spreading practice” techniques in during annual meetings in structured way during
practices shared within the techniques during their this in an unstructured way
subjects? b) How often are happens. practices (ie. Teachers all their regular meetings, but an structured way and regular meetings
school lunch breaks or grading (ie. It is "formal" in that it is
these practices shared? think their method is good the principal does not specifically arranged for specifically arranged for
times, but this is ad-‐hoc part of the meeting, but
enough and nobody pushes initiate these discussions sharing best practices sharing best practices
and inconsistent. the principal does little
them to learn/adopt new within the school. within the school.
more than just talk about
techniques)
the practices)
The principal has a

The principal has no The principal has no
The principal has a systematic way of
The principal has some systematic way of systematic way of
systematic way of monitoring the adoption of
informal chats with The principal checks once monitoring the adoption of monitoring the adoption of
monitoring the adoption of these practices within the
Since there are no learning teachers about how the per academic year during these practices within the these practices within the
c) How do you make sure these practices within the classrooms. The principal
5.3: How is the adoption of of new techniques, there is practices are going in their annual meeting on classrooms, though he/she classrooms, though he/she
the teachers are using the classrooms. He/she does ensures that these
these techniques also no monitoring of these hallways or during random any new techniques that does this at least quarterly does this at least quarterly
new techniques you are this at least quarterly. The techniques have been
monitored non-‐existent new class visits, but does not were used, but does not do in an ad-‐hoc manner. The an ad-‐hoc manner. The
trying to introduce? principal takes notes incorporated by revising
techniques ask specifically or record much with this principal does not record in principal takes some notes
regarding the new lesson plans and
this progress in written information. any way the progress on regarding the new
practices to bring up in an conducting regular
form. the adoption of these practices to maybe bring
annual meeting. observations in the
techniques. up in an annual meeting.
classrooms.
6. Continuous Improvement
The principal is often (but The principal is always The principal is always
a) When you have a Problems are never not always) informed informed about problems informed about problems Exposing and solving problems (for the
problem in the school, how exposed. The principal is The principal rarely finds The principal is often about problems when when they are when they are school, individual students, teachers,
do you come to know not aware of any out about issues within informed about problems they are happening, and happening, and always happening, and always and staff) in a structured way is
6.1: Finding and about them? (ie. If a problems (or they say the school. He/She thinks when they are sometimes documents documents the issues documents the issues integral to individual's responsibilities.
documenting problems teaching method is not they haven't had all is well most of the happening, but never the issues after the fact. after the fact. The after the fact. The There is an online reporting system
being applied correclty) problems for years -‐ time, when in reality it is documents the issues The principal does not principal does not look principal will sometimes which all teachers and staff have
b) What are the steps you means they just didn't not. after the fact. look back at these notes back at these notes to try look back at these notes access to and follow up on a daily
go through to fix them? know!). to try and prevent further and prevent further to try and prevent further basis.
issues. issues. issues.
35
There is only one staff

Most of the appropriate
group involved in solving
Most of the appropriate staff groups are involved
the issue, usually just the
Only one staff group (ie. staff groups are involved in solving the issues (ie.
There is no set principal or All of the appropriate staff groups are
c) Who is involved in The principal) gets in solving the issues (ie. The principal and the
person/staff group who correspondent/superinte involved in solving the issues. There is
resolving these issues, that Nobody gets involved as involved in solving the The principal and the cleaning staff get
6.2: Who resolves follows up with problems. ndent. Principal might ask also an advisory committee composed
is, in deciding what course there are no issues to be issue, but he/she does ask cleaning staff get together to solve an issue
problems This is done by whoever a third party to perform a of different representatives
of action will be taken to solved. for informal feedback together to solve an issue of the black boards never
wants to see the issue task so the problem can (teachers/staff/students) to address
resolve the issue? from other staff groups of the black boards never being cleaned after
resolved, very ad-‐hoc. be fixed, but ultimately, problems within the school.
(such as teachers) being cleaned after classes). In certain
the principal decides how
classes) ocasions, students are
the problem will be
also involved.
solved.
Improvements are performed as part

Only one staff group (ie.
of regular management processes.
There is no set The principal) gets
Only one staff group (ie. Teachers are encouraged to discuss
person/staff group who Only one staff group (ie. involved improving
The principal) gets process improvements with their peers
suggests improvements. If Only one staff group (ie. The principal) gets processes, but he/she
involved in improving and dept. heads during dept. meetings
d) Who is involved in there are any The principal) gets involved improving does ask for formal
processes, but this is and to implement process
improving/suggesting improvements, these are involved improving processes, but he/she feedback from
6.3: Who improves No process improvements done in a unstructured improvements previously discussed
improvements to the done by whoever wants to processes, but he/she does ask for formal appropriate staff groups
processes are ever made. way (only when the and share more effective processes
process so these issues do see the issue resolved does ask for informal feedback from during meetings and
principal feels the need with the school in regular meetings.
not happen again? (very ad-‐hoc).The principal feedback from other staff appropriate staff groups other formal functions.
to improve it).No There is also an advisory committee
rarely implements groups (such as teachers) during meetings and Students are also
feedback is asked from composed of different representatives
suggestions to improve other formal functions. encouraged to participate
other staff groups. (teachers/staff/students) to address
processes. and give suggestions, but
problems and suggest improvements
they not always do that.
within the school.
7. Performance Tracking
A set of at least 4 or more A set of at least 5 or more
7.1: Types of parameters
a) What kind of main parameters are tracked, parameters are tracked,
(such as student marks, Performance is
parameters do you use to One main parameter in Two main parameters in Three main parameters in and they should be a range and they should be a range
attendance (regularity), continuously tracked and
track school performance? addition to student marks addition to student marks addition to student marks of types of parameters to of types of parameters to
behaviour, teacher Only student marks are communicated, both
b) What documents are is tracked, but it does not are tracked, but it does not are tracked, but it does not show how the school is show how the school is
absenteeism, enrolment tracked. formally and informally, to
you using to inform this show how well the school show how well the school show how well the school doing overall (ie. grades, doing overall (ie. grades,
rates, dropout rates, all staff using a range of
tracking? is doing overall. is doing overall. is doing overall. behaviour, teachers, behaviour, teachers,
teacher professional visual management tools
enrolment/dropout rates enrolment/dropout rates
development, budgets etc.)
and budgets) and budgets).
36
Most parameters are

Most parameters are All parameters are tracked
c) How often are these Only student marks are Most parameters are Most parameters are tracked more than three Most parameters are
7.2: Tracking frequency tracked three times per continuously throughout
measured? tracked once per year tracked once per year tracked twice a year times per year (ie. Once tracked every two months.
year the year.
per term plus a final exam).
The principal knows how A range of visual methods

Officially, only the principal Officially, only the principal well classes are doing, and is used to communicate
sees the overall class sees the overall class The principal knows how informally as well as with those involved in the
grades, and does not grades, and only The principal knows how well classes are doing, and formally communicates school matters.
d) Who gets to see this The principal knows how
communicate to the communicates to the well classes are doing, and informally as well as this to teachers during Information about how
data? well classes are doing, but
teachers if their classes are teachers if their classes are informally communicates formally communicates meetings and regular well the classes are doing is
e) If I were to walk through informally communicates
7.3: Communicated to doing well or not. (ie. doing well or not. (ie. this to teachers during this to teachers during reports. Parents know of diplayed online for
your school, how could I this to teachers in an ad-‐
whom and how teachers may see teachers may see regular meetings. Parents meetings and regular their own children through teachers, students, and
tell how it is doing hoc manner. Parents know
individual student marks, individual student marks, know of their own children reports. Parents know of weekly and monthly parents. The principal also
compared to its main of their own children but
but don't get to see a but don't get to see a but not of school-‐wide their own children but not reports and are aware of communicates this to
parameters? not of school-‐wide results.
holistic view of the whole holistic view of the whole results. of school-‐wide results as the school-‐wide results teachers informally as well
class and how it is doing class and how it is doing results are not published. through informal as formally during
across time) across time) conversations with the meetings and regular
teachers and principal. reports.
8. Performance Review
a) How often do you have School reviews their set of School reviews their set of School reviews their set of School reviews their set of
School reviews only School reviews their set of School reviews their set of
8.1: Frequent discussions meetings to review the parameters three times per parameters more than parameters every two parameters
student marks once a year parameters once per year parameters twice a year
parameters? year three times per year. months. continuously/frenquently.
All those involved in the

37
The principal, other school school matters such as

Only the principal and leaders and teachers are principals, head of
Only the principal and The principal and senior
senior teachers are involved in review departments, teachers,
b) Who is involved in these There is no meeting, only some senior teachers are teachers are involved in
Only the principal and involved in review meetings. School progress parents and other
8.2: Who is involved in meetings? the principal reviews the involved in review review meetings. Some
some senior teachers are meetings. School progress report are sent to parents community members are
these meetings and how c) Who gets to see the parameters on his own. meetings. Nobody takes teachers take notes and
involved in reviewing the report are sent to parents noting the results of the involved in formal review
are results communicated results of these meetings? The only communication is meaningful notes of the these notes are shared
parameters, no results of noting the results of the reviews following the meetings regarding school
to the school Are details of the meeting of the end of year results, results to communicate to with others, but this is
the meeting are recorded. reviews following the meetings and are widely performance. Results of
shared with other staff? nothing else. others, or notes are taken done in an unstructured
meetings and are widely available and parent's are formal meetings are
but not shared. way.
available. encouraged to provide communicated to all in the
feedback. monthly internal
newsletter.
There is a clear follow up

d) After reviewing these There is no follow up plan. There is a clear follow up
plan with assigned tasks,
parameters, what is the Principal does not think plan with assigned tasks,
timeframe and
action plan you leave these any action needs to be There is a general sense of The principal notes there The principal notes there The principal notes there timeframe and
responsibilities. The results
meetings with? taken as any review what needs to be done, but are some follow up steps are some follow up steps are some follow up steps responsibilities. The
8.3: Action plan follows the of follow up plans are
e) What steps would meetings just serve the nobody is clear on who to be followed, but nobody to be followed, but only to be followed and principal follows up and
meeting reported in a systematic
people take after? purpose of informing the should take charge of is clear on who should take informally suggests who formally assigns keeps informed those
away using their online
f) Who is responsible for staff about the the school what. charge of what. could take care of what. responsibility involved in the follow up
student/teacher records
carrying out the action performance compares to plan during review
before the next review
plan? its main parameters. meetings.
meeting.
9. Performance Dialogue
The principal holds set

There is a list of topics to The principal holds set
meetings with a clear
talk about that the There is a formal agenda meetings with a clear agenda.
a) Can you tell me about a There is no formal agenda The principal holds set agenda. The principal
principal brings along, but for the meeting, but it is The principal circulates the
recent review meeting you for the meeting, but the meetings with a clear agenda. circulates the agenda
he/she does not share it not always clear what the agenda before hand so all know
have had? What topics did There is no set agenda for principal tends to always The principal circulates the before hand so all know
9.1: Follow a clear agenda with others previously and topics are and it only what will be discussed and can
you discuss in this the meeting. follow the same topics in agenda before hand so all know what will be discussed and
it is not clear what the sometimes gets circulated come prepared. Staff can add
meeting? Was there an the meetings so people what will be discussed and can can come prepared. All
discussion will be about to staff before the items to the agenda if they wish
agenda? know what to expect. come prepared. staff is encouraged to add
and people do not know meeting. to do so, but do not do so
relevant items to the
what to expect. often.
agenda and often do so.
38
There is an appropriate set of

data available for the meeting. There is an appropriate set
One or two paremeters/ of data available for the
There is an appropriate set of indicators are displayed in an meeting, and it is displayed
The principal brings a small
b) What kind of data or The principal brings some data available for the meeting, easy format to read such a in a very easy format to
The principal brings some set of good data to the
9.2: Meetings have information about the There is no data available detailed student marks though not in a very easy charts/graphs, summarizing the read such as in
basic student marks data meeting, but it is limited
appropriate data present parameters do you for the meeting. data, but no other type of format to read. (ie. No parameters collected which charts/graphs,
to the meeting. and only helps in part of
normally have with you? data. charts/graphs, just reflect the performance of the summarizing the
the discussions.
numbers/comments) school. Other parameters collected
parameters/indicators are only which reflect the
mentioned briefly during the performance of the school.
meeting.
The meeting is mainly Those present in the meeting Those present in the
about ad-‐hoc problems The principal mainly know they are expected to meeting actively contribute
The principal only tells staff
that came up during the acknowledges the contribute to the dicussions to discussions in a
about the issues and does Those present in the meeting
time since the previous problems they are The principal actively and do so actively. It is an open structured way, using a
not expect or encourage actively contribute to
c) What type of feedback meeting, and nothing of discussing in the meeting listens to any feedback forum where the principal range of techniques to find
feedback on how to solve discussions in a structured way,
do you get during these value gets discussed. The and listens to any feedback given and encourages it. encourages open feedback and the root cause of
the issues. It feels more using a range of techniques to
9.3: Get people involved in meetings? principal discusses the offered without He/she does not write it creative solutions to problems. problems. The review
like a lecture rather than find the root cause of
constructive feedback d) How do you get to issues with staff, but does encouraging it, but does down, but does make an The principal takes notes of focuses on both successes
an interactive meeting. problems. The review focuses
solving the problems raised not encourage suggestions. not actively request it or effort to implement some feedback given. There is an and failures in order to
Since there is very little on failures in order to identify
in the meetings? If suggestions are given, write down comments. suggestions when open discussion of problems idenify what is and what is
interaction, so no what is not working in the
they are done in an He/she also rarely reminded. but in an unstructured way, and not working in the school.
conversations lead to root school.
unstructured way and the implements others' as a matter of course the Meetinds are an
causes of issues.
principal does not take suggestions. conversations do not drive to opportunity fo constructive
note of possible solutions. the root cause of problems. feedback and coaching.
10. Consequence Management
The principal has a list of
The principal makes a things that need to get
There are clear follow up
mental note of the things done after a meeting, but it There are clear follow up
There are clear follow up plans (with assigned tasks,
that need to get done after is not clear how he/she plans (with assigned tasks,
plans (with assigned tasks, responsibilities, people
the meeting and asks expects to achieve them There are clear tasks that responsibilities, people
responsibilities, people involved, and timeframe),
There are no follow up members of staff to do (no clear tasks as no come out of meetings, but involved, and timeframe)
involved, and timeframe) that come out of meetings
a) After a review meeting, plans, tasks or list of things some of them (no clear explanation on how to get there are no individuals that come out of meetings
that come out of meetings. with specific people being
how are people aware of that need to geet done tasks as no explanation on them done). He takes note assigned to nor timeframe with specific people being
10.1: Clear responsibilities They follow these up in the responsible and
their responsibilities and after the meetings, so how to get them done). of the list and asks allocated to tasks. There responsible (but not
for action plan following meeting. Actions accountable for
actions that must be there are no assigned Since there is no record members of staff to do are no major consequences necessarily accountable)
are generally taken to actions/tasks. They follow
taken? responsibilities (ie. tasks and it is too much for the some of the tasks. for failure to follow for actions/tasks. They
modify the follow up plan this up every month in the
are not assigned to people) principal to remember, However, there is no clear through with the action follow this up every month
in case task targets are not following meeting, and
things rarely get done and responsibility and plan/ tasks. in the following meeting,
met, but these actions are with clear consequences
no one is accountability set, and the but consequences for
not very clear. for failure in completing
accountable/answerable majority of things end up failure are not clear.
the tasks.
for them. being discussed again in
the next meeting.
39
d) How long does it

typically go between when Action is taken
a problem starts and you immediately after a
10.2: How long it takes to It would take over one It would take at most one It would take over six It would take about a It would take about two
realize this and start It would take three months problem is identified.
identify and deal with a academic year for action to academic year for action to months for action to be month for action to be weeks for action to be
solving it? for action to be taken. Principal is made aware of
problem be taken. the taken. taken. taken. taken.
e) Can you give me an the progress along the
example of a recent way.
problem you've faced?
There are no measures

f) How would you make taken to make sure the There is a reporting system
The principal notes the
sure this problem does not problem does not happen The principal brings it up in with all problems and There is an online reporting
The principal makes a problem in a diary, and
happen again? again. The solution to the a monthly meeting to action plans in detail which system with all problem
mental note of the issue The principal notes the consults it from time to
10.3: How they avoid e) If a year from now the problem is not recorded inform staff of the issue the principal, teachers and and action plans in detail
and makes sure he/she issue in a diary, but the time when there is a
having the same problem problem were to happen anywhere. If the problem and have a record, but sees staff have access to. which the principal,
brings it up in an annual diary is not used for problem to see if they have
again again, how would you happened again, the it as a problem of the past However, the follow up is teachers and staff have
meeting, but nothing anything proactive. figured it out before. There
know if and how you dealt principal would not be and that they should move not done on a regular basis access to and follow up on
formal. is nothing done to prevent
with such a problem aware/remembers that onwards. (depending on the a regular basis.
future problems, however.
before? they faced a similar problem).
problem in the past.
11. Balance of Targets/Goal Metrics
The student outcome goals

as well as other types of
There is a general sense There is a general sense
goals such as teacher
that they would like to that they would like to The student outcome goals
The student outcome goals outcomes are absolute and The student outcome goals
improve one main student improve two or more main as well as other types of
There are no goal metrics, are absolute and tangible, tangible, such as increase as well as other types of
outcome measure (ie. student outcome measures goals such as teacher
11.1: Clarity and Balance of a) What goals do you have so no definition either. such as "increase enrolment to 90% of the goals such as teacher
"increase enrolment", (ie. "increase enrolment", outcomes are absolute and
Targets/Goal Metrics set for your school? Principal struggles to enrolment to 90% of the village or decrease dropout outcomes are both in
"increase grades"), but no "increase grades"), but no tangible. One goal is also
answer this question. village" or "decrease rates by 5%, increasing terms of absolute/tangible
absolute numbers or absolute numbers or defined in value-‐added
dropout rates by 5%". graduation rates by x%, and value-‐added measures.
percentages regarding how percentages regarding how terms.
offering two teacher
much. much.
development courses per
year)
40
A range of goals (measured

