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FACTORS AFFECTING EFFECTIVE PERFORMANCE
APPRAISAL IN THE PUBLIC SECTOR:
A CASE OF THE MINISTRY OF COMMUNICATION, SCIENCE
AND TECHNOLOGY
FACTORS AFFECTING EFFECTIVE PERFORMANCE
APPRAISAL IN THE PUBLIC SECTOR
A CASE OF THE MINISTRY OF COMMUNICATION, SCIENCE
AND TECHNOLOGY
By
Tumaini E. Mwipopo
A Dissertation Submitted in Fulfillment of the Requirements for the Award of
the Degree of Master of Science in Human Resources Management (MSc.
HRM) of Mzumbe University
2013
i
CERTIFICATION
We, the undersigned, certify that we have read and hereby recommend for
acceptance by Mzumbe University, a dissertation entitled Factors Affecting effective
performance Appraisal in the Public Sector: A case of the Ministry of
Communication, Science and Technology , in partial/ fulfillment of the requirements
for award of the Degree of Master Science in Human Resource Management (MSc.
HRM) of Mzumbe University.
……………………………………..
Major Supervisor
………………………………….
Internal Examiner
………………………………
External Examiner
Accepted for the Board of MUDCC
…………………………………………………………
CHAIRPERSON, FACULTY/DIRECTORATE BOARD
ii
DECLARATION
AND
COPYRIGHT
I, Tumaini Mwipopo, declare that this thesis is my original work and it has not been
presented and will not be presented to any other University for a similar or any other
degree award.
Signature:
Date:
© 2013
This dissertation is a copyright material protected under the Berne Convection, the
Copyright Act 1999 and other international and national enactments, in that behalf,
on intellectual property. It may not be reproduced by any means in full or in part,
except for short extracts in fair dealings, for research or private study, critical
scholarly review or discourse with acknowledgement, without the written permission
of Mzumbe University on behalf of author.
iii
ACKNOWLEDGEMENT
Foremost, I give thanks to the almighty God for his abundant grace guidance,
strength and wisdom that he has given me throughout my studies.
My sincere gratitude to my Supervisor, Ms. Sarah R. Mngoya of Dar es Salaam
School of Business (Mzumbe University) for her invaluable time and
encouragement, opinions, positive contributions and guidance in my entire research
which has enabled me to complete this thesis report successfully.
I acknowledge and thank my employer in the MCST for the opportunity and
financial support in my career. I also thank the Director of Administration and
Human Resource Management Mr. Solanus S. Nyimbi, the Assistant Director Mrs.
Mazoea Mwera for their patience during my pursuing of the Degree of Master of
Science in Human Resource Management of Mzumbe University.
My deepest appreciation goes also to Dr. Jaraj S Kikula of Mzumbe University main
campus for his constructive comments and advice during the two years I have been
studying here. Further, I would like to extend my appreciation to my colleagues Mr.
Deogratus Ngaiza, Mr. Elisha Msengi, Akaunsia Muro and Leah Sanga for their
material support and encouragement that enabled me to complete my report with
ease.
I am grateful to my husband Mr. Robert Mgeni and my daughter Joan Mgeni, for
their support and love and most importantly for being there for me. Last but not least
I thank my late father Mr. Ernest Mwipopo and my Mother Bertina who have always
been my well-wisher and ardent supporter in my Academic life.
Finally, I extend my gratitude to the Heads of Departments, Units and the staff in the
Ministry for their time, participation and cooperation during the data collection. May
God Bless You All indeed!
iv
DEDICATION
This dissertation is dedicated to the most important people in my life, my husband,
my daughter, my mother and my late father and my lovely brothers and sisters.
v
LIST OF ABBREVIATIONS
CSRP - Curl Service Reform Program
HRM - Human Resource Management
MCST - Ministry of Communication Science and Technology
MDA’s - Ministry, Independent Department and Agency, Regional
OPRAS - Open Performance Review Appraisal System
PSME - Public Service Management and Employment Policy
PSRP - Public Service Reform Program
PSRP - Public Services Reform Program
Secretariats.
URT - United Republic of Tanzania
vi
ABSTRACT
The main objective of this study was to assess the factors affecting Performance
Appraisal (OPRAS) in the Ministry of Communication, Science and Technology
(MCST). The specific focus was on determining the knowledge and practices
regarding OPRAS among employees in MCST, assessing employee’s involvement in
performance appraisal function; examining how OPRAS is carried with the intent of
achieving the objectives of improving employees and organization performance and
identifying the factors that inhibiting performance Appraisal in MCST.
The sample of the study was 30 from a population of 124 and this sample was
selected through stratified and simple random sampling. Both primary and secondary
data were used in collecting the data. The former, used questionnaires, interview
guide, and observation. The latter used documentary review in terms of reviewing
performance reports, articles and books.
The study found that employees who are knowledgeable attended training and
participating in OPRAS. However, the main factors affecting performance Appraisal
were identified as difficult in setting objectives: OPRAS not linked to reward and
inadequate employee training. The study further revealed that, OPRAS is not
successful implemented. There were problems in objectives cascading and OPRAS
form was not user friendly. Generally, it was concluded that OPRAS is good but
appraises and appraised must be trained, OPRAS needs to be linked to performance
rewards and provision of adequate resources. It was therefore, recommended that,
appraisers and appraises should be trained, good performance should be rewarded,
top management should support OPRAS and OPRAS form should be amended
accordingly.
vii
TABLE OF CONTENTS
Pages
CERTIFICATION ...................................................................................................... i
DECLARATION ANDCOPYRIGHT ..................................................................... ii
ACKNOWLEDGEMENT ........................................................................................ iii
DEDICATION ........................................................................................................... iv
LIST OF ABBREVIATIONS ................................................................................... v
ABSTRACT ............................................................................................................... vi
LIST OF TABLES .................................................................................................... xi
LIST OF FIGURES ................................................................................................. xii
CHAPTER ONE ........................................................................................................ 1
PROBLEM SETTING ............................................................................................... 1
1.1 Introduction ................................................................................................. 1
1.2 Background to the Problem ......................................................................... 1
1.3 Statement of the Problem ............................................................................ 3
1.4 Objective of the Study ................................................................................. 4
1.4.1 Main Objective ............................................................................................ 4
1.4.2 Specific objectives ....................................................................................... 4
1.5 Research Questions ..................................................................................... 4
1.6 Scope of the Study ....................................................................................... 5
1.7 Significance of the Study ............................................................................. 5
1.8 Limitations ................................................................................................... 5
1.9 Delimitation ................................................................................................. 6
CHAPTER TWO ....................................................................................................... 7
LITERATURE REVIEW .......................................................................................... 7
2.1 Introduction ................................................................................................. 7
2.2 Definitions and Concepts ............................................................................ 7
2.3 History of Performance Appraisal System .................................................. 8
2.4 Open Performance Appraisal and Review System (OPRAS) ..................... 9
2.5 Importance of Appraisal ............................................................................ 10
2.6 Objectives of Performance Appraisal ........................................................ 12
2.6.1 Salary Increase. .......................................................................................... 12
2.6.2 Promotion .................................................................................................. 12
2.6.3 Training and Development ........................................................................ 13
2.6.4 Feedback .................................................................................................... 13
2.6.5 Pressure on Employees .............................................................................. 13
2.7 Performance Appraisal Process ................................................................ 14
2.7.1 Establishing Performance Standards ......................................................... 14
2.7.2 Communicating the Standards ................................................................... 14
2.7.3 Measuring Performance ............................................................................. 15
2.7.4 Compare with Standards ............................................................................ 15
2.7.5 Discuss the Appraisal ................................................................................ 15
2.7.6 Taking Corrective Action .......................................................................... 15
2.8 Appraisal Methods ..................................................................................... 16
viii
2.8.1 Essay evaluation ........................................................................................ 16
2.8.2 Critical Incident Technique ....................................................................... 17
2.8.3 Checklists and Weighted Checklists ......................................................... 18
2.8.4 Graphic Rating Scale ................................................................................. 19
2.8.5 Behaviorally Anchored Rating Scales ....................................................... 20
2.8.6 Forced Choice Method .............................................................................. 22
2.8.7 Management by Objectives (MBO) .......................................................... 23
2.8.8 Work Standards Approach......................................................................... 24
2.8.9 Ranking Methods ....................................................................................... 25
2.10 Vroom’s Expectancy Theory ..................................................................... 27
2.10.1 Valence ...................................................................................................... 27
2.10.2 Expectancy................................................................................................. 27
2.10.3 Instrumentality ........................................................................................... 28
2.10.4 Expectancy................................................................................................. 28
2.10.5 Instrumentality ........................................................................................... 28
2.10.6 Critical Evaluation ..................................................................................... 29
2.11 Essentials of Effective Appraisal ............................................................... 30
2.12 Performance ............................................................................................... 31
2.13 Empirical Studies on Performance Appraisal ............................................ 32
2.4 Conceptual Framework.............................................................................. 34
CHAPTER THREE ................................................................................................. 37
RESEARCH METHODOLOGY ........................................................................... 37
3.1 Introduction ............................................................................................... 37
3.2 Research Design ........................................................................................ 37
3.3 Area of the Study ....................................................................................... 38
3.4 Study Population ...................................................................................... 38
3.5 Sampling technique ................................................................................... 39
3.5.1 Sample Size ............................................................................................... 39
3.5.2 Data Collection Methods ........................................................................... 39
3.5.3 Primary Data Collection ............................................................................ 39
3.5.4 Interview .................................................................................................... 39
3.5.4 Questionnaire ............................................................................................. 40
3.5.5 Observation ................................................................................................ 40
3.5.6 Secondary Data. ......................................................................................... 41
3.5.7 Textbooks .................................................................................................. 41
3.5.8 Organization Reports ................................................................................. 41
3.5.9 Theses and Dissertations ........................................................................... 41
3.6 Data Analysis and Presentation ................................................................. 42
3.6.1 Qualitative Method .................................................................................... 42
3.6.2 Quantitative Method .................................................................................. 42
3.7 Variable and Measurement procedure ....................................................... 43