A range of goals (measured
There is a small range of There is a small range of in terms of absolute and
There is a small range of There is a small range of in terms of absolute and
goals for the school goals that are defined for one goals is measured in
goals that are defined for goals that are defined for value-‐added measures) are
including year-‐end student the government/school tmers of value-‐added) are
b) Can you tell me about the government/school the government/school defined for the
11.2: Set at the district, marks, but they are not boards, the school, and for defined for the
any specific goals for The only school goal metric boards and the school as a boards, the school, for government/school
school, departmental and very clear, in addition to a subjects/departments as a government/school
departments, teachers and is year-‐end student marks. whole but not for levels subjects/departments, and boards, the school, for
individual levels loose goal that is tied to a whole but not for boards, the school, for
staff? within the school (including for individuals within the subjects/departments, and
government/board target individuals within the subjects/departments, and
departments/subjects, school (including teachers, for individuals within the
(such as improving the school (including teachers, for individuals within the
teachers, students, staff). students, staff). school (including teachers,
school overall rate). students, staff). school (including
students, staff).
teachers/staff or students)
Goals relate directly to Goals are set based on

Goals are set based on
d) How are your goals government or school Goals are set based on internal targets based on
Goals relate directly to Goals relate directly to Goals are set based on internal targets based on
linked to student board targets which are internal targets based on students' previous years
government or school government or school internal targets based on a students' previous years
outcomes? tied to the overall system students' previous years scores and also following
11.3: Linked to student board targets. Principal board targets. BUT range of student outcomes scores and also following
e) How are your school student outcomes, but scores and also following government-‐imposed
outcomes and defined by cannot explain why the Principal explains or and also following government-‐imposed
goals linked to the goals of with some regard for a government-‐imposed targets. The principal
internal and external goals were chosen, there is understands that these government-‐imposed targets. The principal
the school board system internal school benchmark targets. The principal checks around schools in
factors not a particularly clear goals are losely tied to the targets. The principal does checks around schools in
(government/ICSE/CBSE)? ( decided partialy based on checks around schools in the area, the district as well
reason for determining overall system student not actively seek this the area and the district to
f) What are the goals of realistic improvements on the local area to ensure as country-‐wide rankings
these goals. outcomes. outside information. ensure their goals are
other schools in the area? previous years' student their goals are reasonable. to ensure their goals are
reasonable.
marks). reasonable.
12. Interconnection of Targets/Goals
A set of goals get trickled

A set of goals get trickled
A set of goals get trickled down from the school
down from the school A set of goals get trickled
A set of goals get trickled down from the school system
system down from the school
a) How do you learn of the down from the school system (government/ICSE/CBSE) to
Only one overall goal gets (government/ICSE/CBSE) to system
12.1: Clarity of goals goals the school system Goals do not trickle down system (government/ICSE/CBSE) to the school. They are only
trickled down to the the school, but they are (government/ICSE/CBSE) to
through the hierarchy expects of you? b) Are the through the school system (government/ICSE/CBSE) to the school, but they are clear to the principal and
school, though it is unclear only clear to the principal the school. Goals are clear
chain goals clear to you and or the school. the school but they are not only clear to the principal. some senior teachers and
and vague. and some senior teachers to principal, heads of
others in your school? very clear even to the Senior teachers and other heads of departments.
and heads of departments. departments, teachers and
principal. staff do not have clarity on Other teachers and staff
Other teachers do not have other staff in the school.
the school goals. have only some clarity on
clarity on the school goals.
the school goals.
41
Teachers have a good idea

of the goals for their
Teachers fully understand
The principal knows what The principal knows what classes in terms of student
Teachers have an idea of Teachers have an idea of how goals are aligned and
the school as a whole must the school as a whole must outcomes, and some
c) If I were a teacher or There are no specific goals the student outcome goals the goals for their classes linked at system level and
12.2: Breaking down big achieve in terms of student achieve in terms of student specific goals regarding
another member of the for staff or students, only for their classes, but do not in terms of student how they increase in
goals into smaller ones and outcome goals, but he outcome goals, and he professional development.
school, what kind of goals large goals for the school have specific goals outcomes, and some specificity as they trickle
linking to individual goals does not break it down by breaks it down by subject There is a broad
would I have? system. regarding professional specific goals regarding down, ultimately defining
subject area, teachers or area only (not by individual understanding of how
development. professional development. individual expectations for
classes. teachers). individual effort towards
all.
goals affects the school as
a whole.
There is no formal process The principal will reiterate

Once per academic year, Once per semester, Teachers have professional
by which the principal the school goals in their
teachers have professional teachers have professional development meetings
The principal talks to communicates the school annual meeting, and has
d) How do you The principal tells staff in development meetings to development meetings to frequently to revise their
12.3: Goals are well his/her staff members and individual goals to irregular meetings with
communicate to your the annual meetings that revise their goals and revise their goals and goals and ensure they're
communicated within the sporadically throughout teachers, but he/she does teachers to talk about
teachers and staff what their goal is to improve, ensure they're proper. The ensure they're proper. The proper. The principal keeps
school the year to tell them how use an informal system of specific goals. He/she only
their goals are? but nothing very concrete. principal keeps track of principal keeps track of track of teachers'
they should be doing. word-‐of-‐mouth by talking does this when there is a
teachers' development and teachers' development and development and their
to them in the hallways problem, and not as a
their students' outcomes. their students' outcomes. students' outcomes.
and ad-‐hoc meetings. matter of routine.
13. Time Horizon of Targets/Goals
There is a good balance of

There is a good balance of
short-‐term, mid-‐term and
short-‐term and mid-‐term
13.1 :A range of short, mid-‐ long-‐term goals for all
goals for all levels of the
term, long-‐term goals The school has annual The school has mostly The school has a range of levels of the school system.
a) What kind of time-‐scale The school does not have a The school has mostly school system. (ie. Long
goals that relate to the annual goals and a few short-‐term and mid-‐term (ie. Long term are 5-‐year
are you looking at with time-‐scale for their goals annual goals and a few term are 5-‐year plans of
Short-‐term: under 1 year following years' marks, but short-‐term and long-‐term goals, as well as at least plans of construction,
your goals? (or they do not have goals). short-‐term goals. construction, graduation
Mid-‐term: 1 year not more. goals. one long-‐term goals. graduation rates, etc. and
rates, etc. and short-‐term
Lond-‐term: over 1 year short-‐term goals are to
goals are to increase test
increase test scores for the
scores for the next year)
next year)
42
The long term and short Long-‐term goals are

The long term and short term goals are set translated into specific
Long-‐term goals are
term goals are set independently but short-‐term targets so that
The school does not have a The school only has long translated into specific
13.2: Interlinked goals that b) Could you meet all your The school only has annual independently, so it is somewhat aligned with short-‐term targets become
time-‐scale for their goals term goals, so there is short-‐term targets so that
staircase from short to long-‐ short term goals but miss goals, so there is nothing to possible to meet all short each other, so it is possible a "staircase" to reach long-‐
(or they do not have goals), nothing to link to other short-‐term targets become
term your long-‐run goals? link to longer goals. term goals and miss long to meet all short term term goals. However, it
so cannot be interlinked. goals. a "staircase" to reach long-‐
term goals and it happens goals and miss long term could happen that long-‐
term goals
often. goals but it does not term goals are not
happen often. reached.
The school focuses on both

the short and long term The school focuses on all
goals, keeping track of goals (short-‐, mid-‐, and The school focuses on
The school does not have a
The school focuses on their short run goals to long-‐term), keeping track all goals (short-‐, mid-‐, and
c) Which goals would you time-‐scale for their goals
The school focuses only on short term goals, but keeps The school focuses on mid-‐ ensure they make the long of their short run goals to long-‐term), keeping track
13.3: Emphasis of goals say get the most (or they do not have goals),
short term goals. in mind the mid-‐term term goals. run goal, though they often ensure they make the long of their short-‐ and mid-‐run
emphasis? so cannot have a focus in
goals. have to extend the long-‐ run goal. Sometimes goals to ensure they make
one time frame.
run goal because they readjustements have to be the long run goal.
missed too many short-‐ made, but it is not often.
term goals.
14. Stretch of Targets/Goals
The principal says that the

The principal and the
goals are very very hard, The principal and the The principal and the
The principal and the teachers push for
but if they push a lot they teachers believe they have teachers push for
a) How tough are your The principal says that The principal and the teachers push for aggressive goals, and find
can get there. Or they say aggressive goals, but they aggressive goals, and find
goals? Do you feel pushed their goals are too easy teachers believe they have aggressive goals, and find that they can't always
14.1: Goals are tough but the goals are very very do tend to meet them that they can't always
by them? (never pushed), or too hard aggressive goals, but they that they can't always meet them because they're
achievable (80 to 90% of easy, but they do still try to 100% of the time. Because meet them because they're
b) On average, how often (always pushed too much). do tend to meet them meet them because they're genuinely hard, but they
the time) get above the goals since of this, they create their genuinely hard, but they
would you say that the Principal finds them 100% of the time and is genuinely hard, but they do make it 80-‐90% of the
they know this. Principal own goals of slightly do make it 80-‐90% of the
school meets their goals? ridiculous! satisfied with the results. do make it 80-‐90% of the time. When goals are easily
still finds them ridiculous overreaching the goal (ie. time. When goals are easily
time. met, goals sometimes are
but at least tries to do 105%) met, goals are stretched.
stretched.
something about them!
43
Goals are demanding for a Goals are demanding for

The principal keeps the Goals are demanding for all
c) Do you feel that all the few department/areas. most department/areas,
same goals every year and The principal tries to make department/areas, but
departments/areas have There are some areas but there are some areas
The principal does not set does not bother to check if goal difficulty equally there are some areas
14.2: Goals are equally goals that are just as hard? which have considerably which have slightly easier Goals are demanding for all
goals for different some departments have distributed to everyone, which have slightly easier
difficult/demanding for all Or would some easier goals than others. goals than others. (ie. department/areas.
department/areas. easier/harder goals than but never checks if this is goals than others, so an
areas/departments get (ie. English teachers have English teachers have
others as a result of actually true effort is made to adjust
easier targets? easier goals than Telugu easier goals than Telugu
changing circumstances. targets accordingly.
teachers) teachers)
Goals are set only The principal uses a wide The principal uses a wide
The principal compares and
internally and do not take range of internal (such as range of internal (such as
benchmarks their goals The principal compares and The principal compares
into account external school statistics) and some school statistics) and
14.3: Goals are set with with some schools he/she benchmarks their goals The principal compares and their goals with those of
d) How are your goals factors or teachers' external benchmarks to set external benchmarks to set
reference to external hears about from teachers, with schools in the benchmarks their goals the school boards
benchmarked? feedback. There are no their goals (such as their goals (such as
benchmarks but doesn't look externally village/city, but not the with schools in the district. (government/ICSE/CBSE),
benchmarks or sectorial, regional, or sectorial, regional, and
for meaningful district. but not beyond that.
comparisons with external state/provincial level state/provincial level
comparisons.
schools. benchmarks) benchmarks)
17. Clarity and Comparability of Goals
a) If I asked one of the

teachers directly about The principal says the
The principal says the
their individual goals, what The principal says some teachers are well aware of
The principal says teachers teachers are very well
would they tell me? teachers should certainly The principal says the their targets, and do not
The school does not define The principal believes the are aware of their goals, aware of their goals and do
17.1: Clearly defined and b) How do you, as the be aware of their goals as teachers are well aware of find them difficult to
clear goals for staff, so staff know their goals, but but some do complain that not find them difficult to
strongly communicated to school principal, know that they have informal their goals and do not find understand. Staff
there would be no use in there's no way for him/her they are too difficult to understand. Performance
all the teachers are aware of conversations once in a them difficult to performance is also
asking. to verify this. understand and should be measures are strongly
their goal? while, but cannot say if understand. communicated informally
simplified. communicated and
c) Does anyone ever they are all aware or not. during school review
reinforced at all reviews.
complain their goals are meetings.
difficult to understand?
44
The targets are a range of

The goals are based on The goals are a limited The goals are a range of The goals include a range
The goals are based on quantitative measures
17.2: Based on both student marks plus another number of quantitative quantitative measures of both quantitative and
c) What are the goals The school does not define student marks as (more than 4), as well as
qualitative and quantitative measure that measures (2 or 3) that go (more than 3) that go qualitative measures that
based on? clear goals for staff. mandated by the one or two qualitative
quantitative measures goes beyond government beyond government beyond government go beyond government
government. measures, that go beyond
requirements. requirements. requirements. requirements.
government requirements.
The principal has an open-‐

The principal only keeps an door policy regarding data
Information on individual
informal tally in his/her The principal only keeps an on goals and will show
Information on team/ unit goals and performance
d) How do people know head of who the best informal tally in his/her The principal has an open-‐ scores to teachers if they
The school does not have targets and performance metrics are made public
17.3: Everyone knows how about their own subjects are (not teachers), head of who the best door policy regarding data wish to see them. Formal
individual goals, only a metrics are communicated through boards displayed
everyone is doing and can performance when and does not publicize any teachers are, and does not on goals and will show conversations are held
school-‐based goal on formally during review in the school and online.
compare compared to other data on this so the publicize any data on this scores to teachers if they during review meetings
academic achievement. meetings as well as via Teachers, parents, and
people's performance? principal and other people so people cannot compare wish to see them. where teachers became
email or monthly reports. student have access to this
cannot compare their their performance. aware of which
information.
performance. subjects/departments are
doing better.
18. Building a High Performance Culture/ Rewarding High Performers
There is a formal set of

criteria by which good
Good teachers are criteria by which good
teachers are identified
identified on a range of teachers are identified There is a formal set of
There is no formal or Good teachers are (such as student academic There is a formal set of
observed student results, (such as student academic criteria by which good
a) How do you know who informal identification of identified only on the results, student behaviour, criteria by which good
but nothing formal (ie. The results, student behaviour, teachers are identified (for
your best teachers are? good performers (ie. The observed academic results teacher absenteeism etc.) clinicians are identified (for
principal can tell who the teacher absenteeism etc.) example, academic results,
18.1: Identification of good b) What criteria do you use principal cannot tell you of students (ie. The BUT it is NOT done example, academic results,
best teachers are by and it is done regularly but student behaviour, and
performers and how often do you which teachers are good principal can tell who the regularly and it follows a student behaviour, and
looking at the best class with a small/narrow range teacher abseenteism). It is
identify these teachers? and which ones are not: best teachers are by small/narrow range of teacher abseenteism). It is
scores, behaviour, and of criteria (ie. If the good done regularly and with a
"everyone is a great looking at the best class criteria (ie. If the good done regularly and with 3
absenteeism rates, but it's teacher is identified only broad range of criteria (4
performer!") scores, but nothing else) teacher is identified only criteria.
all from memory or ad-‐hoc on academic achievement ore more).
on academic achievement
checking of records) and behaviour, or only on
and behaviour, or only on
their absenteeism)
their absenteeism)
45
An evaluation system exists

The principal individually Teachers are formally An evaluation system exists
An annual evaluation and happens at least
There is no teacher evaluates teachers in evaluated ad-‐hoc, when and happens at least An evaluation system exists
system exists that allows quarterly, that allows the
b) How do you evaluate evaluation system (that is, his/her opinion, but does the principal feels there is quarterly, that allows the and happens at least
the principal to rank principal to rank
and rate your teachers? teachers never sit down not give formal feedback a need (such as if someone principal to rank quarterly, that allows the
18.2: Formally evaluated performance (the ranking performance and share this
c) How often do you do this with the principal for face-‐ about it or follow a set of is doing badly or performance (the ranking principal to rank
is not necessarily shared with teachers, should they
evaluation? to-‐face or written criteria (ie. Only say exceedingly well, there is a is not necessarily shared performance and share this
with teachers, but the ask to see it. Results are
evaluations) "you're doing ok," or formal write-‐up and with teachers, but the with teachers.
principal knows) shared informally or only
"you're not doing ok" discussion) principal knows)
to some teachers.
A formal system of

d) What types of rewards A system of monetary or
monetary or non-‐monetary
are given to teachers? Any Rewards are given to A reward system exists, but non-‐monetary reward A formal system of
reward exists. Rewards are
18.3: Separate reward monetary or non-‐monetary reward good performance, they're always or never exists, but it is informal monetary or non-‐monetary
Reward everyone awarded on a regular basis
system for individuals and rewards? No reward systems at all but given ad-‐hoc, given (so teachers don't (that is, there are reward exists, but only
regardless of performance as a consequence of well-‐
teams e) Are these rewards linked whenever the principal think it is linked to guidelines, albeit not some rewards are given
defined and monitored
to the ranking teachers feels like it performance) formal/written down in a out regurlarly.
individual achievements.
get? rule book)
19. Making Room for Talent/ Removing Poor Performers

criteria by which bad
criteria by which bad
Bad teachers are identified teachers are identified
teachers are identified
on a range of observed (such as student academic There is a formal set of
a) How do you know who There is no formal or Bad teachers are identified (such as student academic There is a formal set of
student results, but results, student behaviour, criteria by which bad
are the teachers who are informal identification of only on the observed results, student behaviour, criteria by which bad
nothing formal (ie. The teacher absenteeism etc.) teachers are identified (for
not doing so well (the bad performers (ie. The academic results of teacher absenteeism etc.) teachers are identified
principal can tell who the and it is done quarterly (ie. example, academic results,
19.1: Identification of poor worst teachers)? principal cannot tell you students (ie. The principal BUT it is NOT done (such as student academic
worst teachers are by regularly, such as following student behaviour, and
performers b) What criteria do you use which teachers are good can tell who the worst regularly and it follows a results, student behaviour,
looking at the worst class a set of exams) but with a teacher abseenteism). It is
and how often do you and which ones are bad teachers are by looking at small/narrow range of teacher absenteeism etc.).
scores, behaviour, and small/narrow range of done regularly and with a
identify who these "everyone is a great the worst class scores, but criteria (ie. If the bad It is done regularly and
absenteeism rates, but it's criteria (ie. If the bad broad range of criteria (4
teachers are? performer!") nothing else) teacher is identified only with 3 criteria.
all from memory or ad-‐hoc teacher is identified only ore more).
on academic achievement
checking of records) on academic achievement
their absenteeism)
their absenteeism)
Bad performance is

Bad performance is
addressed consistently.
addressed consistently and
Support such as targeted
46
with support, beginning

Bad performance is Bad performance is interventions and
with targeted
Bad performance is addressed consistently, addressed consistently and coaching/development
b) If you had a teacher who interventions. Poor
addressed consistently, but and with support for with support, and with real may be provided in certain
is struggling or who could performers are temporarily
Bad performance is with not much improvement but still no consequence attached to ocasions . Poor performers
not do their job properly, moved out of their
addressed inconsistently consequence (ie. The real consequence (ie. The continued bad are temporarily moved out
19.2: Methods of dealing what would you do? Bad performance is not positions in order for the
(ie. Sometimes the principal will always talk to principal always talks to performance (ie. The of their positions in order
with bad performers c) What if you had a addressed at all problem to be addressed
principal deals with it, but the teachers who are the teachers who are principal tries to improve for the problem to be
teacher who would not do immediately while they
not always) underperforming, but offer underperforming, and offer the teacher, but if it addressed immediately
their job, as in slacking off, receive coaching/training
no coaching or support for coaching/training to doesn't work, the teacher while they receive
what would you do then? to improve. Poor
improvement) improve them but if they can be moved or fired after coaching/training to
performers are also moved
don't, not much happens) a certain time) improve. Poor performers
out of the school when
are also moved out of the
weaknesses cannot be
school when weaknesses
overcome.
cannot be overcome.
Action is not taken

Action is taken Action is taken Action is taken
d) How long would a It takes more than one immediately, but it is taken
immediately, but it can immediately, but it can immediately, it takes very
teacher be able to stay in There is no real time-‐scale academic year to address at some point during the
take one academic year for take around 6 months for a little time for a bad teacher
his/her position while There is no action because in mind, but eventually any issues (ie. More than year, up to one academic
a bad teacher to be bad teachers to be to be removed from the
19.3: Time scale of action performing badly? nothing is identified or there is some action that is one whole year goes by year (ie. Actions could be
removed from the position removed from the position position (possibly to other
e) How long does it take to addressed taken (ie. It can take a few without any action because taken throughout the year,
(possibly to other positions (possibly to other positions positions of less
address the issue once you years) the principal waits for multi-‐ but not immediately.
of less responsibility, not of less responsibility, not responsibliity, not
come to know of it? year academic results) However, it also does not
necessarily fired) necessarily fired). necessarily fired)
take over one year)
20. Promoting High Performers

There is a formal set of criteria
Good teachers are criteria by which good
by which good teachers are
identified on a range of teachers are identified (such
There is no formal or identified (such as student
Good teachers are identified observed student results, as student academic results, There is a formal set of criteria There is a formal set of criteria by
a) How do you know who your best informal identification of academic results, student
only on the observed but nothing formal (ie. The student behaviour, teacher by which good teachers are which good teachers are identified
teachers are? good performers (ie. The behaviour, teacher
academic results of students principal can tell who the absenteeism etc.) BUT it is identified (such as student (such as student academic results,
20.1: Identification of b) What criteria do you use and how principal cannot tell you absenteeism etc.) and it is
(ie. The principal can tell who best teachers are by NOT done regularly and it academic results, student student behaviour, teacher
good performers often do you identify who these which teachers are good done regularly but with a
the best teachers are by looking at the best class follows a small/narrow range behaviour, teacher absenteeism etc.) and it is done
teachers are? and which ones are not: small/narrow range of criteria
looking at the best class scores, behaviour, and of criteria (ie. If the good absenteeism etc.). It is done regularly and with a broad range of
"everyone is a great (ie. If the good teacher is
scores, but nothing else) absenteeism rates, but it's teacher is identified only on regularly and with 3 criteria. criteria.
performer!") identified only on academic
all from memory or ad-‐hoc academic achievement and
achievement and behaviour,
checking of records) behaviour, or only on their
or only on their absenteeism)
absenteeism)
School provides
School provides professional/career
47
School systematically provides

professional/career opportunities for top teachers
Professional/career Professional/career Professional/career professional/career opportunities for
opportunities for top such as additional training as a
development opportunities development opportunities development opportunities top teachers based on their individual
teachers, such as additional reward for good performance.
exist for all teachers, such as exist for all teachers, such exist for all teachers, such as evaluation and professional
training as a reward for good This includes not only
b) What types of career and teacher additional training, but these as additional training, but additional training, but these development plan, such as additional
There is no performance. This includes government training, but also
development opportunities are come only from mandatory these come only from come only from mandatory training as a reward for good
20.2: Development of professional/career not only govt training, but also school initiatives. This is
provided? government or school board mandatory government or government or school board performance. This includes not only
good performers development for any school initiatives. However, typically done once a year. In
c) How do you tailor opportunities for (ie. CBSE/ICSE) rules. school board (such as (such as ICSE/CBSE) rules. govt training, but also school
teachers. this does not happen very certain occasions. the school
particular teachers? Principals don't actively ICSE/CBSE) rules. Principal Principal actively encourages initiatives. The school allows these
often and in a systematic may allows these teachers to
encourage teachers to attend actively encourages teachers to attend these, and teachers to determine which classes
manner. (ie. The school determine which classes they
(don't discourage, but no teachers to attend these, the principal keeps track of they want to teach and give them
initiative has happened want to teach and give them
encouragement either) but does not keep track. each teacher's development. leadership positions and
once/twice in the past few leadership positions and
responsibilities within the school.
years) responsibilities within the
school.
d) How do you make decisions about

promotion/progression of teachers and
additional opportunities within the
school, such as performance, years of
Teachers are promoted
service, etc.? Teachers are promoted Teachers are promoted with Teachers are promoted based School controls the number
There is no promotion of primarily based on years of
e) If we have two teachers, one has with some consideration consideration for their on how good their and type of staff they have in
the teachers, or service (experience), but
20.3: Reason for been at the school two years and the for years of service qualifications and some performance is, with no the school. School will make Teachers are promoted purely based
promotion is based only some consideration for
promotion other for five years, and the teacher (experience) and also performance, but no importance given to years of changes if they witness a need on how good their performance is.
on years of service (ie. performance or qualifications
who is there for two years is better, who performance or consideration is given to years service (experience), and less for it and it is done
experience) is used if teachers have
would be promoted faster? qualifications of service (experience) to qualifications immediately.
similar years of service.
f) If there were two teachers, one with a
B.Ed degree and one without, and the
one without the B.Ed performed better,
who would be promoted faster?
21. Managing Talent
School has no formal

control over the number School has no formal School activelly controls
School has some control
and type of teacher/staff School has no formal control, but can make School controls the the number and type of
over the number and type School controls the
needed to meet their control, but can make suggestions regarding their number and type of teachers they have in the
a) Who decides how many of teachers they have in number and type of staff
goals. Ie. central authority suggestions regarding their needs and very actively teachers they have in the school, often making
21.1: Who makes hiring and which teachers (full-‐ the school, but require they have in the school.
of education system (such needs. However, they don't engages with higher school, but only make any changes to ensure teacher
decisions time regular members of approval/permission (sign-‐ School will make changes if
as govt for state schools, often take an active role in authorities to make sure changes after they witness hiring strategies are well-‐
staff) to hire? off) from higher they witness a need for it
ICSE/CBSE boards for trying to get the teachers they get the type and a need for it at the end of aligned with the school
authorities, which can take and it is done immediately.
private) decides how many they need. number of teachers they an academic year. goals and linked to student
a while to come through.
teachers and of what need. outcomes.
subject the school gets
The principal follows a

48
formal process of doing a

b) Where do you seek out
Since hiring is out of their The principal follows a state-‐wided search, putting
and find teachers?
hands they do not actively formal process of putting ads in newspapers,
c) How do you ensure you The principal primarily The principal follows a
Do not do anything to try engage in this, but if a The principal actively asks ads in newspapers, and attending job fairs, and
have the teachers you bases his/her search on formal process of putting
21.2: How/where do you and find good teachers. current teacher refers for referrals from current actively encourages sourcing teachers from the
need for the subjects you current teacher referrals, ads in newspapers, and
seek out and find teachers They have no control over another talented teacher teachers, but does not go current teachers to refer best universities. The
have? For example, how do but if none are made then actively encourages
to hire who they hire so it is not the principal does pass it outside the school (such as other talented teachers. principal actively
you make sure you have places ads in newspapers current teachers to refer
up to them to do anything. on to the higher authorities placing ads in newspapers). The principal may attend encourages current
enough grade 3 teachers (but as a last resort). other talented teachers
to try and hire that teacher job fairs or source teachers teachers to refer other
given the number of
if needed. from the best universities. talented teachers from
students in that grade?
other schools and from
their personal networks.
Principal has control to hire Principal has control to hire
teachers based on only one teachers based on a formal
set of criteria (ie. only set of criteria (such as
Principal does not have Principal has control to hire
qualifications or only qualifications, interview
control over hiring, but the Principal has control to hire teachers based on a formal
Principal has some control demo, etc), and does so and class demos), but does
d) How do you decide principal expresses their teachers based ononly one set of criteria (such as
The reason for hiring new over which teachers to without regard for student so without regard for
which teachers should be concern that some criterias criterium (such as qualifications, interview
teachers is not determined hire, but does not follow academic results and student academic results
21.3: Hiring criteria and hired? should be followed in this qualifications, interview or and class demos), and does
by the school (not done by any formal set of criteria in behaviour (ie. If Math and behaviour (ie. If Math
why these were chosen e) What criteria do you use decision (ie. given the class demos). Sometimes so to ensure teacher hiring
the principal, but by a ranking candidates and classes are doing badly and classes are doing badly and
to hire teachers? chance, they would help in ther principal takes into strategies are well-‐aligned
centralized committee) bases his/her decision on a would benefit from an would benefit from an
the hiring process but not account student academic with the school goals and
"feeling" or "hunch". additional teacher, but the additional teacher, but the
with any formal set of results and behaviour. linked to student
principal hires an English principal hires an English
criteria) outcomes.
teacher because they did teacher because they did
well on the well on the
interview/demo) interview/demo)
22. Retaining talent
Principal is often doing

evaluations to understand and
forsee any problems that might
The principal always does a
The principal always does a arise and to make sure the
structured and formal "exit
The principal does a The principal always does a structured and formal "exit teachers are satisfied with
The principal has an interview" to understand
22.1: When a teacher somewhat formal "exit structured and formal "exit interview" to understand their job and with the school in
The principal does not informal chat with the why the teacher wants to
leaves/wants to leave, is a) When one of your best interview" to understand interview" to understand why the teacher wants to order to avoid a teacher
question or care why the teacher to understand why leave and notes what could
there a formal process teachers wants to leave the why the teacher wants to why the teacher wants to leave and notes what could wanting to leave. In case this
teacher is leaving, they just they are leaving but does be improved for the future
followed to understand the school, what do you do? leave, but this does not leave but does not note be improved for the future happens, the principal always
go not take note of any to avoid this. There is some
reason for leaving happen in a structured anything for future to avoid this, but does not does a structured and formal
feedback follow up on what has
manner and is ad-‐hoc learnings follow up on what has "exit interview" to understand
been learned but in a
been learned. why the teacher wants to leave
unstructured way.
and notes what could be
improved for the future to
avoid this.
49
The principal has the

b) What would you be able formal authority to offer
The principal has the
to offer to try and keep some extra opportunities
The principal cannot offer The school has an informal authority to offer some The principal usually tries to
that best teacher in your to try and keep top
or do anything to try and agreement that the extra opportunities to try The principal has the convince teachers to stay by
school? teachers, and regularly
22.2: What can they offer The principal cannot offer keep a top teacher in terms principal can offer extra and keep top teachers, but authority to offer some offering a range of extra
c) Could you give me an does so. There are some
(or do) to keep best or do anything to try and of money, but they may opportunities to try and rarely does so (ie. He/she extra opportunities to try opportunities through a formal
example of a time when limits to what can be
teachers who want to leave keep a top teacher offer them more keep top teachers, but the can offer more money or and keep top teachers, and process, such as different class
you were able to keep a offered, that is, their
responsibility or flexible principal only considers class flexibility, but has regularly does so. schedules, time flexibility or
best teacher? And what authority generally extends
time this if asked by the teacher only done it once or twice more money.
about a teacher that you over schedules and minor
in the past few years)
could not convince to stay? monetary raises to match
other schools.
The principal has a set