CHAPTER FOUR .................................................................................................... 44
PRESENTATION OF FINDINGS ......................................................................... 44
4.1 Introduction ............................................................................................... 44
ix
4.2 General information about the Ministry of Communication, Science and
Technology (MCST) ................................................................................. 44
4.2.1 Vision and Mission .................................................................................... 45
4.2.2 Departments and Support Units of the MCST .......................................... 45
4.2.3 The roles and Functions ............................................................................. 46
4.3 Characteristic of the Study Respondent..................................................... 47
4.3.1 General Background .................................................................................. 47
4.3.1.1 Age ............................................................................................................ 47
4.3.1.2 Gender ....................................................................................................... 47
4.3.1.3 Level of Education..................................................................................... 48
4.4 Objectives of OPRAS ................................................................................ 48
4.4.1 Effectiveness of OPRAS ........................................................................... 49
4.4.2 Performance Goals and Objectives ........................................................... 50
4.4.3 Timely and Accurate Feedback on Performance and Growth ................... 50
4.4.4 Appraisal Process is Completely Objective .............................................. 51 CHAPTER FIVE ...................................................................................................... 53
DISCUSSION OF FINDINGS ................................................................................ 53
5.1 Introduction ............................................................................................... 53
5.2 Factors that Hinder the Effectiveness of OPRAS in MCST ...................... 53
5.2.1 Lack of Suffiencient Training ................................................................... 54
5.2.2 Lack of Performance Feedback ................................................................. 54
5.2.3 Link between Rewards to Performance Appraisal result to new system in
the Public Service ...................................................................................... 55
5.3 The knowledge and Attitudes towards OPRAS among Employee in the
Ministry ..................................................................................................... 55
5.3.1 Perceived Justice in performance Appraisal Process ................................ 56
5.4 The extent to which OPRAS can help to improve Employees’ Performance
and that of Organization ............................................................................ 57
5.5 The Challenges Faced When Implementing OPRAS ............................... 58
CHAPTER SIX ........................................................................................................ 60
SUMMARY, CONCLUSIONS, RECOMMENDATIONS AND POLICY
IMPLICATIONS ..................................................................................................... 60
6.1 Introduction ............................................................................................... 60
6.2 Summary .................................................................................................... 60
6.3 Conclusion ................................................................................................. 61
6.4 Recommendation / Policy Implication ...................................................... 62
6.4.1 Appropriate Training Required ................................................................. 62
6.4.2 Good Performance Should be Rewarded .................................................. 62
6.4.3 Management Role towards OPRAS .......................................................... 63
6.4.4 Appraisal System is Designed More Efficiently and Effectively .............. 63
6.4.5 Review of Strategic Plan ........................................................................... 63
6.4.6 Enhance Performance Feedback ................................................................ 63
6.4.7 Establish link between rewards and Performance Result .......................... 63
6.4.8 Provide Training towards OPRAS Practice............................................... 64
6.4.9 Introduce participatory approach in the planning process ......................... 64
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6.5 Areas of further studies.............................................................................. 64
6.5.1 Specific Training ....................................................................................... 64
6.5.2 Appraisal Form .......................................................................................... 64
REFERENCES ......................................................................................................... 65
APPENDICES .......................................................................................................... 71
Appendix 1:Organization Structure ......................................................................... 71
Appendex 2 .............................................................................................................. 72
xi
LIST OF TABLES
Pages
Table 2.1: Example of Typical Graphic Rating Scale ........................................... 19
Table 4.1: Age ....................................................................................................... 47
Table 4.2: Gender .................................................................................................. 48
Table 4.3: Education Level ................................................................................... 48
Table 4.4: Objectives of OPRAS .......................................................................... 49
Table 4.5: Effectiveness of OPRAS ...................................................................... 50
Table 4.6: Goals and Performance Objectives ...................................................... 50
Table 4.7: Timely and Accurate Feedback on Performance and growth .............. 51
Table 4.7: Appraisal Process ................................................................................. 51
xii
LIST OF FIGURES
Pages
Figure 2.1: A dynamic Performance Appraisal Process ....................................... 16
Figure 2.10: Vrooms Expectancy Model ................................................................ 29
Figure 2.3: Conceptual Framework ...................................................................... 35
1
CHAPTER ONE
PROBLEM SETTING
1.1 Introduction
This study discusses in detail research on the factors that affect the effectiveness of
performance appraisal in the public sector. This research investigates the
effectiveness of open performance review and performance system (OPRAS) in
Public sectors. In addition, this study briefly describes the background of the
problem, the research objectives, research questions, scopes, significance,
Limitations and Delimitation of the study
1.2 Background to the Problem
In early 1980’s the Government of Tanzania witnessed serious inequalities in the
delivery of public services and poor performance in public sector. This led to a series
of reforms that aimed to improve capacity and service delivery. The most recent
reforms were the Curl Service Reform Program (CSRP) and Public Service Reform
Program (PSRP). CSRP was officially launched in July 1991, the CSRP focused on
re-defining the role of the state in Tanzania and rightsizing of Government in order
to control public expenditure especially the public service wage bill. The
Government proceeded to establish PSRP Phase I in 2000, which has been
promulgated in the Government’s new public service management and employment
policy.
Performance appraisal is a core human management tool that involves the review of
the performance of an employee based on objectives set and agreed upon in advance.
It determines and communicates to an employee on how he/she is performing on the
job, and ideally establishes a plan for improvement (Byars and Rue (1997); Gupta
(2006); Aswathappa (2004)).
The President’s Office, Public Service Management in Tanzania introduced a reform
known as Open Performance Review and Appraisal System (OPRAS) which was
2
intended to provide an appraisal approach with greater transparency and scope for
participation for. The purpose of a new system was to change and improve the
appraisal system from the traditional secretive approach to the open, modern
approach. The new appraisal system’s unique features: Openness, Participation,
Accountability and Ownership, differentiate it from the preceding confidential
appraisal system.
The Government introduced the use of OPRAS in July 2004, through Establishment
Circular No.2 of 2004. OPRAS replaced the Confidential Performance Appraisal
System, which was characterized by absence of feedback and poor help in the
identification of the training needs of the employees, hence, failed to promote
performance improvement and accountability in the Public Service. These changes in
appraising performance of public employees are in line with Public Service
Management and Employment Policy (PSMEP) of 1998 and the Public Service Act
No. 8 of 2002, which emphasizes the institutionalization of result-oriented
management and meritocratic principles in the public service.
The introduction of OPRAS was a key part of the Government's commitment to
improve performance and service delivery to the public. It serves as key
accountability instrument for individual employees, emphasizing the importance of
participation, ownership and transparency by involving employees in objective
setting, implementing, monitoring and performance reviewing process. It seeks to
ensure continuous communication is present between supervisors and employees;
and promote understanding of the linkage between organizational objectives and
individuals.
The pivotal point of improving quality, efficiency and effectiveness in the delivery of
public services on a continuous and suitable basis required the performance
management systems be installed by all public sector entities.
In Tanzania, the new OPRAS replaced the traditional system seeking to address
many of the weakness associated with it. It thus required a public servant to
3
participate in the process of choice and setting of goals and standards/criteria,
receiving feedback on their performance appraisal and to be given opportunity to
influence their appraisal grades. The objectives of OPRAS was to improve public
service delivery by classifying and strengthening accountability at all level holding
staff to account for their performance, allocating resources on the basis of outputs
rather than inputs, rewarding best performers and discipline poor performance (CSD
2000). In practice, Tanzania introduced OPRAS with the aims of appraising
employees’ performance openly based on the limited nature of traditional
performance appraisal system (New Utumishi, 2003). The process was engineered by
the President’s Office Public Service Management through Public Service Reform
Program (PSRP), which was stipulated in the Public Service Regulation 2003 and
further defined in guidelines in the use of OPRAS from August 2004 and the
accompanying OPRAS form TFN. 832. The OPRAS process replaced all former
appraisal systems including the annual performance report as referred to and defined
in standing orders.
The purpose of OPRAS was to discover, evaluate and document the potential and
shortcomings of individuals to enable measures to be taken for improvement of the
efficiency and effectiveness of the public service as continuous objective (URT
2006).
1.3 Statement of the Problem
With increased demands on managers and all other staff members to achieve higher
levels of efficiency and productivity there exists a need better assess employee
performance. The continuously changing nature of most public services today and
the high expectations from the general public have increased pressure on public
servants to re-evaluate their contributions in the workplace and the way in which
they work. The introduction of performance appraisal systems such as OPRAS has
been one strategy adopted to meet these challenges.
The Ministry of Communication Science and Technology (MCST) has adopted the
OPRAS through PO-PSM since 2004 and it was made mandatory for the whole
4
public service. The system has so far been ineffective in accomplishing its desired
outcomes and has been a source of discontent and complaints among the public
service employees it serves. Employees’ dissatisfaction has cited poor management
and implementation key reasons why the program has failed to achieve its intended
results. Improving the use of OPRAS in MCST is critical in creating a satisfied,
motivated and committed workforce that is required to improve the Ministry’s
overall performance. These concerns spurned the need to conduct research to
investigate the problem further and identify possible solutions to develop the
effectiveness of the OPRAS in the public sector.
1.4 Objective of the Study
1.4.1 Main Objective
The main objective of the study was to investigate the factors that affect effective
performance appraisal through the OPRAS, using MCST as a case study.
1.4.2 Specific objectives
(i) To investigate the specific factors affecting effective performance Appraisal
system in Public Sectors.
(ii) To assess the knowledge and attitudes of MCST employees toward the
OPRAS
(iii) To examine the extent to which OPRAS is used to improve Organization
performance in MCST
(iv) To identify the policy implications of the implementation of OPRAS
(v) To identify the challenges faced when implementing OPRAS
1.5 Research Questions
(i) What are the factors that hinder the effectiveness of OPRAS in MCST?
(ii) How does OPRAS help to shape the knowledge and attitudes of the
employees in MCST?
(iii) To what extent OPRAS can help to improve employees’ performance and that
of organization?
5
(iv) What are the policy implications on the implementation of OPRAS?
(v) What are the challenges that organizations face when implementing OPRAS?
1.6 Scope of the Study
This study covers the use of OPRAS in the Ministry of Communication, Science and
Technology (MCST). The MCST, as a significant employer in Tanzania’s public
sector, is a key stakeholder in the sector-wide OPRAS implementation process and
instrumental in the influencing the achievements of the reform. The study intends to
investigate influences on the effectiveness of the use of OPRAS within the MCST to
create, develop and maintain the organization’s productivity and environment.