The principal has a set
The principal has a set process that (s)he follows The principal has a set process
process that he/she follows
The principal does not The principal has informal process that he/she follows to ask the best teachers during teachers evaluation that
to ask the best teachers
The principal treats initiate conversations with chats with teachers and to ask the best teachers how happy they are in their he/she follows to ask the best
how happy they are in their
d) How would you know if everyone equally, teachers and staff staff and has a general how happy they are in their work environment. (S)he teachers how happy they are in
22.3: What do they do to work environment. They
your best teachers are regardless of performance. regarding their work feeling of how satisfied work environment. They does this to try and fix any their work environment. They
ensure top teachers want do this to try and fix any
happy working in this The principal does not satisfaction level, but has their employees are. do this to try and fix any issues before clinicians do this to try and fix any issues
to stay in the school issues before teachers
school? focus especially on an open door policy where However, there is no issues before teachers want to leave. This is done before teachers want to leave.
want to leave. However,
retaining top teachers. people can come and talk formal check that he/she want to leave. This is done fairly regularly, and is This is done fairly regularly and
this is not done regularly
about it does. fairly regularly, but not recorded, although it is not recorded in each teachers
and is not recorded
recorded anywhere. necessarily consulted evaluation plan.
anywhere.
often.
23. Creating a Distinctive Employee Value Proposition
a) If I were a very good Despite acknowledging

teacher considering there aren't formal The principal believes there
The school offers similar
working at your school or The principal does not The principal recognizes professional benefits that is a good atmosphere in The school offers a range
professional benefits as The hospital offers one of
23.1: Why would teachers somewhere else, what know how to answer this that teachers perhaps the school can offer, the the school, and there are of better, more
other schools nearby. two more competitive
want to teach at your would you say to try and question as they have would not want to work principal believes the professional benefits to competitive professional
However, there is usually a professional benefits than
school get me to work here? never thought about it there, as there are other, school has some informal working there (although benefits than other schools
waiting list for teachers most schools nearby.
b) What are the before. better schools nearby. benefits (such as being a he/she cannot think of nearby.
wanting to join this school.
professional benefits of "nice atmosphere" or clear examples)
working at your school? "family environment")
50
The principal frequently

The principal usually The principal frequently
The principal and actively communicates
The principal communicates that their and actively communicates
c) How do teachers come The principal only communicates during the the value of working at
communicates the value of school is a good school to that their school is a good
to know that working at The principal does not communicates the value of first day of work of a new their school in regular
23.2: Teachers are aware working at their school in work at during PTA school to work at during
your school is better than communicate at all that working at their school teachers and rarely teacher evaluation
of the benefits of working annual teacher-‐staff meetings, teacher-‐staff PTA meetings, teacher-‐
others? How do you their school is a good place during the first day of work communicates that their meetings, PTA meetings,
at your school meetings (no more than meetings and community staff meetings and
communicate this to the to work at. of a new teacher, but not school is a good place to teacher-‐staff meetings and
once a year in special meetings (any of these community meetings.
teachers? again. work at after that, but has community meetings.
occasions) happening more than once These take place on a bi-‐
done so once or twice. These happen very
a year) annual basis.
frequently.
The principal has formal,

The principal has formal,
The principal has informal structured follow up
The principal has informal The principal has informal structured follow up
The principal does not follow up conversations conversations with teacher
d) Do you check to see if chats in the hallways about follow up conversations conversations with
23.3: How do you keep The principal does not keep track at all, only with teachers either in groups and sometimes
teachers are aware of the whether people are aware with teachers either teachers either individually
track that the keep track at all since there believes people know (ie. individually or in groups to individually to ensure their
benefits of working at your of the benefits of working individually or in groups to or in groups to ensure their
communication is effective is no communication. "oh, they know why it is ensure their beliefs are beliefs are aligned.
school? in the school so he believes ensure their beliefs are beliefs are aligned and
good to work here") aligned and keeps a written Principal keeps a written
that they are aware. aligned. keeps a written record of
record of this. record of this and follows
this.
up regularly.
5.2 3 leadership practices
51
1. Leadership Vision
Vision is clear and well-‐

Vision is not clear and not Vision is clear and well-‐ defined. School leaders
The vision is clear, well-‐
linked to student defined but it is not broadly communicate a
Vision is somewhat clear defined and linked to a
outcomes. Principal cannot directly linked to a range of shared vision and purpose
yet not well-‐defined and it Vision is clear, well-‐defined range of student
a) What is the school's explain why this vision was student outcomes. For for the school that focuses
1.1: What is the school's is not linked to student and linked to a range of outcomes, largely focused
vision for the next 5 years? There is no vision. Principal chosen. For example, example, Principal says the on improving student
vision? Why was this vision outcomes. For example, student outcomes BUT on meeting state/national
b) Could you summarize in cannot articulate a vision. school follows the vision of vision is to "increase learning and outcomes
chosen? Principal broadly says the largely focused on meeting mandates but also with
a couple of sentences? the government or other enrolment in the (beyond those required by
vision is "to educated all state/national mandates. some consideration given
educational systems (such community" but is not law); vision and purpose is
children". to student and community
as CBSE & ICSE) but cannot concerned with other built upon a keen
needs.
articulate the vision clearly. student outcomes. understanding of student
and community needs.
Vision is defined

collaboratively with a wide
52
The School
range of stakeholders. The
Board/Correspondent/Sup
The School School
erintendent, Principal,
The School Board/Correspondent/Sup Board/Correspondent/Sup
The School departmental heads and
Board/Correspondent/Sup erintendent. Principal erintendent, Principal,
The School Board/Correspondent/Sup other school leaders jointly
erintendent/ only. The and/or other school departmental heads, other
c) Who is involved in Board/Correspondent/Sup erintendent, Principal, sets the vision. Sometimes
1.2: Who sets the vision? There is no vision. Principal, teachers or leaders are consulted but school leaders jointly sets
deciding on the vision? erintendent and Principal departmental heads and they ask and incorporate
others involved in the the ultimate decision is the vision in annual
jointly set the vision other school leaders jointly suggestions from parents
school matters are not made by the School meetings with teachers,
sets the vision and other community
consulted. Board/Correspondent/Sup parents, students and
members and
erintendent. other community members
representatives involved in
and representatives
school matters.
involved in the school
matters.
Staff, students, and parents Vision is define and often

Principal believes that the Principal believes that the are actively communicated communicated during
staff is aware of the vision staff is aware of the vision Principal believes that staff about the school’s vision in regular meetings to a wide
as he has mentioned it as it is displayed in the is aware of the vision as it Staff, students, and parents their annual newsletter, range of stakeholders such
before in informal school and often is displayed in the school are actively communicated annual meetings, PTA as the School
d) How do teachers, staff conversations. However, mentioned in annual and always mentioned in about the school’s vision in meetings or some other Board/Correspondent/Sup
1.3: Communicated to and others involved in the There is no vision or vision the vision is not actively meetings. However, the annual meetings. Principal their annual newsletter, formal mean of erintendent, Principal,
whom and how? school matters know and is not communicated. communicated to teachers vision is not actively also has informal annual meetings, PTA communication. There is departmental heads, other
understand this vision? as well others involved in communicated to others conversations with parents meetings or some other also some informal yet school leaders, teachers,
the school matters such as involved in the school and others involved in the formal mean of regular communication parents, students and
students ,parents, and matters such as students, school matters about the communication. with other community other community members
other community parents, and other vision from time to time. members and and representatives
members. community members. representatives involved in involved in the school
the school matters. matters.
15. Clearly Defined Accountability for School Leaders
The principal is held

responsible by the school
board/correspondent for The principal and the
The principal is responsible the goals of the school. In senior teachers or admin
The principal and the
15.1: Who is responsible for the academic results of turn, the principal holds (department heads/vice The principal, the heads of
senior teachers or admin
for school reaching overall The principal says he/she is the students, and he/she his/her teachers principals etc.) are jointly departments, the teachers
(department heads/vice
targets (including quality, a) Who is responsible for The principal does not solely responsible but knows that there are some accountable, but the only held responsible for and all other staff
principals etc.) are jointly
equity, and cost-‐ delivering school goals? know who is responsible there are never any consequences from time to "official" consequences fall academic results of the members of the school are
held responsible for
effectiveness of student consequences. time for not reaching goals on the principal. The students. Some teachers responsible for delivering
academic results of the
outcomes) (though this is teachers, however, know might also be responsible school goals
students.
unstructured/random). the principal will hold them with consequences for not
accountable in some way reaching the targets.
as well (though not
formal).
53
There are only school-‐level

There are only school-‐level
b) How are individuals consequences for not There are school-‐level and
There are some school-‐ There are technically consequences for not There are school-‐level and
15.2: School and individual-‐ school leaders achieving goals, and while individual-‐level
level mild consequences school-‐level consequences achieving goals, and while individual-‐level
level consequences for answerable/accountable There are no consequences these are enforced at the consequences for good and
for not achieving goals, but for not achieving goals, but these are enforced at the consequences for good and
good and bad performance for achieving these goals? for not achieving goals. school level, only the bad performance on the
none of these are ever these are only enforced school level, individuals bad performance on the
(accountability) Does this apply to all types principal and other school goals, although these may
enforced. sometimes. rarely feel these goals.
of goals? leaders feel these not be consistently applied.
consequences personally.
consequences personally.
The principal,
The principal, The principal,
departmental heads, and
Only the principal has Only the principal has The principal, departmental heads, and departmental heads, and
other school leaders have
autonomy/authority to autonomy/authority to departmental heads and other school leaders have other school leaders have
the autonomy to take
take action when the take action when the other school leaders have the autonomy to take the autonomy to take
action when the matter
matter involves student matter involves student the autonomy to take action when the matter action when the matter
involves student outcomes.
c) What autonomy do you outcomes. The principal outcomes. The principal action when the matter involves student outcomes. involves student outcomes.
15.3: Autonomy to make The principal,
have to take actions that Principal does not have any has limited has limited involves student outcomes. The principal, The principal,
decisions that will directly departmental heads, and
would affect the ability to autonomy/authority to autonomy/authority to autonomy/authority to The principal has full departmental heads, and departmental heads, and
affect the outcomes of other school leaders have
meet the goals? (ie. Budget take any action impact hiring and firing or impact hiring and firing or authority to impact other school leaders have other school leaders have
these targets. full authority to impact
authority, hiring/firing) budget tweaks to bring budget tweaks to bring hiring/firing or budget full authority to impact full authority to impact
hiring/firing or budget
help in case it is needed to help in case it is needed to tweaks to bring help in hiring/firing or budget hiring/firing or budget
tweaks to bring help in
meet a goal BUT never meet a goal AND often case it is needed to meet a tweaks to bring help in tweaks to bring help in
case it is needed to meet a
exercises this exercises this goal but rarely exercises case it is needed to meet a case it is needed to meet a
goal. They rarely exercise
autonomy/authority. autonomy/authority. this autonomy. goal. They sometimes goal. They exercise this
this autonomy even when
exercise this autonomy. autonomy when needed.
needed.
16. Clearly Defined Leadership Roles and Teacher Roles
The school formally defines The school formally defines

clear roles, responsibilities, clear roles, responsibilities,
a) How are the roles and Heads of departments and The school formally defines The school formally defines AND competencies to AND competencies to
The school does not define The school formally defines
16.1: Leadership roles are responsibilities of the other school leaders are clear roles AND clear roles, responsibilities, heads of departments and heads of departments and
leardership roles or gives clear roles to heads of
clearly defined with school leaders defined? b) given vague instructions responsibilities to heads of AND competencies to other school leaders built other school leaders built
instructions to school departments and other
student outcomes in mind Are they linked to student about their role in the departments and other heads of departments and upon some understanding upon an understanding of
leaders at all. school leaders.
outcomes? school. school leaders. other school leaders. of what drives student what drives student
performance and performance and
outcomes. outcomes.
54
The school formally defines

The school formally defines
c) How are the roles and clear roles, responsibilities,
clear roles, responsibilities,
responsibilities of the Heads of departments and AND competencies to
16.2: Teacher roles are The school does not define The school formally defines AND competencies to
teachers defined? d) How other school leaders are The school formally defines heads of departments and
clearly defined with teacher roles or gives The school formally defines clear roles, responsibilities, teachers built upon an
clearly are the required given vague instructions clear roles AND other school leaders built
responsibilities and desired instructions to teachers at clear roles to teachers AND competencies to understanding of what
teaching competencies about their role in the responsibilities to teachers upon some understanding
competencies all. teachers. drives student
defined and school. of what drives student
performance and
communicated? performance and
outcomes.
outcomes.
The school does not

distribute leadership across The school does not
the school, but rather distribute leadership across
concentrates it on the the school, but rather
hands of the principal only. concentrates it mostly on The school distributes
The school does not However, when need the hands of the principal. leadership across the The school distributes
The school does not define The school distributes
e) How are leadership distribute leadership across arises, he informally asks However, he delegates a principal and school leadership across the
16.3: Distributes leadership leardership roles, and, leadership across the
responsibilities distributed the school, but rather school leaders to take few leadership leaders only. Extra principal, heads of
across the school thus, cannot distribute principal and school
across the school? concentrates it on the leadership in a certain area responsibilities to other responsabilities may be departments, teachers and
them. leaders only.
hands of the principal only. of the school (such as school leaders (such as delegated to teachers other members of staff.
having the assistant having the assistant informally.
principal in charge of principal in charge of
overseeing rounds when overseeing rounds for a
principal does not have certain department)
time to complete the job).
6 Appendix B - Development WMS Hospital Tool
6.1 20 management practices
55
1. Layout of Patient Flow
The layout of the hospital

is not good and has not
been optimized, but The layout of the hospital
The layout of the hospital The layout of the hospital
someone did put related has been thought-
The layout of the hospital is not good and has not has been configured to
departments close to through and optimized as Hospital layout was
1.1 What does the There is no thought- and organization is not been optimized, but optimize patient flow.
a) Can you briefly each other such that far as possible. There are, designed to be as
patient journey feel like? through layout. Patients conducive to patient there are signs and not Considerable efforts are
describe the patient patients and staff would however, (real or efficient as possible. Old
Is it a smooth progression are often lost and delays flow. There are signs too many roadblocks made to overcome
journey or flow for a have less distance to perceived) constraints units are refurbished to
or are there several abound. Manager cannot marking where wards along the way. Patients hurdles to change and
typical episode? travel. If the hospital has that make it impossible align well with brand new
roadblocks? understand the question. and theatres are, but and staff are generally any constraints to
elevators, one is a to fully optimize the buidllings/units.
patients often get lost. able to find their way, achieving long-run
dedicated patient layout and patient
albeit it is long. efficiency.
elevator to ensure pathway.
patients flow as easily as
possible.
Wards and theatres are

56
on the same level and

Wards and theatres are Wards and theatres are
b) How closely located Everything is where it walkable distances, but The different points of
Wards and theatres are relatively close to each relatively close to each
are the wards, theatres, was initially built, and the not very easily accessible the journey have been
on the same level and other, and there are other, and there are
1.2 How closely located diagnostics centres and initial building was not Wards are on different from the hospital set to have the least
walkable distances, but consumables stations consumables stations
are the different "points" consumables? well thought through. levels from theatres or entrance. Consumables amount of distance
not very easily accessible spread out across the spread out across the
of the journey and any c) How long on average Theatres and wards are consumables are often are, however, rather possible, and
from the hospital hospital. These are not, hospital. These are
consumables that might would a patient have to not close at all. not available in the right easily accessible. OR consumables are
entrance. Consumables however, systematically systematically restocked
be needed? travel from, say, waiting Consumables are place at the right time. Consumables are easily available and refilled at
are often not available in restocked and can though they can
room to pre-op to the generally all in one spot accessible, but wards and every floor at strategic
the right places. sometimes be difficult to sometimes be difficult to
OR? and not easily accessible. theatres are on different points.
refill. refill.
levels/difficult to reach
from one to the other.
The layout of the hospital

The layout of the hospital The layout of the hospital Patient flow and
does not get challenged Patient flow is not
does not get challenged does not get challenged workplace organization
regularly, but when regularly challenged but Workplace organization
1.3 How often are there regularly, but people are regularly. Every 10 years are challenged regularly
d) How often do you run There is no thought- problems happen it gets there is a signficant effort is regularly discussed in
problems with this open to making or so someone from the by a multidisciplinary
into problems with the through layout and/or questioned (albeit not to improve. Staff is meetings with different
pathway? Does suggestions. These are government audits the team with complete
current layout and the one that exists is not systematically). Changes encouraged to make staff involved. Regularly
improvement come from not, however, pathway. Staff authority to implement
pathway management? ever challenged. can be suggested and suggestions and these means at least once a
it? documented properly suggestions are made changes whenever
have to go through a are taken seriously by quarter.
and often not followed once in a while but it is necessary. Regularly
bureaucratic process to senior management.
up on. very informal. means at least monthly.
be implemented.
2. Rationale for introducing standardization and pathway management
The rationale for
implementing
operational
a) Can you take me improvements to the
The rationale for changes The rationale for changes
2.1: What was the through the rationale for The rationale for pathway is mainly The rationale includes
The rationale for is ultimately to improve was to meet clinical and
rationale for making operational improvements is purely relating to regulation clinical and financial
improvements is purely performance, however, financial outcomes. The
implementing improvements to the There are no changes to meet full government imposed by the motivations, in a good
to meet bare minimum they are motivated clinical outcomes
operational management of the implemented. regulatory demands government. Hospital balance. The aim is to
government regulatory mainly by financial impetus behind the
improvements to the patient pathway? Can (rather than just bare takes the opportunity to improve overall efficiency
demands. reasons or to meet changes went beyond
pathway? you describe a recent minimum). improve pathway to in every hospital level.
regulatory demands. regulatory demands.
example? decrease costs as well.
However, patient
satisfaction and overall
efficiency are not even
The pathway is
The pathway is
The pathway is continuously challenged
challenged every time
challenged every time with all staff members
The pathway is not there is an accident, near-
there is an accident, near- having access to an
challenged very often, miss or someone in
57
The pathway is rarely miss or someone in intranet documentation

but there is a small management notices (or
b) How often do you The pathway is rarely challenged, and generally management notices (or system they can access
review every time there is advised) that
2.2: How often is the challenge/streamline the challenged, even if there only happens if there is is advised) that from any computer
The pathway is never is an accident - big or something could become
pathway challenged? patient pathway? are problems or some sort of accident something could become terminal in the hospital.
challenged, even if small - as wel as a near- a problem. Pre-emptive
What factors drove this c) What factors led to the accidents. There might be (even if minor). If they a problem. Pre-emptive There is a "quality team"
problems happen. miss. It is very much a suggestions are taken on
change? adoption of these an audit if the accident are very serious, it will suggestions are taken on dedicated solely to the
reactive approach (rather board as an important
practices? was very serious. definitely trigger a board as an important task of reviewing issues,
than proactive) but there factor, but this is not
review of the incident. factor. This is a formal problems and
is a system in place to fully formalized and
process though suggestions to improve
handle the problems. sometimes take a while
sometimes the process the pathway and
to get attention from
can be rather long. operations within the
senior managers.
hospital.
Changes are dictated top-

down, but senior
All staff groups in the
Changes are dictated top- management tries to Changes generally come All staff groups in the
hospital are responsible
The government or board down and senior communicate the from the top, but the hospital are expected to
for driving improvement
members dictate management is generally changes to the staff in a senior level managers drive improvement
changes. Ideas are
2.3: Who within the changes, but staff rarely on board with them. The way that they can have a stake in the changes. Ideas are
d) Who typically drives Nobody ever drives any encouraged from both
hospital drives the take it seriously staff, however, do not understand why the process. Senior encouraged from both
these changes? changes. senior managers and
changes? (including senior pay much attention and changes are being management discusses senior managers, though
junior staff members,
management within the simply "do as they are implemented. This tends with middle management no rewards exist for good
with appropriate rewards
hospital) told" as long as they have to get a bit of traction on an informal basis to ideas that were
when ideas are
to. with employees in get some feedback. implemented.
implemented.
implementing the
changes.
3. Standardization and protocols
The hospital has a set of

a) How standardized are There is a general There are a set of standard care protocols
There is a set of standard
3.1: Standardization of the main clinical There is a general agreement amongst There are a set of standard protocols for for many
care protocols for the key
protocols and clinical processes? What share of There is no agreement amongst clinical staff on how they standard protocols given only the most common of diseases/surgeries/treat
diseases/surgeries/treat
processes (MAIN clinical your processes have you standardization. A clinical staff on how they should proceed on most to the hospital by cases, but they are not ments, as well as
ments, and the protocols
processes - common standardized? (Examples patient could come in should proceed on the common cases, but this is regulatory agencies. They "user-friendly" or easily standardized work-ups,
are based on clinical
cases such as hip to check for: pre-surgery and receive two most common cases, but agreed in meetings and are posted on walls and available (ie. only tests and prescriptions.
evidence. All major
replacement surgery, checklist, "wrong side completely different this is not formalized might live in "minutes" could serve as a guide available on a website or These protocols were
processes have been
triple bypass sugery, wrong patient wrong treatment protocols from anywhere. Less than 25% somewhere, only half- but are very often in a clunky manual). created based on clinical
standardized, and they
knee surgery, catheters, procedure" protocol, two different doctors. of processes formalized. Less than ignored. About 50% of About 75% of main evidence and are
are updated every year
etc.) transition between units standardized. 50% of processes processes standardized. processes standardized regularly updated. All
or two.
and shifts, etc.) standardized. by now. major processes have
been standardized.
58
Clinical staff are clear on

There is no clarity of
Heads of departments how to use the protocols
processes and Clinical staff know about
are aware of the and that they exist. They
b) How clear are the procedures as there is no the existence of Clinical staff are clear on
understanding and understand them and are Clinical staff know and
clinical staff members standardization. A protocols, but are the existece and use of Protocols are well known
3.2: Clarity of process believe procedures are expected to use them. make use of protocols
about how specific patient could come in unclear on how they are protocols. Some try to and used by the clinical
and procedures being followed, but more They use them once in a daily. This is second
procedures should be and receive two supposed to implement follow them, but not staff quite frequently.
junior clinical staff are while when convenient nature to everyone.
carried out? completely different their use on a day to day consistently.
not aware of any and time allows, but
treatment protocols from basis.
protocols. don't believe these must
two different doctors.
be followed.
There is a standard
procedure and other
c) What tools and
Written (physical or Written (physical or members of staff would
resources does the
electronic) clinical electronic) clinical notice if someone was
clinical staff employ (ie. Written (physical or
Clinical monitoring and monitoring and protocol monitoring and protocol not following the agreed
checklists, patient There is no monitoring as electronic) clinical
3.3: Monitoring tools, protocol tools are not tools are available to all tools are available to all protocol. Further, there
barcoding) to ensure there are no tools, There are very basic tools monitoring and protocol
resources and protocols available to all staff, but staff, but not easily staff and are easily are clear tools such as
they have the correct resources and protocols. available to identify tools are available to all
(Note this is about TOOLS middle managers have accessible . They are seen accessible , but the checklists, patient
patient and/or conduct A patient could come in patients and procedures. staff and are easily
for monitoring them in their induction as a guideline only. There protocol is seen as a bracelets and monitoring
the appropriate and receive two There is no monitoring of accessible. Protocols are
standardization, not manuals. There is no is no formal monitoring guideline only. There is forms to be filled out by
procedure? completely different processes as these do not seen as a requirement
about level of monitoring of the usage of the usage of the minor monitoring of the the clinical staff. This
d) How are managers treatment protocols from exist. and there is a monitoring
standardization) of protocols, formally or protocols, but senior usage of the protocols data is regularly
able to monitor whether two different doctors. system that identifies
informally. managers keep an eye on though senior managers monitored by a "clinical
clinical staff are following discrepancies.
what is happening will review incidence quality" team who is
established protocols?
informally. reports. looking for deviations in
order to improve and
refine the protocols.
4. Continuous Improvement
The manager is often

The manager is always The manager is always
(but not always) Exposing and solving
Problems are never informed about problems informed about problems
a) When you have a informed about problems problems (for the hospital,
exposed. The The manager rarely finds The manager is often when they are when they are
problem in the hospital, when they are patients and staff) in a
manager is not aware out about issues within informed about problems happening, and always happening, and always
how do you come to happening, and structured way is integral to
4.1: Finding and of any problems (or the hospital. He/She when they are documents the issues documents the issues
know about them? sometimes documents individual's responsibilities.
documenting problems they say they haven't thinks all is well most of happening, but never after the fact. The after the fact. The
b) What are the steps the issues after the fact. There is an online reporting
had problems for the time, when in reality documents the issues manager does not look manager will sometimes
you go through to fix The manager does not system which all staff have
years - means they it is not. after the fact. back at these notes to try look back at these notes
them? look back at these notes access to and follow up on a
just didn't know!). and prevent further to try and prevent
to try and prevent daily basis.
issues. further issues.
further issues.
59
There is only one staff

All of the appropriate staff
group involved in solving Only one staff group (ie. Most of the appropriate
There is no set groups are involved in solving
c) Who is involved in the issue, usually just the the manager, the dept staff groups are involved
person/staff group who the issues. There is also an
resolving these issues, manager. (S)he might ask heads, nursing in solving the issues (ie.
Nobody gets involved follows up with All of the appropriate advisory committee
4.2: Who resolves that is, in deciding what a third party to perform a leadership) gets involved the head of cardiology
as there are no issues problems. This is done by staff groups are involved composed of different
problems course of action will be task so the problem can in solving the issue, but and the porters get
to be solved. whoever wants to see in solving the issues. representatives
taken to resolve the be fixed, but ultimately, he/she does ask for together to solve an issue
the issue resolved, very (doctors/nurses/admin staff)
issue? the manager decides informal feedback from of turnover time when
ad-hoc. to address problems within
how the problem will be other staff groups. patients are discharged)
the hospital.
solved.
Improvements are performed

as part of regular
management processes.
Clinicians are encouraged to
There is no set
Only one staff group (ie. discuss process improvements
person/staff group who Only one staff group (ie.
the head of dept/nurse with their peers and dept.
suggests improvements. Only one staff group (ie. the head of dept/nurse
manager) gets involved in All staff groups get heads during dept. meetings
d) Who is involved in If there are any the head of dept/nurse manager) gets involved
improving processes, but involved in improving and to implement process
improving/suggesting No process improvements, these are manager) gets involved improving processes, but
4.3: Who improves this is done in a processes (e.g. through improvements previously
improvements to the improvements are done by whoever wants improving processes, but he/she does ask for
processes unstructured way (only and other formal discussed and share more
process so these issues ever made. to see the issue resolved he/she does ask for formal feedback from
when the manager feels functions. All staff are effective processes with the
do not happen again? (very ad-hoc).The informal feedback from appropriate staff groups
the need to improve it). expected to contribute. hospital in regular meetings.
manager rarely other staff groups. during meetings and
No feedback is asked There is also an advisory
implements suggestions other formal functions.
from other staff groups. committee composed of
to improve processes.
different representatives
(doctors/nurses/staff/patient
s) to address problems and
suggest improvements within
5. Good use of human resources
Staff recognize human

Nothing much happens - resource deployment as
Managers allocate some Senior staff try to use the
staff rarely moves Senior staff try to use the Senior staff always use a key issue and will go to
staff across units, but this right staff for the right
a) With respect to your around. If there is a dire right staff for the right the right staff for the great lengths to make it
5.1: What happens when is not coordinated at all. job when it is simple to
staff, what happens Nothing happens. The emergency unit job, but they do not go to right job using a database happen. Shifting staff
one area of the hospital There is no register or do so, but this rarely
when different areas of different areas of the managers will call around great lengths to ensure of skills and from less busy to busier
becomes busier than the skills so allocation is done happens. For example, it
the hospital become hospital are not linked. to their colleagues to see this. This is often done in competencies. This is areas is done routinely
other very informally based on is not uncommon to see
busier than others? if there is anyone wh an uncoordinated done through one person and in a coordinated
superficial knowledge of nurses doing jobs that
ocould sub or come help manner. or department. manner, often before
skills. porters should be doing.
out. ward managers have to
call with an 'emergency.'
There are extensive lists

There is a register of staff with all employees and
60
skills, but it is not easily their specialties in an

searchable. This register easily searchable format.
Managers have some
There is a register of staff consists mainly of the job There is a register of staff These go beyond job
knowledge of the staff There are no formal
skills, but it is not posting skillset skills, competencies and descriptions and include
5.2: What tools exist to There are no tools and no and try to allocate them tools, but the senior
b) How do you know comprehensive. This description and qualifications, which is skills that staff may have
help managers best way to know what staff where they might be best managers tend to have
which tasks are better register consists solely of qualitifcations, but does accessible and easy to that were not required
allocate human resources are better suited for suited, but their an idea of the broad area
suited to different staff? basic job description not list extra use. This is used to for the job they have, but
across the hospital what tasks. knowledge is limited and of speciality of the staff
qualitifcations rather qualifications the staff allocate staff to different can be useful elsewhere.
not used most of the in some departments.
than specific skillsets. may have. There is a areas/ tasks. There is also a register
time.
"nurse bank" they can for affiliated staff who
reach out to in an are not full time staff but
emergency. can be called in an
emergency.
There is not a designated There is a designated

position that is in charge position that is in charge There is a central
There is a central
c) What kind of Many senior managers of coordinating staff of coordinating staff office/person that
There is nobody in charge office/person that
procedures do you have take care of the flow around the hospital, but around the hospital, and coordinates the
There is nobody in charge of coordinating the flow coordinates the
in place to assist staff independently if people know to generally all know to call this movement of staff
of coordinating the flow of staff around the movement of staff
5.3: How is the flow of flow between areas; for necessary. This is often call the front desk to person when they need around the hospital.
of staff around the hospital, but this might around the hospital. It is
the staff coordinated example, is there one uncoordinated and alert more staff is more staff. This person Managers can request
hospital. People do not happen through a series easy for departments to
central person or centre through series of phone needed. It is not a formal might not always be more people or offer
move around, ever. of two-way request more people or
which coordinates this calls or running around process or coordinated, available or know which them when they are not
calls/conversations. offer them when they are
process? the hospital. but eventually staff is areas have excess staff, busy, although this is not
not busy.
distributed where as people rarely call to done routinely.
necessary. report low volume.
6. Performance Tracking
A large set of indicators

There are 5-7 key
are tracked. They do
indicators that are
There are a large number cover a range of types to
tracked and can be
6.1: Types of parameters a) What kind of Key Two main indicators in Three main indicators in of indicators in addition show how the hospital is
One main indicator in recited off the top of
(such as quality of care, Performance Indicators Only government- addition to patient addition to patient to patient volume and doing overall (ie. patient
addition to patient senior management's
infection rates, time do you use to track required metrics are volume and basic volume and basic basic costs/expenditures volume, patient
volume and basic head. They cover a range
spent in A&E, admission hospital performance? tracked, such as patient costs/expenditures costs/expenditures numbers, but they mostly satisfaction, infection
costs/expenditures of types to show how the
to surgery times, b) What documents are volume and basic numbers are tracked, but numbers are tracked, but cover operations and rates, A&E average wait
numbers, but it does not hospital is doing overall
leadership performance, you using to inform this costs/expenditures it does not show how it does not show how patient satisfaction. The times and budgets).
show how well the (ie. patient volume,
staff engagement, service tracking? numbers. well the hospital is doing well the hospital is doing indicators do not show However, because of the
hospital is doing overall. patient satisfaction,
quality, etc.) overall. overall. how well the hospital is large number of
infection rates, A&E
doing overall. indicators, it is not
average wait times and
straightforward to name
budgets).
the "key" ones.
61
6.2: Tracking and