1.7 Significance of the Study
In introducing OPRAS in 2004, the Government’s intention was to improve service
quality, lower costs, become more accountable, customer focused and responsive to
stakeholders' needs. On the other hand, was to ensure every Individual is contributing
to 2025 vision development goals. The OPRAS has faced major challenges in
achieving the Government’s goals. This study seeks to improve the understanding of
these challenges that have faced the systems implementation and provide insight into
adjustments that can seek to improve the systems effectiveness. The major
challenges faced during the implementation process have always been on the
employees’ acceptance and readiness; this is because of lack of understanding and
knowledge failure to see clearly the objectives of OPRAS as a result it reduces the
efficiency and productivity in the Public Service. The study will be a useful source of
information for the Ministry regarding their handling the OPRAS, allowing Ministry
management to formulate a considered response to the challenges undermining their
use of OPRAS.
1.8 Limitations
Certain setbacks that might happen during the research period, hence making the
programme to be difficult, were anticipated. The researcher faced challenges due to
resource constraints in terms of time and money to cover the study.
6
Poor response was encountered whereby some respondents delayed in responding
their self-administered questionnaires as expected to be used in this study, and some
of the interviewees were unavailable as they promised. This led the researcher to
make some close follow up to make sure the respondents were reached and
interviewed.
Furthermore, it was difficult to access the data that the Ministry treated as
confidential as a result the researcher was unable to acquire the accurate information.
Lastly, significant difficulties were encountered in collecting data through the
questionnaires and interview, due to the busy working nature of key informants at the
MCST. It was also difficult to get answers from those who had travelled outside the
country for official duties.
1.9 Delimitation
Due to failure of sample respondents to answer with sincerity, results might not
accurately reflect the opinions of all members of the included population.
Most respondents could not exhaustively answer the questions especially open-ended
questionnaires, this was due to lack of knowledge to understand and practice
OPRAS.
In order to facilitate the gathering of Data the study utilized techniques such as
Sample size, Questionnaire, Observation and Interview. These Techniques were used
interchangeably in order to accommodate the Researcher’s original idea and purpose.
However, in using these techniques some sample respondents were unavailable for
interviews, hence resulted in filling in gaps.
CHAPTER TWO
LITERATURE REVIEW
2.1 Introduction
This chapter defines the main terms and concepts, secondary theoretical framework
and empirical studies related on the study. It reviews the main concepts, literature
and theories about performance appraisal systems. These will develop the conceptual
and theoretical framework within which the findings and recommendations of this
study will be contextualized in this study.
2.2 Definitions and Concepts
Performance can be referred to as the act of accomplishing or executing a specific
task assigned to an individual or team. It is only possible to know and judge once
performance by evaluating the day to day activities of the person, or provide a
specific mission to that person and when they reach that’s what we call performance
(Mlay 2008)
Performance appraisal is defined as a formal, structural system for measuring and
evaluating an employee’s job-related behaviors and outcomes to discover how and
why the employee is presently performing on the job and how the employees can
perform more effectively in the future for their and the organizations benefit. Robbin
(1991) defines performance appraisal as processes of evaluating individuals in order
to arrive at objective personnel decision. The organizations use it to make a number
of human resource promotions, personnel planning retention or discharge.
According to Gupta (2003) performance appraisal is defined as a process of
assessing the performance and progress of an employee or of a group of employees
on a given job and his/her potential for future development.
Nutley and Osborne (1994) define performance appraisal as the prior assessment of
the degree to which proposed activities are likely to achieve their objective and the
8
formulation of indicators and targets by which the performance as activity can be
monitored and evaluated in future.
Prasad (2009) defines performance appraisal as a systematic and objective way of
judging the relative worth or ability of an employee in performing his job with
emphasis on being systematic and objective. The appraisal is systematic when it
evaluates all performances, periodically, in the same manner, utilizing this ensures
that appraisal of different persons is comparable and all parties are aware of the
performance appraisal and its timing. Objective appraisals aim to accurate
measurement by trying eliminating human biases and prejudices.
According to Dale (1980) Performance Appraisal System is an evaluating of
individuals with and their work performance and their potential to develop. This
entails that the working goals or expectation has to be a joint venture between the
supervisor and the worker (in the case of this study; between the head of Department
and the junior staff/subordinates)
An effective Performance Appraisal System contains two operating system which
function side by side to each other: these are evaluating system and feedback system.
The feedback system is for employees to know how (quality) they are performing
and evaluation system is for the organization to find out the performance gap (what
should have been done and what is actually being done) If any (Murphy& Cleveland,
(1995)
2.3 History of Performance Appraisal System
Although the interest in using researching Performance has increased in the past 30
to 40 years the act of evaluating employees has existed in centuries. According to
Prince (2000:184) performance appraisal can be depicted way back to the 3rd century
AD where there is a study of Chinese philosopher who criticized the rater who was
hired by the dynasty whose judgment was based on like and dislike instead of merits.
Appraisal or merits was possibly first used in 1800’s in the cotton mills in New
Lanark in Scotland as a way to evaluate and judge farm workers.
9
As a formal management system of evaluating work performance it is trucked back
to sixty succeeded to persuade the united states Army to adopt man to man rating
system in evaluating military officers after the 2nd word war. And in 1950 it became
an established and accepted practice in many organizations in the united states
(Murphy &Cleveland,1995:3). It began simply as a system that can be used to justify
income (salaries and wages) of individual their capacity and appraisal processes were
linked to material output.
2.4 Open Performance Appraisal and Review System (OPRAS)
As part and parcel of PMS OPRAS designed to manage individual performance in
public service institutions was introduced in 2004. The OPRAS which aligns the
objectives of the individual officer with that of the department/division/ unit/section
to the objectives of the organization is intended to be used in all public service
institutions. OPRAS replaced the ‘Closed Annual Confidential Report System
(CACRS) which was used before in order to assess the performance of employees in
the public service institutions. The CACRS was limited and largely generated one-
sided information on the performance of employees in the public service.
The OPRAS requires all public servants and their managers to develop their personal
objectives based on strategic planning process and the organizations’ respective
service delivery targets8. To develop the individual performance plan both the
supervisor and subordinate have to agree on performance objectives, performance
targets, performance criteria and required resources in order to achieve the set targets
and objectives. The appraisal system which provides the opportunity for dialogue
between the appraisal and the appraised is more likely to improve performance than a
system of staff appraisal which is closed and unilateral. Moreover, there must be
Mid-Year Review (MYR), which is important in order to keep track of the
employee-cum appraisee’s progress in terms of meeting the annual personal
objectives and to identify the resources needs that will be required to carry out the
remaining six-months plan.
10
The installation of OPRAS by all MDAs has been made mandatory and the
requirement is embodied in the Public Service Legislation9. About 2,500 public
servants were trained on the use of OPRAS from the year 2004 to 2008. However
anecdotal evidence reveals that:
The adoption and institutionalization of OPRAS in the MDAs has been patchy. The
compliance rate is estimated to be about 51 percent for, arguably, a variety of
reasons10.
There are claims that the initial OPRA forms were overly complicated to complete
and they were not context-sensitive to different professional cadres in the public
service.
Some public servants remained skeptical of their intended use especially for
promotion purposes. Little dissemination took place at the middle and lower levels of
the MDAs or in field offices. The prognosis however is for their increasing use as the
staff becomes more familiar with the technique.
In some MDAs, OPRAS lacks the support or push of the supervisors. At present
universities are experimenting the use of OPRAS- Mzumbe University and Open
University of Tanzania have been battling with unique challenges including of
reporting to more than one superior on the part of academic staff.
2.5 Importance of Appraisal
Gupta (2009) outlines several reasons why appraisal of managers is a key to
managing itself.
(i) Systematic performance appraisal provides information consideration
regarding the promotion of lower level executives. Such information is
available in advance, avoiding spot judgments and subjectivity in promotion
decisions. Records created by systematic appraisal are of greater value in
backing up decisions, which are challenged.
11
(ii) Systematic appraisal reveals deficiencies and weaknesses of individuals. If
identified it enables a suitable training program to be designed to develop
these weaknesses. Knowledge of a manager’s strengths and weakness ensures
human resource development efforts can be effectively designed and
implemented. Knowing how well a manager is doing his job and taking
appropriate steps to correct deficiencies is the best way of ensuring
managerial effectiveness.
8 By organization we refer to the following: i.e. sector, department, division,
unit or section.
9 See the Public Service Act, No. 8 of 2002, p.273; and the Public Service
(Amendment) Act, 2007. p. 153. See also URT (1999) Public Service
Management and Employment Policy, Dar es Salaam: PO-PSM. pp. 27-28.
10 World Bank, (2008). Implementation Completion and Results Report
for a Public Service Reform Project (IDA-33000 IDA 3300A) p. 13.
(iii) Many employees desire feedback about the quality of their work and
management satisfaction. Communication of results from systematic
appraisal can provide part of this urge. Such feedback motivates employees. It
serves to stimulate and guide executive in their towards self-development.
(iv) Periodic and formal appraisal has a psychological effort on employees. They
can be compelled to be more productive and effective workers when know
that their efforts are being evaluated and their career prospects depend upon
the outcome of their appraisals.
Performance appraisals reveal whether the subjects know their tasks and how well
they are performing. They assist managers to observe their subordinates more closely
and provide them with information and indicators to improve their performance.
Appraisals enable managers to make informed decisions about manpower planning
by identifying individual contributions and potential areas of development.
In the absence of systematic appraisal systems, organizations are forced to make
policy decisions with relevant and/or accurate information about employee
12
performance, instead using intuition or hunches that can often be clouded by
emotional and personal bias.
2.6 Objectives of Performance Appraisal
Performance appraisals are widely used by organizations to provide information
required to achieve an organization’s objectives. A review of organizational practices
show that organizations undertaken appraisal exercises to help inform managerial
decision making on salary increases and promotions, enable the identification of
training and development needs, provide feedback to employees and place pressure
on employees to improve performance.