All main metrics are
compilation frequency Government metrics are Government metrics are Government metrics are All main metrics are
tracked and compiled All indicators are tracked
(note the difference Government metrics are compiled quarterly and compiled quarterly and compiled quarterly and tracked and compiled
daily and weekly. The continuously throughout
between daily eletronic c) How often are these compiled quarterly and cannot be checked in the cannot be checked in the cannot be checked in the weekly. The data is not
data is not available in the year and are
tracking available every measured? cannot be checked in the mid-term. Other mid-term. Other mid-term. Other available in real time, but
real time, but can be accessible at any point in
day vs. data available mid-term. indicators are tracked indicators are tracked indicators are tracked can be compiled at the
compiled at the end of time (real time).
monthly that details day annually. quarterly as well. monthly. end of the week.
the day/week.
to day indicator activity)
Records are
d) Who gets to see this automatically updated in
Data is only officially
data? Data is only officially All management team All management team computer systems that
seen by directors and top Records are
e) If I were to walk Data is only officially seen by directors and top has access to the data. has access to the data. all staff have access to.
6.3: Communicated to level management. Basic automatically updated in
through your hospital, seen by directors and top level management. It is Reports are compiled Reports are compiled There are various visual
whom and how reports are sent computer systems that
could I tell how it is doing level management. available to department quarterly and sent to monthly and sent to systems displaying the
quarterly to departement all staff have access to.
compared to its main heads upon request. staff. staff. targets and hospital
heads only.
indicators? performance against it
(ie. dashboards).
7. Performance Review
Performance is reviewed
in weekly meetings and
Performance is
Performance is reviewed all key items are
a) How often do you have Performance is reviewed Performance is reviewed continually reviewed in a
Performance is reviewed Performance is reviewed in monthly meetings and discussed. However,
7.1: Frequent discussions meetings to review the quarterly but limited monthly but limited series of weekly meetings
annually. bi-annually. all key items are there are no clear links
indicators? items are discussed. items are discussed. with links to staff daily
discussed. between this
'huddles'
performance review and
day to day operations.
62
Meetings include all key Senior managers of all

Meetings include departments but only key departments and
Meetings include directors and senior senior managers are some junior managers
b) Who is involved in Meetings include all key
directors and most senior managers of all key expected to attend. (on a rotating basis) are
7.2: Who is involved in these meetings? The meetings are departments but only
The meetings are managers of key departements. Nobody Senior managers do try involved in review
these meetings and how c) Who gets to see the informal and include only senior managers are
informal and include only departments. They are cares to get feedback to get feedback from meetings. Results are
are results results of these top level directors. Staff expected to attend.
top level directors. Staff informal and details of from junior staff. Results junior staff, but it is done always communicated to
communicated to the meetings? Are details of only get feedback if there Results are always
never get feedback. meeting are not well are not generally on an ad-hoc basis. staff using a range of
hospital the meeting shared with is an audit. communicated to all
communicated to other communicated to all Results are not generally tools (such as
other staff? other staff.
staff. staff, though they are communicated to all staff newsletters and
available if asked for. but are available upon handouts for stand-up
request. staff meetings)
Action plans are detailed

d) After reviewing these
with responsible people
indicators, what is the There is no sistematic Action plans are detailed
There is no sistematic There is no clear action noted, deadline and
action plan you leave There is no systematic action plan put in place. with responsible people
There is no systematic action plan put in place. plan in place after expectation from the
these meetings with? action plan. If it is made Take-aways are informal noted, deadline and
7.3: Action plan follows action plan, but people Take-aways are very meetings, but it is noted meetings. They stay
e) What steps would because of an audit, it is and not generally expectation from the
the meeting are expected to take note informal but are in minutes and senior within senior
people take after? only relating to senior followed up on, but meetings and published
of what they have to do. generally followed up on management can refer to management, however,
f) Who is responsible for staff. taken down in meeting via the hospital intranet
by senior management. those if necessary. and are not regularly
carrying out the action minutes. system or staff board.
communicated to other
plan?
staff.
8. Performance Dialogue
The manager holds set

There is a list of topics to There is a clear, formal
meetings with a clear
talk about that the agenda for the meeting.
There is no formal There is a formal agenda The manager holds set agenda. The manager
a) Can you tell me about manager brings along, The manager circulates
agenda for the meeting, for the meeting, but it is meetings with a clear circulates the agenda
a recent review meeting but he/she does not the agenda in advance so
but the manager tends to not always clear what the agenda. The manager before-hand so all know
8.1: Follow a clear you have had? What There is no set agenda share it with others participants know what
always follow the same topics are and it only circulates the agenda what will be discussed
agenda topics did you discuss in for the meeting. previously and it is not will be discussed and can
topics in the meetings so sometimes gets before hand so all know and can come prepared.
this meeting? Was there clear what the discussion come prepared. Staff can
people know what to circulated to staff before what will be discussed All staff are encouraged
an agenda? will be about and people add items to the agenda
expect. the meeting. and can come prepared. to add relevant items to
do not know what to if they wish to do so, but
the agenda and often do
expect. do not do so often.
so.
There is an appropriate
63
set of data available for

There is an appropriate the meeting, and it is
The manager brings a
set of data available for displayed in a very easy
small set of good data to There is an appropriate
the meeting. The main format to read such as in
The manager brings some the meeting, but it is set of data available for
b) What kind of data or indicators are displayed charts/graphs,
The manager brings some detailed hospital stats on limited and only helps in the meeting, though not
8.2: Meetings have information about the There is no data available in an easy format to read summarizing the
basic hospital admissions admissions and some part of the discussions. in a very easy format to
appropriate data present indicators do you for the meeting. (e.g. charts/graphs). They indicators collected
data to the meeting. financial data, but no OR Manager brings too read. (ie. No
normally have with you? are not which reflect the
other type of data. much data to the charts/graphs, just
organized/displayed in a performance of the
meeting so it is not numbers/comments)
way to promote debate, hospital. The indicators
useful.
though. chosen to discuss are
displayed in a way that
facilitates discussion.
Those present in the

The meeting is mainly meeting know they are
Those present in the
about ad-hoc problems expected to contribute to
meeting actively
The manager only tells that came up during the The manager mainly the dicussions and do so
contribute to discussions
staff about the issues and time since the previous acknowledges the actively. It is an open
Those present in the in a structured way, using
does not expect or meeting, and nothing of problems they are The manager actively forum where the
meeting actively a range of techniques to
c) What type of feedback encourage feedback on value gets discussed. The discussing in the meeting listens to any feedback manager encourages
contribute to discussions find the root cause of
do you get during these how to solve the issues. It manager discusses the and listens to any given and encourages it. open feedback and
in a structured way, using problems. The review
8.3: Get people involved meetings? feels more like a lecture issues with staff, but feedback offered without He/she does not write it creative solutions to
a range of techniques to focuses on both
in constructive feedback d) How do you get to rather than an interactive does not encourage encouraging it, but does down, but does make an problems. The manager
find the root cause of successes and failures in
solving the problems meeting. Since there is suggestions. If not actively request it or effort to implement takes notes of feedback
problems. The manager order to idenify what is
raised in the meetings? very little interaction, suggestions are given, write down comments. some suggestions when given. There is an open
takes notes of feedback and what is not working
conversations do not they are done in an He/she also rarely reminded. discussion of problems
given. in the hospital. Meetings
lead to root causes of unstructured way and implements others' but it is done in an
are an opportunity fo
issues. the manager does not suggestions. unstructured way, and as
constructive feedback
take note of possible a matter of course the
and coaching.
solutions. conversations do not
drive to the root cause of
9. Consequence Management
The manager has a list of
The manager makes a things that need to get There are clear follow up
There are clear follow up There are clear follow up
mental note of the things done after a meeting, but plans (with assigned
plans (with assigned plans (with assigned
that need to get done it is not clear how he/she tasks, responsibilities,
tasks, responsibilities, tasks, responsibilities,
after the meeting and expects to achieve them There are clear tasks that people involved, and
people involved, and people involved, and
There are no follow up asks members of staff to (no clear tasks as no come out of meetings, timeframe) that come
timeframe) that come timeframe), that come
a) After a review plans, tasks or list of do some of them (no explanation on how to but there are no out of meetings with
out of meetings with out of meetings with
meeting, how are people things that need to geet clear tasks as no get them done). (S)he individuals assigned to specific people being
specific groups being specific people being
9.1: Clear responsibilities aware of their done after the meetings, explanation on how to takes note of the list and nor timeframe allocated responsible (and only
responsible (but not responsible and
for action plan responsibilities and so there are no assigned get them done). Since asks members of staff to to tasks. There are no marginally accountable)
necessarily accountable) accountable for
actions that must be responsibilities (ie. tasks there is no record and it do some of the tasks. major consequences for for actions/tasks. They
for actions/tasks. They actions/tasks. They
taken? are not assigned to is too much for the However, there is no failure to follow through follow this up every
follow this up every follow this up every
people) manager to remember, clear responsibility and with the action plan/ month in the following
month in the following month in the following
things rarely get done accountability set, and tasks. meeting, and there are
meeting, but meeting, and with clear
and no one is the majority of things generally minor
consequences for failure consequences for failure
accountable/answerable end up being discussed consequences for not
are not clear. in completing the tasks.
for them. again in the next meeting task targets.
meeting.
64
d) How long does it

typically go between Action is taken
when a problem starts immediately after a
9.2: How long it takes to It would take over one It would take at most one It would take over six It would take three It would take about a It would take a week or
and you realize this and problem is identified.
identify and deal with a year for action to be year for action to the months for action to be months for action to be month for action to be two for action to be
start solving it? Manager is made aware
problem taken. taken. taken. taken. taken. taken.
e) Can you give me an of the progress along the
example of a recent way.
problem you've faced?
There are no measures

taken to make sure the
f) How would you make The manager notes the
problem does not There is an online
sure this problem does The manager brings it up problem in a diary, and
happen again. The The manager makes a The manager notes all reporting system with all
not happen again? in a monthly meeting to consults it from time to
solution to the problem mental note of the issue The manager notes the problems in a diary and problem and action plans
9.3: How they avoid e) If a year from now the inform staff of the issue time when there is a
is not recorded and makes sure he/she issue in a diary, but the details how the problems in detail which the
having the same problem problem were to happen and have a record, but problem to see if they
anywhere. If the problem brings it up in an annual diary is not used for were solved. This is used department heads,
again again, how would you sees it as a problem of have figured it out
happened again, the meeting, but nothing anything proactive. to help prevent similar nurses and other staff
know if and how you the past and that they before. There is nothing
manager would not be formal. future problems. have access to and follow
dealt with such a should move onwards. done to prevent future
aware/remembers that up on a regular basis.
problem before? problems, however.
they faced a similar
problem in the past.
10. Balance of Targets/Goal Metrics
10.1: Clarity and Balance The hospital has clinical

There is a general sense There is a general sense
of Targets/Goal Metrics goals as well as other
that they would like to that they would like to Clinical outcome goals, as
(Examples of clear and types of goals, such as
improve one main clinical improve two or more There are clinical well as other types of
tangible goals are: There are no goal The clinical goals are efficiency outcomes,
a) What goals do you outcome measure (ie. main clinical outcome outcome goals and goals such as efficiency
"decrease infection rates metrics, so no definition absolute and tangible, financial outcomes and
have set for your "infection rates", "re- measures iie. "infection financial goals, and they as well as financial
by 50%" or "increase either. Manager struggles such as "decrease operational outcomes.
hospital? admission rates"), but no rates", "re-admission are defined in absolute outcomes, are defined in
handwashing rate to to answer this question. infection rates by 50%". They are all defined in
absolute numbers or rates"), but no absolute and tangible measures. absolute and tangible
97%", or "offering two terms of
percentages regarding numbers or percentages measures.
nurse development absolute/tangible and
how much. regarding how much.
courses per year") value-added measures.
65
There is a small range of A range of goals

goals for the hospital (measured in terms of
There is a small range of There is a small range of There is a small range of There is a small range of
including year-end absolute and value-
goals that are defined for goals that are defined for goals that are defined for goals that are defined for
patient volume or patient added measures) are
b) Can you tell me about The only hospital goal the district and the the district, the hospital the district, the hospital the district, the hospital
10.2: Set at the district, satisfaction, but they are defined for the district,
any specific goals for metric is year-end hospital as a whole but as a whole, and for as a whole, departments as a whole, departments
hospital, departmental not very clear, in addition the hospital,
departments, doctors, patient volume or patient not for levels within the departments but not for and for individuals within and for individuals within
and individual levels to a loose goal that is tied departments, and for
nurses and staff? satisfaction. hospital (including individuals within the the hospital (including the hospital (including
to a government/board individuals within the
departments, doctors, hospital (including senior doctors and senior and junior doctors,
target (such as improving hospital (including senior
nurses, staff). doctors, nurses, staff). nurses). nurses and staff).
the hospital overall and junior doctors,
ranking). nurses, staff).
Goals relate directly to

government targets Goals are set based on Goals are set based on
c) How are your goals Goals are set based on
Goals relate directly to which are tied to the internal targets based on internal targets based on
linked to patient Goals relate directly to internal targets based on
government targets. overall system health a range of patient a range of patient
outcomes? government targets. BUT a range of patient
10.3: Linked to patient Manager cannot explain outcomes, but with some outcomes, as well as outcomes, as well as Goals are set based on
d) How are your hospital manager explains or outcomes and also
outcomes and defined by why the goals were regard for a internal government-imposed government-imposed internal and external
goals linked to the goals understands that these following government-
internal and external chosen, there is not a hospital benchmark targets. The manager targets. The manager factors based on a range
of the health system goals are losely tied to imposed targets. The
factors particularly clear reason (decided partialy based checks around with routinely checks with of patient outcomes.
(district, national)? the overall system health manager does not
for determining these on realistic nearby hospitals to nearby and region-level
outcomes. actively seek outside
goals. improvements on ensure their goals are hospitals to ensure their
information.
previous years' reasonable. goals are reasonable.
outcomes).
11. Interconnection of Targets/Goals
A set of goals get trickled A set of goals get trickled

A set of goals get trickled A set of goals get trickled
down from the health down from the health
A set of goals get trickled down from the health down from the health
a) What is the system to the hospital, system to the hospital.
Only one overall goal down from the health system to the hospital, system to the hospital.
11.1: Motivation and motivation behind your Goals do not trickle down but they are only clear to Goals are not only clear
gets trickled down to the system to the hospital but they are only clear to Goals are clear to
clarity of goals through goals? b) Are the through the health the manager and some but have significant buy-
hospital, though it is but they are not very the manager. Senior manager, heads of
the hierarchy chain goals clear to you and system or the hospital. senior doctors and heads in from managers, heads
unclear and vague. clear even to the clinicians and other staff departments, doctors
others in your hospital? of departments. Other of departments, doctors
manager. do not have clarity on the and other staff in the
staff do not have clarity and other staff in the
hospital goals. hospital.
on the hospital goals. hospital.
66
There is no formal
The manager will Once per year, doctors At least twice per year, Doctors and nurses have
process by which the
The manager talks to reiterate the hospital and nurses have doctors and nurses have professional
manager communicates
his/her staff members goals in their annual professional professional development meetings
c) How are these goals The manager tells staff in the hospital and
sporadically throughout meeting, and has development meetings to development meetings to every month to revise
11.2: Goals are well cascaded down to the the annual meetings that individual goals to
the year to tell them how irregular meetings with revise their goals and revise their goals and their goals and ensure
communicated within the different staff groups or their goal is to improve, clinicians, but he/she
they should be doing. clinicians to talk about ensure they're proper. ensure they're proper. they're proper. The
hospital to individual staff but nothing very does use an informal
ADD THINGS HERE TO specific goals. (S)he only The manager keeps track The manager keeps track manager keeps track of
members? concrete. system of word-of-mouth
DIFFERENTIATE BTW A does this when there is a of clinicians' of clinicians' clinicians' development
by talking to them in the
1.5 AND 2 problem, and not as a development and their development and their and their patient
hallways and ad-hoc
matter of routine. patient outcomes. patient outcomes. outcomes.
meetings.
Clinicians have a clear Clinicians fully