2.6.1 Salary Increase.
Formal or informal performance appraisal assists managerial decision-making about
employee salary increases. Appraisals provide information about employee
performance such as productivity, goal achievement and work attitudes that are
likely to impact on decision about salary increase. Small organizations are often able
to undertake this process through more informal appraisals as managers are likely to
have continued, direct contact with employees and thus already be able to assess
these factors without formal appraisal system. However, in a large organization
where such contact is limited, formal performance appraisal has to be undertaken in
order to inform managers about employee performance that is critical to decisions
about employee compensation.
2.6.2 Promotion
Organizations often use a combination of merit and seniority when making decisions
about internal promotions or demotions. Performance appraisal has a significant role
in assessing the merit side of these decisions Appraisals allow mangers to gather
information about an employee’s performance, with positive reviews of performance
likely to improve an employee’s chance of promotion. However, appraisals can often
identify an employee’s poor performance over a period and be used to make
decisions regarding transfer, demotion or removal of an employee.
13
2.6.3 Training and Development
Performance appraisals are designed to identify an employee’s strengths and
weaknesses in the completion of their tasks. This information can be useful to devise
appropriate training and development programs targeted at building on employee’s
strengths and improving or overcoming weaknesses. Employee training and
development is critical to developing an organizations human resources and thus
improving overall organizational performance,
2.6.4 Feedback
Performance appraisals provides detailed feedback to employees about their
performance. They give employees an idea about how their performance and
attitude are viewed by their managers and peers. This feedback is important to many
employees whose work and attitude can improve when they know how their work is
viewed by others and how their efforts are contributing to the achievement of
organization objectives. Positive feedback from appraisals can reinforce an
employee’s current approach and attitudes, while recognition of strong performance
can also strengthen morale and instill a sense of self-worth in employees. Feedback
regarding deficiencies in current performance can also be a useful tool, when
delivered thoughtfully, in encouraging employees to improve performance by
identifying where employees can redirect and improve on their efforts in order to
improve performance and receive positive feedback. Appraisals can also provide an
opportunity to demonstrate to employees how they are contributing to organizational
objectives with the goal of improving employee satisfaction and drive to contribute
to overall organizational performance.
2.6.5 Pressure on Employees
Performance appraisals place pressure on employees to perform well as they are
conscious that they are being appraised and the positive or negative impact that this
can have upon their careers. Prassad (2009) identifies that this means appraisal can
work automatically as a control device to improve worker performance by providing
incentives to improve performance and conscious pressure brought by the impact of
poor performance on an employee’s appraisal.
14
The stated objectives of performance appraisal are important for organizations
seeking to develop employee and organizational performance. However, these
objectives can only be achieved when a systematic performance appraisal is in place
and employees can identify that relevant decisions are made objectively based on
result of performance appraisal. In order to establish and manage an effective
appraisal system managers require an understanding of various intricacies of
performance appraisal along with barriers to effective implementation and how these
can be overcome.
2.7 Performance Appraisal Process
In developing an effective performance appraisal process is should be first noted that
is not a onetime practices or event but rather is a process which should be carried out
through the working period of time if it is to achieve the intended goals. Gupta
(2000) defines a six step for an effective performance appraisal process.
2.7.1 Establishing Performance Standards
The appraisal process begins with the setting up of criteria to be used for assessing
the performance of employees. A clear, objective and written criteria should be
developed based on job description of the particular employee. Depending to the
specific of the role, assessment can be based upon qualitative or quantitative
indicators. In the absence of the ability to assess work based upon quantitative
indicators, qualitative criteria can be used identifying personal characteristics and
attitudes such as work quality, honesty, reliability, cooperation and teamwork, job
knowledge initiative leadership, safety consciousness attendance, learning ability,
judgment and sense of responsibility.
2.7.2 Communicating the Standards
The performance standards specified in the first step must be communicated and
explained to the employees. The standards should be made available to all
stakeholders for review and if necessary be revised or modified in the light of the
feedback from those involved with the appraisal process i.e. employees, peers.
15
2.7.3 Measuring Performance
Once the performance standards are specified and accepted, the next stage is the
measurement of actual performance. This involves the selection of appropriate
measurement techniques, identifying the internal and external factors influencing
performance and collecting information on results achieved. The collection of data
can be facilitated by personal observations, written reports and face-to-face meetings.
If applicable, the comparison of the subjects performance with that of a different
employee in the same position can also yield some insight into performance.
2.7.4 Compare with Standards
After gaining information about the employee’s actual performance a comparison of
these results must be made with the predetermined performance standards. Such a
comparison will reveal a deviation, where recorded performance exceeds the
standards, or a negative deviation where excess of standard performance over the
actual performance is observed.
2.7.5 Discuss the Appraisal
The results of the appraisal are communicated to and discussed with the employees
during an appraisal interview along with any deviations observed and the reasons
behind them are analyzed and discussed. The objective of this discussion is to enable
the employee to know their identified strengths and weaknesses to inform future
corrective actions. The impression given to the employee during this appraisal about
their performance is likely to impact on their subsequent performance and thus must
be handled in a very considered manner.
2.7.6 Taking Corrective Action
Through mutual discussion with employees, the steps required to improve
performance by building on strengths and addressing weaknesses are identified and
initiated. Training, coaching and counseling are examples of corrective action that
can help to improve performance.
16
Figure 2.1: A dynamic Performance Appraisal Process
Source: Adopted from Gupta, (2000)
2.8 Appraisal Methods
The performance appraisal methods may be classified into three categories, as shown
below:
Individual Evaluation Methods
The Open learning world website shows that the individual evaluation methods of
merit rating, employees are evaluated one at a time without comparing them with
other employees in the organization (www.openlearning.com/books). The following
are the Appraisal Methods as described below:
2.8.1 Essay evaluation
Under this method, the rater is asked to express the strong as well as weak points of
the employee's behavior. This technique is normally used with a combination of the
graphic rating scale because the rater can elaborately present the scale by
substantiating an explanation for his rating. While preparing the essay on the
employee, the rater considers the following factors:
(i) Job knowledge and potential of the employee.
Setting Performance Standards
6. Taking corrective
actions
2. Communicating
Standards
3. Measuring
performance
5. Discussing results
4. Compare with Standards
17
(ii) Employee's understanding of the company's programmes, policies,
objectives, etc.
(iii) The employee's relations with co-workers and superiors;
(iv) The employee's general planning, organizing and controlling ability;
(v) The attitudes and perceptions of the employee, in general.
Essay evaluation is a non-quantitative technique. This method is advantageous in at
least one sense, i.e., the essay provides a good deal of information about the
employee and reveals more about the evaluator. The essay evaluation method
however, suffers from the following limitations:
(i) It is highly subjective; the supervisor may write a biased essay. The
employees who are sycophants will be evaluated more favorably then other
employees.
(ii) Some evaluators may be poor in writing essays on employee performance.
Others may be superficial in explanation and use flowery language which
may not reflect the actual performance of the employee. It is very difficult to
find effective writers nowadays.
(iii) The appraiser is required to find time to prepare the essay. A busy appraiser
may write the essay hurriedly without properly assessing the actual
performance of the worker. On the other hand, appraiser takes a long time,
this becomes uneconomical from the view point of the firm, because the time
of the evaluator (supervisor) is costly.
2.8.2 Critical Incident Technique
Under this method, the manager prepares lists of statements of very effective and
ineffective behavior of an employee. These critical incidents or events represent the
outstanding or poor behavior of employees on the job. The manager maintains logs
on each employee, whereby he periodically records critical incidents of the workers
behavior. Gupta (2009) says that at the end of the rating period, these recorded
critical incidents are used in the evaluation of the workers' performance. For
instance, the critical incidents in the career of an employee may be as follows:
(i) Suggested improvement in work method
18
(ii) Refused to obey orders
(iii) Violated the established rules and
(iv) Averted a serious accent
Moreover, it is suggested that this method provides an objective basis for conducting
a thorough discussion of an employee's performance. It avoids recency bias (most
recent incidents get too much emphasis). This method suffers however from the
following limitations:
(i) Negative incidents may be more noticeable than positive incidents.
(ii) The supervisors have a tendency to unload a series of complaints about
incidents during an annual performance review session.
(iii) It results in very close supervision which may not be liked by the employee.
(iv) The recording of incidents may be a chore for the manager concerned, who
may be too busy or forget to do it.
In addition, most frequently, the critical incidents technique of evaluation is applied
to evaluate the performance of superiors rather than of peers of subordinates.
2.8.3 Checklists and Weighted Checklists
Another simple type of individual evaluation method is the checklist. A checklist
represents, in its simplest form, a set of objectives or descriptive statements about the
employee and his behavior. If the rater believes strongly that the employee possesses
a particular listed trait, he checks the item; otherwise, he leaves the item blank. A
more recent variation of the checklist method is the weighted list. Under this, the
value of each question may be weighted equally or certain questions may be
weighted more heavily than others.
A rating score from the checklist helps the manager in evaluation of the performance
of the employee. The checklist method has a serious limitation. The rater may be
biased in distinguishing the positive and negative questions. He may assign biased
weights to the questions. Another limitation could be that this method is expensive
and time consuming. Finally, it becomes difficult for the manager to assemble,
19
analyze and weigh a number of statements about the employee's characteristics,
contributions and behaviors. In spite of these limitations, the checklist method is
most frequently used in the employee's performance evaluation.
2.8.4 Graphic Rating Scale
Perhaps the most commonly used method of performance evaluation is the graphic
rating scale. Of course, it is also one of the oldest methods of evaluation in use.
Under this method, a printed form, as shown below, is used to evaluate the
performance of an employee. A variety of traits may be used in these types of rating
devices, the most common being the quantity and quality of work. The rating scales
can also be adapted by including traits that the company considers important for
effectiveness on the job. A model of a graphic rating scale is given below.
Table 2.1: Example of Typical Graphic Rating Scale
Quantity of work: Volume of work
under normal working conditions
Unsatisfa
ctory
Fair Satisfactory Good Outstanding
Quality of work: Neatness,
thoroughness and accuracy of work
Knowledge of job
A clear understanding of the factors
connected with the job
Attitude: Exhibits enthusiasm and
cooperativeness on the job
Dependability: Conscientious,
thorough, reliable, accurate, with
respect to attendance, reliefs, lunch
breaks, etc.
Cooperation: Willingness and ability to
work with others to produce desired
goals
Source: Stone H.J (1982), A model of a graphic rating scale
From the graphic rating scales, excerptions can be obtained about the performance
standards of employees. For instance, if the employee has serious gaps in technical-
20
professional knowledge (knows only rudimentary phases of job); lacks the
knowledge to bring about an increase in productivity; is reluctant to make decisions
on his own (on even when he makes decisions they are unreliable and substandard);
declines to accept responsibility; fails to plan ahead effectively; wastes and misuses
resources; etc., then it can safely be inferred that the standards of the performance of
the employee are dismal and disappointing.
The rating scale is the most common method of evaluation of an employee's
performance today. One positive point in favor of the rating scale is that it is easy to
understand, easy to use and permits a statistical tabulation of scores of employees.
When ratings are objective in nature they can be effectively used as evaluators. The
graphic rating scale may however suffer from a long standing disadvantage, i.e., it
may be arbitrary and the rating may be subjective. Another pitfall is that each
characteristic is equally important in evaluation of the employee's performance and
so on.
2.8.5 Behaviorally Anchored Rating Scales
Also known as the behavioral expectations scale, this method represents the latest
innovation in performance appraisal. It is a combination of the rating scale and
critical incident techniques of employee performance evaluation. The critical
incidents serve as anchor statements on a scale and the rating form usually contains
six to eight specifically defined performance dimensions. The following chart
represents an example of a sales trainee's competence and a behaviorally anchored
rating scale.
How to construct BARS? Developing a BARS follows a general format which
combines techniques employed in the critical incident method and weighted checklist
ratings scales. Emphasis is pinpointed on pooling the thinking of people who will use
the scales as both evaluators and evaluees.
21
Step 1: Collect critical incidents: People with knowledge of the job to be probed,
such as job holders and supervisors, describe specific examples of effective and
ineffective behavior related to job performance.
Step 2: Identify performance dimensions: The people assigned the task of
developing the instrument cluster the incidents into a small set of key performance
dimensions. Generally between five and ten dimensions account for most of the
performance. Examples of performance dimensions include technical competence,
relationships with customers, handling of paper work and meeting day-to-day
deadlines. While developing varying levels of performance for each dimension
(anchors), specific examples of behavior should be used, which could later be scaled
in terms of good, average or below average performance.
Step 3: Reclassification of incidents: Another group of participants who are
knowledgeable about the job is instructed to retranslate or reclassify the critical
incidents generated (in Step II) previously. They are given the definition of job
dimension and told to assign each critical incident to the dimension that it best
describes. At this stage, incidents for which there is not 75 per cent agreement are
discarded as being too subjective.
Step 4: Assigning scale values to the incidents: Each incident is then rated on a
one-to-seven or one-to-nine scale with respect of how well it represents performance
on the appropriate dimension. A rating of one represents ineffective performance; the
top scale value indicates very effective performance. The second group of
participants usually assigns the scale values. Means and standard deviations are then
calculated for the scale values assigned to each incident. Typically incidents that
have standard deviations of 1.50 or less (on a 7-point scale) are retained.
Step 5: Producing the final instrument: About six or seven incidents for each
performance dimension – all having met both the retranslating and standard deviation
criteria – will be used as behavioral anchors. The final BARS instrument consists of
22
a series of vertical scales (one for each dimension) anchored (or measured) by the
final incidents. Each incident is positioned on the scale according to its mean value.
Because the above process typically requires considerable employee participation, its
acceptance by both supervisors and their subordinates may be greater. Proponents of
BARS also claim that such a system differentiates among behavior, performance and
results and consequently is able to provide a basis for setting developmental goals for
the employee. Because it is job-specific and identifies observable and measurable
behavior, it is a more reliable and valid method for performance appraisal.
Researchers, after surveying several studies on BARS, concluded that “despite the
intuitive appeal of BARS, findings from research have not been encouraging”. It has
not proved to be superior to other methods in overcoming rater errors or in achieving
psychometric soundness. A specific deficiency is that the behaviors used are activity
oriented rather than results oriented. This creates a potential problem for supervisors
doing the evaluation, who may be forced to deal with employees who are performing
the activity but not accomplishing the desired goals. Further, it is time consuming
and expensive to create BARS. They also demand several appraisal forms to
accommodate different types of jobs in an organization. In a college, lecturers, office
clerks, library staff, technical staff and gardening staff all have different jobs;
separate BARS forms would need to be developed for each. In view of the lack of
compelling evidence demonstrating the superiority of BARS over traditional
techniques such as graphic rating scales. Decotis concluded that: “It may be time to
quit hedging about the efficacy of behavioral scaling strategies and conclude that this
method has no clear-cut advantages over more traditional and easier methods of
performance evaluation”.
2.8.6 Forced Choice Method
This method was developed to eliminate bias and the preponderance of high ratings
that might occur in some organizations. The primary purpose of the forced choice
method is to correct the tendency of a rater to give consistently high or low ratings to
all the employees. This method makes use of several sets of pair phrases, two of
which may be positive and two negative and the rater is asked to indicate which of
23
the four phrases is the most and least descriptive of a particular worker. Actually, the
statement items are grounded in such a way that the rater cannot easily judge which
statements apply to the most effective employee. The following box is a classic
illustration of the forced choice items in organizations.
The favorable qualities earn a plus credit and the unfavorable ones earn the reverse.
The worker gets over plus when the positive factors override the negative ones or
when one of the negative phrases is checked as being insignificantly rated.
They overall objectivity is increased by using this method in evaluation of
employee's performance, because the rater does not know how high or low he is
evaluating the individual as he has no access to the scoring key. This method,
however, has a strong limitation. In the preparation of sets of phrases trained
technicians are needed and as such the method becomes very expensive. Further,
managers may feel frustrated rating the employees ‘in the dark'. Finally, the results of
the forced choice method may not be useful for training employees because the rater
himself does not know how he is evaluating the worker. In spite of these limitations,
the forced choice techniques is quite popular.
2.8.7 Management by Objectives (MBO)
MBO represents a modern method of evaluating the performance of personnel.
Thoughtful managers have become increasingly aware that the traditional
performance evaluation systems are characterized by somewhat antagonistic
judgments on the part of the rater. There is a growing feeling nowadays that it is
better to make the superior work with subordinates in fixing goals. This would
inevitably enable subordinates to exercise self-control over their performance
behaviors. The concept of management by objectives is actually the outcome of the
pioneering works of Drucker, McGregor and Odiorne in management science.
Management by objectives can be described as “a process whereby the superior and
subordinate managers of an organization jointly identify its common goals, define
each individuals' major areas of responsibility in terms of results expected of him and
use these measures as guides for operating the unit and assessing the contributions of
each of its members”. MBO thus represents more than an evaluation programme and
24
process. Practicing management scientists and pedagogues view it as a philosophy of
managerial practice; it is a method by which managers and subordinates plan,
organize, control, communicate and debate.
Features
(i) MBO emphasizes participative set goals that are tangible, verifiable and
measurable.
(ii) MBO focuses attention on what must be accomplished (goals) rather than
how it is to be accomplished (methods).
(iii) MBO, by concentrating on key result areas translates the abstract philosophy
of management into concrete phraseology. The technique can be put to
general use (non-specialist technique). Further it is “a dynamic system which
seeks to integrate the company's need to clarify and achieve its profit and
growth targets with the manager's need to contribute and develop himself”.
MBO is a systematic and rational technique that allows management to attain
maximum results from available resources by focusing on achievable goals. It allows
the subordinate plenty of room to make creative decisions on his own
2.8.8 Work Standards Approach
In contrast to MBO rather than asking for employee input in performance goal
setting a work standards approach involves organizations setting measured daily
work standards. In short, this technique establishes work and staffing targets aimed at
improving productivity. When realistically used, it can make possible an objective
and accurate appraisal of the work of employees and supervisors.
Effective standards must be visible and fair. This requires time being spent
observing employees on the job, simplifying and improving the job where possible
and attempting to arrive at realistic output standards.
These work standards are typically integrated with an organizations performance
appraisal program. However, since the work standards program provide each
25
employee with a more or less complete set of their job duties, it seems likely that
increasingly performance appraisal and interview comments will become related to
these duties where work standards exist. Ideally, the use of work standards should
make performance interview less threatening than the use of personal, more
subjective standards alone.
The most serious drawback of work standards approach appears to be the problem of
comparability. Since employees are evaluated on different standards, it can be very
difficult to bring results together for comparison purpose when decisions must be
made on promotions or on salary increases and some form of ranking is required.
2.8.9 Ranking Methods
For comparative purposes, particularly when comparing employees who work for
different supervisors, individual statements ratings or appraisal forms are not
particularly useful. Instead, it is necessary to recognize that comparison must involve
an overall subjective judgment to which a host of additional facts and impression
must somehow be added. There is no single form or way to do this. Without easily
comparable data, the best approach to reaching a fair and most accurate involves the
ranking techniques using pooled judgment that include methods such as alternation
ranking and paired comparison ranking.
The alternation method involves the names of employees being listed on the left-
hand side of a sheet of paper – preferably in random order. A supervisor is then
asked to rank these employees based on the stated criterion. For example, if the
rankings are for salary purposes, a supervisor is asked to choose the “most valuable’’
employee on the list, cross his name off, and put it at the top of the column on the
right- hand side of the sheet. Next, he selects the “least valuable” employee on the
list, crosses his name off, and puts it at the bottom of the right-hand column. The
ranker then selects the “most valuable” person from the remaining list, crosses his
name off and enters it below the top name on the right –hand list, and so on.
26
The paired comparison ranking is also used however, it becomes extremely time
consuming and cumbersome when used for a large number of employees.
2.9 Maslow’s Theory
Maslow’s Theory is a key theory regarding motivation and can be applied to
employee management. Rue and Byars (2000:292) state that this theory assumes that
employees, as individuals, have needs that motivate them to work when satisfied.