The manager knows what
Clinicians have an idea of Clinicians have an idea of understanding of the understand how goals
The manager knows what the hospital as a whole
the patient outcome the goals for their goals for their are aligned and linked at
11.3: Breaking down big d) How are your unit There are no specific the hospital as a whole must achieve in terms of
goals for their departments in terms of departments in terms of system level and how
goals into smaller ones targets linked to overall goals for staff, only large must achieve in terms of patient outcome goals,
departments, but do not patient outcomes, and patient outcomes and they increase in
and linking to individual hospital performance goals for the health patient outcome goals, and (s)he breaks it down
have specific goals some specific goals operational/staff specificity as they trickle
goals and its goals? system. but (s)he does not break by department area only
regarding professional regarding professional development and how it down, ultimately defining
it down by department. (not by individual
development. development. affects their unit and the individual expectations
doctors/nurses).
hospital as a whole. for all.
12. Time Horizon of Targets/Goals
There is a good balance

of short-term, mid-term
There is a good balance
and long-term goals for
of short-term and mid-
all levels of the health
12.1 :A range of short, term goals for all levels
system. (ie. Long term
mid-term, long-term of the hospital system. There hospital has a
The hospital does not The hospital has annual The hospital has mostly are, for example, 5-year
goals a) What kind of time- The hospital has mostly (ie. mid-term goals are 1- range of short-term and
have a time-scale for goals that relate to the annual goals and a few plans of construction,
scale are you looking at annual goals and a few year plans to decrease mid-term goals, as well
their goals (or they do following years' basic short-term and long-term growth rates. Mid-term
Short-term: under 1 year with your goals? short-term goals. 'infection rates' by x%, as at least one long-term
not have goals). indicators, but not more. goals. goals are 1-year plans to
Mid-term: 1 year and short-term goals are goals.
decrease 'infection rates'
Long-term: over 1 year to improve hand-washing
by x%. Short-term goals
rates to 97% by next
are to improve hand-
quarter/month.)
washing rates to 97% by
next quarter/month.)
67
The hospital focuses on

The hospital focuses on
both the short and long
both the short and long
The hospital does not term goals, keeping track
term goals, keeping track The hospital focuses on
have a time-scale for The hospital focuses on of their short run goals to
b) Which goals would you of their short run goals to all goals, keeping track of
their goals (or they do The hospital focuses only short term goals, but The hospital focuses on ensure they make the
12.2: Emphasis of goals say get the most ensure they make the their short run goals to
not have goals), so on short term goals. keeps in mind the mid- mid-term goals. long run goal, though
emphasis? long run goal. Sometimes ensure they make the
cannot have a focus in term goals. they often have to
readjustements have to mid and long run goals.
one time frame. extend the long-run goal
be made, but it is not
because they missed too
often.
many short-term goals.
The long term and short Long-term goals are

Long-term goals are
The long term and short term goals are set translated into specific
c) Are long-term and translated into specific
The hospital does not term goals are set independently but short-term targets so
short-term goals set The hospital only has The hospital only has short-term targets so
12.3: Interlinked goals have a time-scale for independently, so it is somewhat aligned with that short-term targets
independently? annual goals, so there is long term goals, so there that short-term targets
that staircase from short their goals (or they do possible to meet all short each other, so it is become a "staircase" to
d) Could you meet all nothing to link to longer is nothing to link to other become a "staircase" to
to long-term not have goals), so term goals and miss long possible to meet all short reach long-term goals.
your short term goals but goals. goals. reach long-term goals.
cannot be interlinked. term goals and it term goals and miss long However, it could happen
miss your long-run goals? Long-term goals are
happens often. term goals but it does not that long-term goals are
always reached.
happen often. not reached.
13. Stretch of Targets/Goals
The manager and the

The manager says that The manager and the staff push for aggressive
the goals are very very staff push for aggressive goals, and find that they
The managers and the
hard, but if they push a The manager and the goals, and find that they can't always meet them
a) How tough are your staff believe they have
The manager says that lot they can get there. Or The manager and the staff push for aggressive can't always meet them because they're
goals? Do you feel aggressive goals, but they
their goals are too easy they say the goals are staff believe they have goals, and find that they because they're genuinely hard, but they
13.1: Goals are tough but pushed by them? do tend to meet them
(never pushed), or too very very easy, but they aggressive goals, but they can't always meet them genuinely hard, but they do make it 80-90% of the
achievable (80 to 90% of b) On average, how often 100% of the time.
hard (always pushed too do still try to get above do tend to meet them because they're do make it 80-90% of the time. When goals are
the time) would you say that the Because of this, they
much). Manager finds the goals since they know 100% of the time and be genuinely hard, but they time. When goals are easily met, goals are
hospital/department create their own goals of
them ridiculous! this. Principal still finds satisfied with the results. do make it 80-90% of the easily met, goals are stretched. If goals are
meets its goals? slightly overreaching the
them ridiculous but at time. stretched. No re- never met, then there is
goal (ie. 105%)
least tries to do evaluation is made for also a re-evaluation
something about them! goals never met. process though it is
stringent.
68
Goals are set only The manager compares

internally and do not and benchmarks their
The manager compares The manager compares
take into account goals with some hospitals The managers compares The manager compares The manager uses a wide
13.2: Goals are set with and benchmarks their their goals with those of
c) How are your goals external factors or he/she hears about from and benchmarks their their goals to a limited range of internal and
reference to external goals with hospitals in the government health
benchmarked? clinicians' feedback. doctors and nurses, but goals with hospitals in set of internal and/ or external benchmarks to
benchmarks the village/city, but not boards, but not beyond
There are no benchmarks doesn't look externally the district. external benchmarks. set their goals.
the district. that.
or comparisons with for meaningful
other hospitals. comparisons.
The manager keeps the Goals are demanding for

Goals are demanding for
d) Do you feel that all the same goals every year The manager tries to most department/areas,
a few department/areas. Goals are demanding for
departments/areas have and does not bother to make goal difficulty but there are some areas
13.3: Goals are equally The manager does not There are some areas most department/areas, Goals are equally
goals that are just as check if some equally distributed to which have slightly
difficult/demanding for set goals for different which have considerably but there are some areas demanding for all
hard? Or would some departments have everyone, but never easier goals than others,
all department/areas. easier goals than others. which have slightly department/areas.
areas/departments get easier/harder goals than checks if this is actually so an effort is made to
(ie. Cardiology has easier easier goals than others.
easier goals? others as a result of true. adjust targets
goals than Orthopedics)
changing circumstances. accordingly.
14. Clearly defined accountability for clinicians
Clinicians take active

There is involvement of
roles in achieving both
Clinicians are not directly There is an annual clinicians in achieving
clinical and cost targets
involved and are rarely There is some informal practice of asking financial targets. They
There is involvement of for the hospital. They
a) Can you tell me about asked for advice in how involvement of clinicians clinicians for input in understand what the
clinicians in achieving actively engage medical
14.1: What is the role of the role that clinicians to proceed with certain in the department, but it terms of cost targets, but financial targets are and
No role at all. Clinicians both clinical and financial supplies companies to
clinicians in achieving have in improving targets. When they are, it is ad-hoc and only when this survey is only sent to that they are expected to
are simply consultants. targets. They are both procure cheaper yet high
targets performance and is not taken too seriously. issues arise. When help is top level clinical contribute to the
considered part of the quality materials and
achieving targets? It is considered to be a requested, it is taken managers and the discussions, but clinical
job. drugs, and sit on
job of the accountants seriously. response rate is not very duties are considered to
committees on possible
only. high. be the main part of the
usage improvement and
job.
cost reductions.
69
No formal accountability, Formal accountability

but senior managers and Formal accountability is Formal accountability is across quality service and
b) How are individual No formal accountability. No formal accountability,
No accountability. They colleagues expect those present at the top level, present at all levels. cost dimensions with
14.2: What is the clinicians responsible for Joining a committee on but informally the senior
are not held responsible involved to take it with some consequences There are consequences effective performance
accountability clinicians delivery of targets? Does cost reduction might be a managers attribute some
for anything other than seriously. Performance diffused within teams for for not reaching targets, management and
have to targets this apply to cost targets required chore given to merit if the clinicians to
clinical quality. can sometimes be lower levels rather than although these may not consequences for good
as well as quality targets? some junior people. do well.
informally taken into at specific people. be consistently applied. and bad performance
account in assessments. exist.
Clinician leadership in
this regard is part of the
There are workshops
culture of the hospital
c) How do clinicians take organized to explain the Clinicians and staff are
Clinicians only join if they Clinicians get involved if and all clinicians and staff
on roles to deliver cost importance of financial fully aware of the
14.3: Who defines the are required to do by the Clinicians get involved if top management or are fully aware of this
improvements? Are they Clinicians do not take on targets to all staff and importance of financial
accountability of government or the top management pushes colleagues invite them to when they join the team.
selected for this role or roles. clinicians, and some targets, and are expected
clinicians governing body of the them to do so. do so, but there is not All staff and clinician
do they volunteer? Can volunteer to lead the to contribute to these as
hospital. much initial enthusiam. levels (junior and senior)
you think of examples? charge for a few months part of their job.
are held jointly
as part of a team.
responsible for achieving
clinical and cost targets.
17. Making Room for Talent/ Removing Poor Performers
Good performers are

identified on a range of
observed patient
Good performers are There is a formal but There is a formal set of
a) How do you know who There is no formal or outcome results, but There is a formal set of
identified only on the small/narrow range set criteria by which good
your best doctors/nurses informal identification of nothing formal (ie. The There is a formal set of criteria by which good
observed patient of criteria by which good clinicians are identified
are? good performers (ie. The manager can tell who the criteria by which good clinicians are identified
outcome (ie. The performers are identified and it is done regularly
17.1: Identification of b) What criteria do you manager cannot tell you best doctors/nurses are clinicians are identified and it is done regularly.
manager can tell who the BUT it is NOT done and with a broad range
poor performers use and how often do which doctors/nurses are by looking at the patient and it is done regularly There is a broad range of
best doctors/nurses are regularly. OR There is no of criteria. These include
you identify these good and which ones are satisfaction scores, re- but with a small/narrow criteria, though they
by looking at the patient formal and clear set of operational duties as well
clinicians? not: "everyone is a great admission rates, and range of criteria. mainly focus on
satisfaction scores, but criteria, but the review is as leadership and
performer!"). handwashing compliance operational duties.
nothing else). formally done regularly. teamwork.
rates, but it's all from
memory or ad-hoc
checking of records).
Bad performance is
addressed consistently
and with support,
Bad performance is
70
Bad performance is beginning with targeted

addressed consistently,
e) If you had a clinician Bad performance is addressed consistently Bad performance is interventions. Poor
and with support for
who is struggling or who addressed consistently, and with support, and addressed consistently performers are
improvement but still no
could not do their job but with not much with real consequence and with support, temporarily moved out of
Bad performance is real consequence (ie. The
properly, what would you consequence (ie. The attached to continued beginning with targeted their positions in order
addressed inconsistently manager always talks to
17.2: Methods of dealing do? Bad performance is not manager will always talk bad performance (ie. The interventions. Poor for the problem to be
(ie. Sometimes the the clinicians who are
with poor performers f) What if you had a addressed at all. to the clinicians who are manager tries to improve performers are given a addressed immediately
manager deals with it, underperforming, and
clinician who would not underperforming, but the clinician, but if it timeframe in which to while they receive
but not always). does offer
do their job, as in does not offer coaching doesn't work, the improve, but if they do coaching/training to
coaching/training to
slacking off, what would or support for clinician can be moved or not succeed the clinician improve. Poor
improve them but if they
you do then? improvement). fired after a certain can be moved or fired. performers are also
don't, not much
time). moved out of the
happens).
hospital when
weaknesses cannot be
overcome.
Action is not taken

Action is taken Action is taken Action is taken
It takes more than one immediately, but it is
d) How long would a immediately, but it can immediately, but it can immediately, it takes very
year to address any taken at some point
clinician stay in his/her There is no real time- take one year for a bad take around 6 months for little time for a bad
issues (ie. More than one during the year, up to
position while not There is no action scale in mind, but clinician to be removed a bad clinician to be clinician to be removed
whole year goes by one year (ie. actions
17.3: Time scale of action performing well? because nothing is eventually there is some from the position removed from the from the position
without any action could be taken
e) How long would it take identified or addressed. action that is taken (ie. It (possibly to other position (possibly to (possibly to other
because the manager throughout the year, but
to address the issue once can take a few years). positions of less other positions of less positions of less
waits for multi-year not immediately.
you find out about it? responsibility, not responsibility, not responsibliity, not
results). However, it also does not
necessarily fired). necessarily fired). necessarily fired).
take over one year).
18. Promoting High Performers
Good performers are

identified on a range of
observed patient
Good performers are There is a formal but There is a formal set
c) How do you know who There is no formal or outcome results, but There is a formal set of
identified only on the small/narrow range set of criteria by which
your best doctors/nurses informal identification of nothing formal (ie. The There is a formal set of criteria by which good
observed patient of criteria by which good good clinicians are
are? good performers (ie. The manager can tell who the criteria by which good clinicians are identified and
outcome (ie. The performers are identified identified and it is
18.1: Identification of d) What criteria do you manager cannot tell you best doctors/nurses are clinicians are identified it is done regularly and with
manager can tell who the BUT it is NOT done done regularly. There
good performers use and how often do which doctors/nurses are by looking at the patient and it is done regularly a broad range of criteria.
best doctors/nurses are regularly. OR There is no is a broad range of
you identify these good and which ones are satisfaction scores, re- but with a small/narrow These include operational
by looking at the patient formal and clear set of criteria, though they
clinicians? not: "everyone is a great admission rates, and range of criteria. duties as well as leadership
satisfaction scores, but criteria, but the review is mainly focus on
performer!"). handwashing compliance and teamwork.
nothing else). formally done regularly. operational duties.
rates, but it's all from
memory or ad-hoc
checking of records).
Hospital systematically
Hospital provides provides professional/career
professional/career opportunities for top
Professional/career Hospital provides
71
Professional/career opportunities for top clinicians based on their