According to Daft and Noe (2001:164), this theory proposes that humans are
motivated by multiple needs and that such needs vary in importance. Linstead, Fulop
and Lilley (2004:284) categorize the needs into high order needs and low order
needs. The higher order needs are known as ‘self-actualization’ which include need
to reach ones full potential. Rue and Byars (2000:293) add that completing tasks for
the challenge of accomplishment, intellectual curiosity, creativity and aesthetic
appreciation and acceptance of reality are part of higher order needs. Self-esteem
need (Linstead, Fulop and Lilley 2004:284) is another higher order need regarding
the requirement for recognition and belief in one’s self. Rue and Byars (2000:293)
add confidence and leadership, competence and success, strength and intelligence to
the list of needs to be fulfilled. The third of the higher order needs according to Daft
and Noe (2001:164) is the social acceptance need which includes need to be able to
form satisfactory, affective and supportive relations.
The lower order needs according to Linstead, Fulop and Lilley (2004:284) are safety,
security and basic physiological needs. Safety and security needs include feeling safe
and being free from fear. Basic physiological needs include the need for food,
warmth, shelter and clothing. Rue and Byars (2000:293) add thirst, sleep, health,
body needs, exercise and rest in the physiological needs. Daft and Noe (2001:164)
conclude that low order needs take priority and that they must be satisfied before
higher order needs are activated with needs satisfied in sequence. They further state
that different types of needs motivate different employees. The duty of the manager
is to be conscious of the employees’ needs so that they can manage in a way that
ensures workers will be motivated to perform.
27
Maslow’s Theory, provides a guide for managers to execute their management
functions of control, planning, organizing and leading. With performance as the goal
of the organization, management must seek to understand and employee motivation.
Effective management plays a vital role in performance (Ndovlo (2009).
2.10 Vroom’s Expectancy Theory
The expectancy theory was proposed by Victor Vroom of Yale School of
Management in 1964. Vroom stresses and focuses on outcomes, and not on needs
unlike Maslow and Herzberg. The theory states that the intensity of a tendency to
perform in a particular manner is dependent on the intensity of an expectation that
the performance will be followed by a definite outcome and on the appeal of the
outcome to the individual.
Gupta (2009:33.23) state that Vroom’s expectancy model of motivation is built
around the concepts of violence expectancy and instrumentality.
2.10.1 Valence
Valence implies the strength of a person’s the strength of a person’s desire or
preference for an particular outcome. It is important or value that an individual
places on the potential outcomes or rewards. For examples, a person desires
promotion and feels that superior performance is a very strong factor in achieving his
goal. His first level outcome is superior performance and his second level outcome is
promotion. The first level outcome of high performance thus acquires a positive
valence by virtue of its expected relationship to the preferred second level outcome
of promotion. A person would be motivated towards superior performance because
of violet for promotion.
2.10.2 Expectancy
It implies the extent to which a person believes that his effort will lead to high
performance. It is the possibility that a particular action will lead to the first level
outcome. Manager can improve expectancy by matching jobs to people.
28
2.10.3 Instrumentality
It implies the degree to which a first level outcome will lead to a Vroom’s
Expectancy Theory
The expectancy theory was proposed by Victor Vroom of Yale School of
Management in 1964. Vroom stresses and focuses on outcomes, and not on needs
unlike Maslow and Herzberg. The theory states that the intensity of a tendency to
perform in a particular manner is dependent on the intensity of an expectation that
the performance will be followed by a definite outcome and on the appeal of the
outcome to the individual.
Gupta (2009:33.23) state that Vroom’s expectancy model of motivation is built
around the concepts of violence expectancy and instrumentality.
2.10.4 Expectancy
It implies the extent to which a person believes that his effort will lead to high
performance. It is the possibility that a particular action will lead to the first level
outcome. Manager can improve expectancy by matching jobs to people.
2.10.5 Instrumentality
It implies the degree to which a first level outcome will lead to a desired second level
outcome. In the above example, superior performance is being seen as
instrumentality in getting promotion. Instrumentality is the relationship between
first-level outcome (performance) and second level outcome (promotion). On the
other hand, expectancy is the relationship between effort and first-level outcome.
29
Figure 2.10: Vrooms Expectancy Model
Second level
Outcome
First level
Expectancy Outcome Instrumentality
Sourse: Gupta (2009) Vroom’s Expectancy Model
Vroom’s concept of force is equivalent to motivation. Willingness to expend effort
depends on the positive or negative value attached to an outcome. Thus, according to
vroom’s theory, motivation is the sum of the product of valence, expectancy and
instrumentality.
Motivation (Force) =Valence x Expectancy x Instrumentality
2.10.6 Critical Evaluation
Expectancy theory is a comprehensive approach to understanding motivation. It
explains not only how people feel and behave but also why they react as they do. It is
a predictive and cognitive and cognitive model. This theory is behave based on self-
interest best. Vroom’s theory is sufficiently general so as to be useful in a wide
variety of situations. It takes into account employee needs, organizational rewards
and task performance, as well as the contingency relationships between these
valuables. It is quite consistent with management by objectives. Some of the
managerial implications of expectancy theory are:
(i) The theory emphasizes expected behaviors.
(ii) Rewards should be tied to performance.
(iii) Rewards should be equitable.
(iv) Focus is on payoffs. People make choice based on what they will get rather
what they got in the past.
Valence Outcomes
1
2
3
Outcome
1.1
1.2
2.2
3.1
3.2
30
(v) Managers should design jobs for performance keeping in view the situational
differences.
Vroom’s model recognizes individual differences in work motivation. Unlike
maslow and Hezberg models, it recognizes the complexities of work motivation and
does not present an over-simplified and simplistic approach.
2.11 Essentials of Effective Appraisal
A according to Gupta (2009), he discussed the following steps which may be taken
to make performance appraisal accurate, objective and reliable.
Before an appraisal system is established, its objectives should be defined clearly.
The specific objectives may be pay increase promotion, transfer, training and
development. The objective will reveal whether emphasis should be placed on
measuring performance on the current job or on potential for higher jobs.
The raters should be carefully selected and trained. They must be familiar with the
job and the person to be rated. Two independent persons (one immediate supervisor
and other staff expert) may appraise each employee and their ratings may be
averaged. This will help to reduce bias and subjectivity in appraisal
Standards of performance should be laid down in clear cut terms. These should be
communicated to subordinates well in advance so that they understand the
expectations of management and can use self appraisal.
Performance appraisal should be a continuous process. However, the exact frequency
of appraisal should be determined keeping in view the objective and scope of
performance appraisal
Suitable appraisal forms should be designed according to the nature of job. The
design and contents of the form will depend upon objective and scope of appraisal.
The rating should be discussed with the person concerned. This will enable him to
know where he stands, what are his strengths and weaknesses and what steps he
should take to improve performance.
31
2.12 Performance
As part of performance appraisals, an organization must set clear performance
standards, which must be met by employees. Performance is essentially what an
employee does or does not complete, with elements of employee performance being
quantity, quality and timeliness of output, presence at work and cooperativeness
(Mathis and Jackson 2004:274). Fox (2006:204) states that performance depends on
the motivation and ability of individuals. He continues to state that individuals must
be willing to do the job, know how to do it, be able to do it and must receive
feedback on how they are performing. He further states that the management duty
must be to coach and provide support to workers. This underlines the importance of
management on the performance of workers. Mathis and Jackson (2004:299) indicate
that performance provides a link between organizational strategies and results. Fox
(2006:205) adds that the organizational performance is the product of factors, which
include organizational structure, knowledge, non-human resources, strategic
positioning and human processes.
The management of the organization must set the performance standard for the
workers. Mathis and Jackson (2004: 274) define performance standard as the
expected level of performance and that this performance must be managed. They
continue to state that the performance management system attempts to identify,
encourage, measure, evaluate, improve and reward employee performance. They
suggest that performance management must be consistent with the strategic mission
of the organization, must be beneficial as a development tool, useful as an
administrative tool, legal and job related, viewed as generally fair by employees and
must be effective in documenting employee performance.
The skills of achieving optimum organizational performance according to Fox (2006:
106) involve management establishing clear expectations for the workers, providing
effective feedback and communicating appropriate consequences for success or
failure. He further suggests a model to manage performance (Achievement Model).
This Model covers the aspects of motivation, ability, understanding, organizational
support, environmental fit, feedback and validity.
32
Bach (2005:289) defines performance appraisal as an integrated system of
performance management that has far reaching consequences for both individuals
and the organization the individuals work for as a tool for measuring performance.
Mathis and Jackson (2004: 274) define performance appraisal as the process of
evaluating how well employees perform their jobs when compared to a set of
standards and then communicating that information to the workers. Thus, the
effectiveness of management of the organization in monitoring performance can
assist the organization to achieve its goals.
2.13 Empirical Studies on Performance Appraisal
This study focuses on the supervisory and employees’ role, knowledge and attitudes
towards the importance of feedback that determines the effectiveness of OPRAS. In
order to obtain a clear understanding, the review of other previous researches
conducted about the subject matter have been highlighted.
Rao (1970) conducted a survey of 588 officers for public sector in India that
indicated about 98 percent of the respondents felt that the appraisal system should
help to recognize their strength and weaknesses. A high percentage of them (60
percent) recognized that it is very difficult to have objectives assessment in any form
of appraisal because human capital factors are always involved. In this case, the
survey was conducted in an organization that used traditional appraisal system, that
differs from this study which focuses on the OPRAS program which is considered
the involvement between the supervisor and the subject employee.
Anderson (2002) conducted a study investigating supervisor and employee
perceptions that have an impact on the performance appraisal effectiveness. The
study found that an employee’s perception of justice in the performance appraisal
process will affect the effectiveness of performance appraisal. If an employee
perceive that the supervisor’s efforts to distribute rewards and punishments are based
on the outcome of the process and are fair then the employee will perceive the
system to be just. A performance appraisal system perceived to be just, will be more
33
effective in achieving goals of the organization by motivating employees and
rewarding good performance.
The above study seems to be comprehensive and relevant to the present study by
setting a solid foundation for studying the effectiveness of performance appraisals.
However, the finding of the study conducted in Europe cannot be applied directly to
Tanzania, without further studies of the social, economic and political situation to
account for the significant difference in these factors between these two regions.
Rotichi (2001) conducted a study to investigate the factors hindering the
effectiveness of Performance Appraisal at Kenyatta National Hospital. In his
findings, he discovered that performance appraisal practices were neither transparent
nor participatory. The performance appraisal system was seen to secretive with no
feedback being given to the subjects, and in some cases, personal biases were
reflected in executing the function. Furthermore, the study revealed that only 20
percent of employees participated in the setting and discussion of the targets and
criteria for the evaluation concerned.
It is apparent that these finding were based on the traditional trait based performance
appraisal program whose administration was not the same as the program that the
present study intends to investigate. This study is proposed to uncover area of
investigating the factors that hinder the effectiveness of performance appraisal in the
current open interaction setting.
A general review of studies related to performance appraisal in Tanzania’s work
organizations reveal that limited research has been carried out on performance
appraisal.
Mpanju (2003) conducted a study on “Factors contributing to Lack of Transparency
in Executing the Performance Appraisal Function in Tanzania Electric Supply
Company Limited”. In her findings, she identified conflict evasiveness, ignorance of
the function, absences of effective performance appraisal policies as factors behind
the lack of transparency in the execution of performance appraisal.
34
Mpanju (ibid) focused solely on the element of secrecy in the process of conducting
performance appraisal. This study aims to uncover the factors that hinder the
performances appraisal function itself and will concerntrate on the characteristics and
motivations of those called upon to evaluate the performance of others and those that
are evaluated.
Castka, et al (2001) depicted the factors affecting successful implementation of high
performance teams. However, other studies show that OPRAS encourages the role of
teamwork in the improvement of the organization performance. In addition, the
experience of organizations using OPRAS has shown that effective performance
appraisal can bring significance improvement of productivity, creativity and
employee satisfactions.
2.4 Conceptual Framework
To understand the factors that are hindering the performance appraisal function in
work organizations, we need to establish a conceptual framework based on what an
effective performance appraisal should comprise. Essential features required for
performance appraisal to be effective have been highlighted under Section 2.2. In
order for these features to be present, we have to test the hypothesized variables
which the researcher conceives to have a bearing on the effectiveness of performance
appraisal.
Pail (1995) argues that it is important to consider the phenomenon being studied as
the dependent variable and factors associated with changes in this variable as
independent. Four independent variables are sighted as affecting effective
performance appraisal systems: perceived justice in the performance appraisal
system, the training of managers on the conducting of performance appraisals, the
communication of feedback and the design of the process itself. The framework
detailed in Figure 2.1 below will guide the study.
35
The framework tries to provide guidance for categorizing the factors along with the
management that might be contributing to effective of the performance appraisal
function.
Figure 2.3: Conceptual Framework
Independent Variable Dependent Variable
Source: Created by Researcher, (2013)
Figure 2.11 shows the conceptual framework of the study. The underlying
assumption is that effective performance function which is dependent variable is
influenced by the following independent variables namely Knowledge and attitudes
towards OPRAS among employees, Perceived Justice in performance Appraisal
System, Insufficient Training to conduct Performance Appraisal, communicating
feedback and Link between Rewards to performance results.
Knowledge, attitudes,
towards OPRAS. Age
,Gender, Education
level
Link between rewards
to Performance result
Perceived Justice in
performance Appraisal
System.
Communicating
feedback
Insufficient Training l
Effective Performance
Appraisal Function
36
Effective performance Appraisal in this study covered the dimensions in relation to
factors affecting effective performance appraisal system and public sector,
knowledge and attitude of MCST employees towards OPRAS, extent to which
OPRAS improve organization performance and employees performance, policy
implications on its implementation and challenges faced in implementing OPRAS.
Thus, Knowledge and attitudes towards OPRAS among employees influence
effective performance appraisal in terms of number of employees who are
knowledgeable and able to implement the system. Knowledge also plays a critical
role in performance because employees need to be knowledgeable and be able to
describe their core function to enable them to perform their job well.
Perceived Justice Influence performance Appraisal System in terms of number of
employees perception and biasness about a justice in the performance appraisal
process and its effect during the rating exercise.
Insufficient Training influence performance Appraisal System in terms of the ability
of the Ministry to train employees on how to manage and operationalize the system
Communicating feedback influence performance appraisal in the sense that Appraisal
result should be provided to employees or appraise during the Appraisal process so
that to provide feedback to them on how they are performing in their job whether it is
satisfactory or unsatisfactory.
Link between rewards to Performance results, In this case performance Appraisal can
be influenced by establishing a clear define mechanism or system to address like
appropriate rewards to best performers. Also, there could be established criteria to
assess whether current development measures have yielded positive result in terms of
performance improvement.
Personal attributes of respondents such as age, gender and academic qualification
were regarded as variables influencing performance appraisal. For example academic
qualification could make respondents more aware and useful in the whole process of
data collection.
37
CHAPTER THREE
RESEARCH METHODOLOGY
3.1 Introduction
This chapter briefly discusses the background of the selected area of study,
comprehensive plan for achieving research objectives along with the methodology
and procedures related to data collection, data processing and data analysis. Section
3.2 describes methodological procedures that were used in collecting relevant
information during the research design, Section 3.3 the area of the study, Section 3.4
the population of the study, Section 3.5 the sample size and sampling techniques,
Section 3.6 data collection methods and Section 3.7 data analysis methods.
3.2 Research Design
Ndunguru (2007) defines a research design as an assemblage of conditions for
specifying relationship among variables in a study, operationalising these variables;
and controlling effects of extraneous variables, and a plain for selecting the sources
and types of information to be used in answering the research questions.
However, according to Kothari (2009) a research design is the arrangements of
conditions for collection and analysis of data in a manner that aim to combine
relevance to the research purpose with economy in purpose. For the purpose of this
research the case study design will be used to solicit extract and finally gather
information.
Kothari (2009) has argued that the case study method is a very popular form of
qualitative analysis and involves a careful and complete observation of a social unit,
be that unit a person, a family an institution, a cultural group or even the entire
community.
Research design is a formal procedure with the purpose of directing how the research
study was conducted. To achieve its objectives, a case study approach was used to
accomplish the objectives of this study. The study used both a descriptive and
38
qualitative research study, using both quantitative and qualitative research
approaches. Qualitative approach was deemed most appropriate research design for
this study as it helped to determine the opinions, altitudes and behavior of the large
population. This research design was chosen due to its suitability in describing,
analyzing and discussing the findings in the study area.
3.3 Area of the Study
The study was conducted at the Ministry of Communications Science and
Technology situated along Jamhuri Street in Ilala Municipality, Dar es Salaam.
Given the mandate to promote and coordinate communications, science and
technology and research and development, it represents other Public service
organizations in an endeavor to foster Reforms in the Public service through
effective performance Appraisal System.
The researcher decided to do the study in that area taking into of the following
reasons:
(i) Experienced knowledge that data will be available (having been working
there)
(ii) Cost consideration that is it will be relatively cheaper and easier to conduct
the research at MCST since the researcher resides in Dar es Salaam.
(iii) Time factor. It is anticipated that time management will be easier, which
will also enhance the possibility of completing the study in the given
timeframe.
3.4 Study Population
According to Kothari (2009) a population is a group of individuals who have one or
more common characteristics that are of interest to the researcher. The targeted
population in this study was staff of the Ministry of Communications, Science and
Technology.
39
3.5 Sampling Technique
3.5.1 Sample Size
In this study, the source population was the current management and staff members
of the MCST. The study focused on sample size of 30 people who were currently
working in the Office.
From the source population for staff the MCST an appropriate sample for
administering questionnaires was determined using the proportionality sampling
technique to give equal weight and chance for each department. A sample of 30
employees was selected and provided with the questionnaires for each department,
which included Administration and Human Resource, Planning and Policy, Science
and Technology, Information, Communication and Technology, Communication,
Finance and Account Unit, Procurement and Supplies Unit, Internal Audit Unit,
Legal Unit, Information Communication Unit (ICTU) and Government
Communication Unit. All the important factors affecting the effectiveness of
performance appraisal system in MCST were incorporated in order to make it a
representative sample. Employees were selected from across all levels while the
ultimate sample was selected using random sampling for convenience.
3.5.2 Data Collection Methods
The study used both primary and secondary sources of data collection. Primary
sources included interview, questionnaires and observation while secondary sources
of data were obtained from various reports and relevant documents.
3.5.3 Primary Data Collection
Under this study, researcher used three types of primary data collection methods such
as questionnaires, interview and Observation. The three methods are explained below
as follows;
3.5.4 Interview
Breakwell, (1995), define an interview as an extremely flexible research tool which
can be used at any stage of the research process. Interview is a data collection tool
40
which can be readily combined with other approaches in multi-method design such
as questionnaire or observation (Brewerton and Millward, 2001). Interview is used as
an alternative means for districts officials to provide explanation and more detail
information on issues which questionnaire fail to capture.
An interview is a purposeful interaction between two or more people, focused on one
person trying to obtain information from the other. An interview also allows a
researcher to observe the behaviors, attitudes, etc, while collecting data through
direct verbal interaction between individuals. A researcher becomes the interviewer
and the respondent from the sample is the interviewee. The types of interview during
research for this study was open ended in order to allow researcher to explore the
subject matter in depth.
3.5.4 Questionnaire
A questionnaire is a formatted set of questions drawn up to meet the objective of the
study (Keya (1989)). The key factor in the construction of questionnaire is relevance
of questions to study goals and to individual respondents. Questionnaires are
economical since they can supply a considerable amount of research data at a
relatively low cost in terms of materials, money and time (Adam and Kamuzora,
(2008)). They include written questions that need respondent to answer, with open
ended and close-ended questionnaires used to collect data from the management and
other staff members during the study. These methods enabled the researcher to obtain
more information as it gave respondents wider chances to express their opinion on
the topic in question.
3.5.5 Observation
Observation is a method where information collected by way of investigator’s own
direct observation without the questioning of the respondents. Observation was used
to note behaviors and participant and non-participant methods were used. The
researcher was able to observe how OPRAS was being used in operation and
challenges that were facing it’s effective implementation.
41
3.5.6 Secondary Data
Secondary data collection includes both qualitative and quantitative data, and they
are used principal in both descriptive and explanatory research (Saunder, 2007).
There are three subgroups of secondary data collection namely documentary review
data, survey data and multiple sources (Saunder, 2007).