Professional/career development professional/career
development clinicians, such as individual evaluation and
development opportunities exist for all opportunities for top
e) What types of career opportunities exist for all additional training as a professional development
opportunities exist for all clinicians, such as clinicians, such as
and professional clinicians, such as reward for good plan, such as additional
clinicians, such as additional training, but additional training as
development There is no additional training, but performance. This training as a reward for good
additional training, but these come only from a reward for good
18.2: Development of opportunities are professional/career these come only from includes not only performance. This includes
these come only from mandatory government performance. This
good performers provided? development for any mandatory government government training, but not only government
mandatory government rules. Manager actively includes not only
f) How do you tailor clinicians. rules. Managers don't also hospital initiatives. training, but also hospital
rules. Manager actively encourages clinicians to government training,
opportunities for actively encourage However, this does not initiatives. The hospital
encourages clinicians to attend these, and the but also hospital
particular clinicians? clinicians to attend (don't happen very often or in a allows these clinicians to
attend these, but does manager keeps track of initiatives. This is
discourage, but no systematic manner. (ie. determine which classes
not keep track. each clinician's typically done once a
encouragement either). The hospital initiative has they want to attend and
development. year.
happened once/twice in gives them leadership
the past few years). positions and additional
responsibilities within the
d) Which criteria do you

use to make decisions
about additional
opportunities for
Clinicians are promoted
clinicians within the Clinicians are promoted Clinicians are promoted
primarily based on years Clinicians are promoted Clinicians are
hospital (performance, There is no promotion of with consideration for based on how good their
of service (experience), with some consideration promoted based on
years of service, etc.)? the clinicians, or their qualifications and performance is, with no Clinicians are promoted
18.3: Reason for but some consideration for years of service how good their
e) If we have two nurses, promotion is based only some performance, but importance given to purely based on how good
promotion for performance or (experience) and also performance is, and
one has been at the on years of service (ie. no consideration is given years of service their performance is.
qualifications is used if performance or with some regard to
hospital two years and experience). to years of service (experience), and less to
clinicians have similar qualifications. qualifications.
the other for five years, (experience). qualifications.
years of service.
and the nurse who is
there for two years is
better, who would be
promoted faster?
19. Managing Talent
Hospital has no formal Hospital has some

a) How do you ensure Hospital has no formal Hospital controls the Hospital actively controls
control over the number control over the number
you have enough staff of Hospital has no formal control, but can make Hospital controls the number and type of staff the number and type of
and type of staff needed and type of staff they
the right type in the control, but can make suggestions regarding number and type of staff they have in the staff they have in the
to meet their goals. Ie. have in the hospital, but
19.1: Who makes hiring hospital? suggestions regarding their needs and very they have in the hospitall, and will review hospital, often making
central authority of require
decisions, how are they b) Who decides how their needs. However, actively engages with hospitall, but only make staffing needs yearly. changes to ensure staff
health system (such as approval/permission
made many and which they don't often take an higher authorities to any changes after they Hospital will make a hiring strategies are well-
government or governing (sign-off) from higher
clinicians (full-time active role in trying to get make sure they get the witness a need for it at change if they witness a aligned with the hospital
board) decides how authorities, which can
regular members of staff) the staff they need. type and number of staff the end of the year. need for it an the end of goals and linked to
many staff the hospital take a while to come
to hire? they need. the quarter. patient outcomes.
gets through.
72
Senior management
Senior management
Senior management believes that attracting
Senior management believes that attracting
The manager mentions The manager believes that attracting and developing talent is
believes that attracting and developing talent is
that they do the best acknowledges that and developing talent is important and there is a
and developing talent is important and there is a
19.2: Ensuring senior they can with what they having talented people important and there is a formal statement of this
c) How do senior They don't. The manager important and there is a regular formal statement
managers show talent is are given, and that they working in the hospital is regular informal to employees. Senior
managers show that is confused with the regular formal statement of this to employees.
a top priority for the try to give pats on the very important, but there statement of this to managers are held
attracting and developing question. of this to employees, but Senior managers are held
hospital back of the best staff is no formal process to employees, but senior accountable for their
talent is a top priority? senior managers are not accountable for their
from time to time to communicate this to the managers are not held talent pool they build
held accountable for the talent pool, although this
recognize them. staff. accountable to the talent through actual targets
talent pool they build. is not formalised through
pool they build. and rewards and forms
set targets.
part of their appraisal.
The manager follows a

d) Where do you seek
formal process of doing a
out and find staff? How is
Since hiring is out of their region-wide search,
this aligned with the
hands they do not The manager follows a putting ads in
hiring process The manager primarily
The reason for hiring new actively engage in this, The manager actively The manager follows a formal process of newspapers, attending
implemented at the bases his/her search on
clinicians is not but if a current clinician asks for referrals from formal process of putting advertising positions job fairs, and sourcing
government levels? current clinician
19.3: Seeking out determined by the refers another talented current clinicians, but ads in newspapers, and externally though job clinicians from the best
e) Do senior managers referrals, but if none are
talented candidates hospital (not done by the clinician the manager does not go outside the actively encourages sites and job fairs, and universities. The manager
get any rewards for made then places ads in
manager, but by a does pass it on to the hospital (such as placing current clinicians to refer actively encourages actively encourages
bringing in and keeping newspapers (but as a last
centralized committee). higher authorities to try ads in newspapers). other talented clinicians. current clinicians to refer current clinicians to refer
talented people in the resort).
and hire that clinician if other talented clinicians. other talented clinicians
hospital?
needed. from other hospitals and
from their personal
networks.
20. Retaining talent
The manager tries to The manager is often doing
keep an eye on his staff evaluations to understand
to ensure clinicians are and forsee any problems that
satisfied with their job might arise and to make sure
The manager always does and with the hospital in the clinicians are satisfied
The manager does a The manager always does
a structured and formal order to avoid a clinician with their job and with the
The manager has an somewhat formal "exit a structured and formal
20.1: When a clinicians "exit interview" to wanting to leave. In case hospital in order to avoid a
a) When one of your best The manager does not informal chat with the interview" to understand "exit interview" to
leaves/wants to leave, is understand why the this happens, the clinician wanting to leave. In
clinicians wants to leave question or care why the clinician to understand why the clinician wants understand why the
there a formal process clinician wants to leave manager always does a case this happens, the
the hospital, what do you clinician is leaving, they why they are leaving but to leave, but this does clinician wants to leave
followed to understand and takes note of what structured and formal manager always does a
do? just go. does not take note of any not happen in a but does not note
the reason for leaving could be improved to "exit interview" to structured and formal "exit
feedback. structured manner and is anything for future
avoid this happening understand why the interview" to understand
ad-hoc. learnings.
again in the future. clinician wants to leave why the clinician wants to
and takes note of what leave and takes note of what
could be improved to could be improved to avoid
avoid this happening this happening again in the
again in the future. future.
73
The manager has the The manager will try to

b) What would you be The hospital has an
formal authority to offer convince clinicians to stay by
able to offer to try and informal agreement that The manager has the
The manager cannot The hospital has an some extra opportunities offering a range of extra
keep that best clinicians the m anager can offer formal authority to offer
offer or do anything to informal agreement that to try and keep top opportunities and has
in your hospital? some extra opportunities some extra opportunities
20.2: What can they offer The manager cannot try and keep a top the manager can offer clinicians, and regularly formal authority to do so.
c) Could you give me an to try and keep top to try and keep top
(or do) to keep best offer or do anything to clinician in terms of extra opportunities to try does so. Their authority Beyond simply offering
example of a time when clinicians, but rarely does clinicians, and regularly
clinicians who want to try and keep a top money, but they may and keep top clnicians, generally extends over more, the manager ensures
you were able to keep a so (ie. He/she can offer does so. Their authority
leave clinician. offer them more but the manager only schedules and minor they address the clinician's
top clinician? And what more money or class generally extends over
responsibility or flexible considers this if directly monetary raises, as well reason for wanting to leave
about a clinician that you flexibility, but has only schedules and minor
time. asked by the clinician. as promotions when and adjusts other top
could not convince to done it once or twice in monetary raises.
basic HR requirements employees to prevent others
stay? the past few years).
are met. from wanting to leave.
The manager has a set

The manager has a set The manager has a set process that (s)he follows The manager has a set
process that (s)he follows process that (s)he follows to ask the top clinicians process during clinician
The manager does not The manager has
The manager treats to ask the top clinicians to ask the top clinicians how happy they are in evaluation that (s)he follows
initiate conversations informal chats with
everyone equally, how happy they are in how happy they are in their work environment. to ask the best clinicians how
20.3: What do they do to d) How would you know with clinicians and staff clinicians and staff and
regardless of their work environment. their work environment. (S)he does this to try and happy they are in their work
ensure top clinicians if your top clinicians are regarding their work has a general feeling of
performance. The (S)he does this to try and (S)he does this to try and fix any issues before environment. (S)he does this
want to stay in the happy working in this satisfaction level, but has how satisfied their
manager does not focus fix any issues before fix any issues before clinicians want to leave. to try and fix any issues
hospital hospital? an open door policy employees are. However,
especially on retaining clinicians want to leave. clinicians want to leave. This is done fairly before clinicians want to
where people can come there is no formal check
top clinicians. However, this is not done This is done fairly regularly , and is leave. This is done regularly
and talk about it. that (s)he does.
regularly and is not regularly , but not recorded, although it is and is recorded in each
recorded anywhere. recorded anywhere. not necessarily consulted clinician evaluation plan.
often.
21. Attracting talent
a) If I were a very good Despite acknowledging

clinician considering there aren't formal The manager believes The hospital offers
working either at your professional benefits that there is a good similar professional
The manager does not The manager recognizes The hospital offers a The hospital offers a
hospital or a different the hospital can offer, atmosphere in the benefits as other
21.1: Why would know how to answer this that clinicians perhaps range of better, more range of better, more
one, what would you say the manager believes the hospital, and there are hospitals nearby.
clinicians want to work at question as they have would not want to work competitive professional competitive professional
to try and get me to work hospital has some professional benefits to However, there is usually
your hospital never thought about it there, as there are other, benefits than most benefits than all other
here? informal benefits (such working there (although a waiting list for junior
before. better hospitals nearby. hospitals nearby. hospitals nearby.
b) What are the as being a "nice (s)he cannot think of clinicians wanting to join
professional benefits of atmosphere" or "family clear examples). this hospital.
working at your hospital? environment").
74
The manager frequently The manager frequently

The manager The manager usually
and actively and actively
communicates during the The manager communicates that their
c) How do clinicians know The manager only communicates the value communicates the value
first day of work of a new communicates the value hospital is a good
that working at your The manager does not communicates the value of working at their of working at their
21.2: Clinicians are aware clinicians and rarely of working at their hospital to work at
hospital is better than communicate at all that of working at their hospital in regular hospital in regular
of the benefits of communicates that their hospital in annual staff during staff meetings and
others? d) How do you their hospital is a good hospital during the first clinician evaluation clinician evaluation
working at your hospital hospital is a good place meetings (no more than huddles, and informal
communicate this to the place to work at. day of work of a new meetings, staff meetings, meetings, staff meetings,
to work at after that, but once a year in special staff gatherings/parties
clinicians? clinician, but not again. and informal gatherings. and informal gatherings.
has done so once or occasions). (any of these happening
These take place on a These happen very
twice. more than once a year).
quarterly basis. frequently.
The manager has formal,

The manager has structured follow up The manager has formal,
The manager has The manager has
informal follow up conversations with structured follow up
The manager does not informal chats in the informal follow up
21.3: How do you keep e) Do you check to see if The manager does not conversations with clinicians either conversations with
keep track at all, only hallways about whether conversations with
track that the clinicians are aware of keep track at all since clinicians either individually or in groups clinicians either
believes people know (ie. people are aware of the clinicians either
communication is the benefits of working there is no individually or in groups to ensure their beliefs individually or in groups
"oh, they know why it is benefits of working in the individually or in groups
effective at your hospital? communication. to ensure their beliefs are aligned and keeps a to ensure their beliefs
good to work here"). hospital so (s)he believes to ensure their beliefs
are aligned and keeps a written record of this, are aligned and keeps a
that they are aware. are aligned.
written record of this. but does not do this written record of this.
regularly.
6.2 1 leadership practices
75
14. Clearly defined accountability for clinicians
Clinicians take active

There is involvement of
roles in achieving both
Clinicians are not directly There is an annual clinicians in achieving
clinical and cost targets
involved and are rarely There is some informal practice of asking financial targets. They
There is involvement of for the hospital. They
a) Can you tell me about asked for advice in how involvement of clinicians clinicians for input in understand what the
clinicians in achieving actively engage medical
14.1: What is the role of the role that clinicians to proceed with certain in the department, but it terms of cost targets, but financial targets are and
No role at all. Clinicians both clinical and financial supplies companies to
clinicians in achieving have in improving targets. When they are, it is ad-hoc and only when this survey is only sent to that they are expected to
are simply consultants. targets. They are both procure cheaper yet high
targets performance and is not taken too seriously. issues arise. When help is top level clinical contribute to the
considered part of the quality materials and
achieving targets? It is considered to be a requested, it is taken managers and the discussions, but clinical
job. drugs, and sit on
job of the accountants seriously. response rate is not very duties are considered to
committees on possible
only. high. be the main part of the
usage improvement and
job.
cost reductions.
76
No formal accountability, Formal accountability

but senior managers and Formal accountability is Formal accountability is across quality service and
b) How are individual No formal accountability. No formal accountability,
No accountability. They colleagues expect those present at the top level, present at all levels. cost dimensions with
14.2: What is the clinicians responsible for Joining a committee on but informally the senior
are not held responsible involved to take it with some consequences There are consequences effective performance
accountability clinicians delivery of targets? Does cost reduction might be a managers attribute some
for anything other than seriously. Performance diffused within teams for for not reaching targets, management and
have to targets this apply to cost targets required chore given to merit if the clinicians to
clinical quality. can sometimes be lower levels rather than although these may not consequences for good
as well as quality targets? some junior people. do well.
informally taken into at specific people. be consistently applied. and bad performance
account in assessments. exist.
Clinician leadership in
this regard is part of the
There are workshops
culture of the hospital
c) How do clinicians take organized to explain the Clinicians and staff are
Clinicians only join if they Clinicians get involved if and all clinicians and staff
on roles to deliver cost importance of financial fully aware of the
14.3: Who defines the are required to do by the Clinicians get involved if top management or are fully aware of this
improvements? Are they Clinicians do not take on targets to all staff and importance of financial
accountability of government or the top management pushes colleagues invite them to when they join the team.
selected for this role or roles. clinicians, and some targets, and are expected
clinicians governing body of the them to do so. do so, but there is not All staff and clinician
do they volunteer? Can volunteer to lead the to contribute to these as
hospital. much initial enthusiam. levels (junior and senior)
you think of examples? charge for a few months part of their job.
are held jointly
as part of a team.
responsible for achieving
clinical and cost targets.

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Developing Management:

An expanded evaluation tool for developing

Renata Lemos∗ Daniela Scur†

This draft: March 2016

[Click here for the latest version]

This paper makes a methodological contribution to the literature by developing a

1. We identified three management processes - implementation, usage, and moni-

2. We expanded the survey “vertically” by disentangling and mapping these pro-

3. We expanded the survey “horizontally” to allow for greater variation of scores

Second, in terms of implementation, the WMS original methodology uses available

2.1 Identifying processes behind management practices

1. Process implementation: formulating, adopting and putting into effect man-

2.2 Expanding the instrument vertically

In short, we first produce a set of overall management, operations management and

2.3 Expanding the instrument horizontally

The horizontal expansion of the instrument is more straight-forward. In the original

Figures 1 and 2 show an example of a question to illustrate the survey expansion.

2.4 Collecting data using the Development WMS

The training consists of thorough explanations of the scoring grid in an interactive

2.5 Interpreting the management index and sub-indices mea-

Considering that we are measuring the management practices currently in use, in

• A score from 1 to 2 refers to an establishment with practically no structured

• A score from 2 to 3 refers to an establishment with some informal practices

• A score from 3 to 4 refers to an establishment that a good, formal management

• A score from 4 to 5 refers to well-defined strong practices in place which are

3 Does D-WMS provide any new meaningful vari-

3.1 Observing within-practices and between-practice varia-

As mentioned in the previous section, the expanded D-WMS instrument allows us

Within-practice variation indicates whether organizations emphasize one process over

3.2 Understanding management practices and processes data

Glewwe, P. & Muralidharan, K. (2015), Improving school education outcomes in

Muralidharan, K. & Sundararaman, V. (2015), ‘The aggregate effects of school

Table 1: Summary statistics

Panel A: Andhra Pradesh Private Schools

Panel C: Mexico Public Schools

Figure 2: Development WMS survey: example question and scoring grid

Andhra Pradesh Mexico Colombia

equal or below 0.25

Note: All correlations are significant at the 1% level.

Andhra Pradesh Mexico Colombia

equal or below 0.25

Note: All correlations are significant at the 1% level.

P4.1: Process implementation P4.1: Process implementation P4.1: Process implementation

P4.2: Process usage P4.2: Process usage P4.2: Process usage

P4.3: Process monitoring P4.3: Process monitoring P4.3: Process monitoring

P7.1: Process implementation P7.1: Process implementation P7.1: Process implementation

P7.2: Process usage P7.2: Process usage P7.2: Process usage

P7.3: Process monitoring P7.3: Process monitoring P7.3: Process monitoring

T3.1: Process implementation T3.1: Process implementation T3.1: Process implementation

T3.2: Process usage T3.2: Process usage T3.2: Process usage

T3.3: Process monitoring T3.3: Process monitoring T3.3: Process monitoring

5.1 20 management practices

Principal actively conducts scheduled

Principal states that the Principal explains that the current

Student have some influence

of their own learning through

Principal actively conducts

Principal does understand the

Principal and teachers are

The principal acknowledges

The principal reviews the

The principal has a

There is only one staff

The long term and short Long-‐term goals are

The principal has an open-‐

Vision is clear and well-‐

There are only school-‐level