3.5.7 Textbooks
The researcher used various textbooks for finding detailed information about
performance appraisals. The extent of detail covered in a full-length book is far
greater than some other sources of secondary data such as journal articles or
conference papers. However, they often contain out-of-date information, particularly
in fast developing fields as it takes a long period of time the first words are written to
the time the finished product i.e. available in published form (Wayne & Stuart
(2001:20)). However, the use of current editions of books was an important tool in
providing secondary data to the researcher, particularly in informing the theoretical
framework created for the study.
3.5.8 Organization Reports
Many organizations commission research into practical problems they encounter in
the daily running of their operations. The results of such research are typically
described in an organizational report prepared by the researcher(s) for the
organization. These reports on relevant topics can be a valuable source of
information if they are made available to the public/researcher. The study draws
some of these reports to provide information relevant to the study’s focus (Wayne &
Stuart (2001:21)).
3.5.9 Theses and Dissertations
Theses and dissertation are the finished products, or write –up of masters and
doctoral candidates. In some institutions, the term ‘thesis’ refers to a masters report
and ‘dissertation’ to a doctoral one, while other institutions use the terms in reverse.
Masters and doctoral theses/dissertation are generally stored in the libraries of the
institutions where they were presented, and are available for use as reference works.
42
These documents were of particular use for this study, yielding useful information
that enabled the study to reach its research objectives (Wayne &Stuart (2001:21)).
3.6 Data Analysis and Presentation
All data collected from the field from the aforementioned sources was filed, checked
and then coded for analysis. Qualitative and quantitative methods/techniques were
used to analyze the material collected. Qualitative techniques were used to analyze
information in the form of statements in the open-ended questions from
questionnaires. Quantitative analysis was used to analyze structured questions
through the use of social scientists package for analysis where by simple descriptive
statistics such as frequencies and cross tabulation were performed.
3.6.1 Qualitative Method
Qualitative data analysis involves a researcher describing kind of characteristics of
people and events without comparing events in terms of measurements or amount of
the characteristics displayed. In addition, qualitative involves interpretative,
naturalistic approach to its subject matter, this means, qualitative researchers study
things in their natural settings, attempting to make sense of, or interpret phenomena
in terms of the meaning people bring to them. Qualitative research involves the
study, use and collection of variety of empirical materials, case study, personal
experience, introspective, life story, interview, observational, historical, interactional
and visual texts that describe routine and problematic moments and meanings and
people lives (Murray, ( 2003)).
3.6.2 Quantitative Method
Quantitative analysis tends to be based on numerical measurements of specific aspect
of phenomena, it abstracts from particular instants to seek general description or to
test casual hypothesis. It seeks measurements and analyses that are easily replicable
by other researchers. Quantitative researchers seek explanations and predictions that
will generalize the results. In quantitative research, the researchers’ role is to observe
and measure, and care is taken to keep the researchers’ from contaminating the data
through personal involvement with the research subject (Murray (2003).
43
3.7 Variable and Measurement procedure
According to Kothari (2004), a variable is a concept which can take on different
qualitative values. He explains that, if one variable depends upon or is consequence
of the other variable, it is termed as a dependent variable and the variable that is
antecedent to the dependent variable, is termed as an independent variable.
The study employed independent and dependent variables. In this case effective
performance appraisal function was a dependent variable while Knowledge and
attitudes towards OPRAS among employees, Perceived Justice in performance
Appraisal System, Insufficient Training to conduct Performance Appraisal,
communicating feedback and Link between Rewards to performance results, Were
independent variables.
These variables were measured in two ways by using Qualitative and Quantitative
approaches, where by Data interpretation involved deciding about data and
information to be used to respond to the specific objectives of the study both
qualitative and quantitative terms. Data presentation based on the use of both
statistical techniques and graphical techniques.
44
CHAPTER FOUR
PRESENTATION OF FINDINGS
4.1 Introduction
This chapter presents the results, findings and interpretation of the study, ‘Factors
Affecting Effective Performance Appraisal’ in the MCST. Presented in this chapter
are status of questionnaire and interviews, characteristics of respondents, employee’s
knowledge and practice of OPRAS, employee involvement in performance appraisal
function, effectiveness of OPRAS and factors affecting the effectiveness of OPRAS.
Each issue is discussed along with its implications.
4.2 General information about the Ministry of Communication, Science and
Technology (MCST)
Ministry of Communication, Science and Technology was established in 2008.
Following its formation, the Ministry developed its Strategic Plan which defined the
road map to discharge its Mandates as issued by the President of the United Republic
of Tanzania to the Ministry vide Government Notice No. 20 of February 2008.
Furthermore, the assignment of responsibilities to the New Ministry of
Communication, Science and Technology was a result of a creation of the second
Cabinet of the Fourth Phase Government. Broadly, the Ministry was mandated to
spearhead the integration of information and Communication Technology and
Science, Technology and Innovations in national development.
The formation of this Ministry is to recognition of the need for Tanzania to have
holistic development to allow it to complete regionally and globally. In order to be
able to do so, Tanzania has to develop its science, communications and technology
capacity. Efforts to use science and technology also aims at supporting the growth of
all development plans and programmes in country including the National
Development Vision 2025, the National Strategy for Growth and Reduction of
Poverty (NDGRP) and the Millenium Development Goals (MDGs). The CCM Party
45
Manifesto for years 2005-2010 has emphasized the importance of innovation, science
and communication technologies for national development.
4.2.1 Vision and Mission
Vision
The vision of the Ministry is “to have knowledge based with the capacity and
capability to harness, science, Technology and innovation and ICT for the
transformation of the economy that is suitable and globally competitive”.
Mission
To facilitate human capital development and knowledge generation for sustainable
wealth technology creation and better livelihood of Tanzania through policy
development, and promotion of science, Technology and Communications”.
4.2.2 Departments and Support Units of the MCST
The following are the Departments and support units of the Ministry of
Communication Science and Technology. These including Communications
Department, Information Communications and Technologies Department (ICT),
Science, Technology and Innovation Department (STI), Administration and Human
Resources Management, Policy and Planning, Finance and Accounts Units, Internal
Audit units, Procurement Management unit, Information ,Education and
communication units, Management Information Systems units and Legal Services
units.
The Ministry has a mandate to oversee and coordinate all National ICT activities and
those on Science, Technology and Innovation (STI).
In particular, the mandates of the Ministry are as follows:
(i) Implement Posts and Telecommunications Policies;
(ii) Science and Technology Policies and Programmes;
(iii) Acquisition and application of Science and Technology;
(iv) Development of local expertise in Science and Technology;
(v) Dissemination of Research findings regarding development of Science and
Technology.
46
(vi) Institutes of Technology: DIT, NM-AIST and MIST;
(vii) Information Technology Programmes and their implementation;
(viii) Improvement and development of human resources under the Ministry;
(ix) Extra-Ministerial Departments, Parastatal Organisations and Projects under
the Ministry, Tanzania Commission for Science and Technology
(COSTECH), Tanzania Atomic Energy Commission (TAEC), Tanzania
Telecommunications Company Ltd (TTCL), Tanzania Posts Corporation
(TPC);
(x) Government Agencies falling under the Ministry – Tanzania Communication
Regulatory Authority (TCRA).
4.2.3 The roles and Functions
The role and function of the Ministry are ;
(i) To initiate the formulation of Policy guidelines and conduct review of
Policies of Postal Services, Telecommunications Policy, Science,
Technologies and Innovation, Research and Development and Information,
Communications and Technologies.
(ii) To monitor, evaluate and set standards during implementation of policies
under the Ministry.
(iii) To coordinate and promote the use of information, Communication and
Technology (ICT), Communication services, Science, Technology and
Innovations (STI), and Research and Development(R&D) for the
development of the Nation in line with involvement of the private sector and
(iv) To oversee Regional and International Communication and linkages to the
attainment of the Ministry’s policy objectives.
In addition to its roles and functions of ensuring effective and efficient delivery of
high quality services to its customers, the Ministry is obliged to disseminate
information on polices, strategies, programmes as well as guidelines and regulations
concerning Communication, Innovation and the application of Science and
Technology for socio-economic development to a wide range of stakeholders.
47
4.3 Characteristic of the Study Respondent
4.3.1 General Background
The Questionnaire and Interview were distributed to two categories of employees.
The first were Management personnel such as Head of Departments, Assistant
Secretaries and Head of Unity representing those like to be managing and performing
appraisals. The second were Non Management personnel such as Officers, Non-
Officers and Operational Services employees who are the subject of the appraisal
process. Out of the 33 questionnaires distributed across these two groups, the
response rate was high with 30 collected and used to inform the study.
4.3.1.1 Age
Table 1, below, shows that 30 percent of respondents were aged between 21-30 years
followed by 30 percent, which aged between 31-40 years, 26.7 % aged between 41-
50 years and 13.3 percent of respondents were aged 51 years and above. These group
were likely to have enough experience to have some understanding of the OPRAS
system in place and face different challenges presented by the process and make
appropriate decisions.
Table 4.1: Age
Respondent Age
Frequency Percent Valid Percent Cumulative Percent
21-30 years 9 30.0 30.0 30.0
31-40 years 9 30.0 30.0 60.0
41-50 years 8 26.7 26.7 86.7
51 years and above 4 13.3 13.3 100.0
Total 30 100.0 100.0
Source: Researcher 2013
4.3.1.2 Gender
Table 2 below, showed that 50 percent of respondents were male and 50 percent of
respondent were female. This gender balance should work to offset any potential for
gender bias in the performance appraisal in process within MCST
48
Table 4.2: Gender
Respondents gender
Frequency Percent Valid Percent Cumulative Percent
Male 15 50 50 50
Female 15 50 50 100
Total 30 100 100
Source: Researcher 2013
4.3.1.3 Level of Education
Table 4.3, below, it was found that 83.4 percent of respondents have attained a first
degree and above. 6.7 percent of respondent’s level of education was up to
Secondary level while for 10 percent of respondents their level of education was
Primary. The educational mix of respondents is likely to have some impacts upon
the implementation of OPRAS with some respondents likely to have a greater
understanding of the process and its implications than others.
Table 4.3: Education Level
Respondents education level
Frequency Percent Valid Percent Cumulative Percent
Primary education 3 10.0 10.0 10.0
Secondary education 2 6.7 6.7 16.7
Undergraduate 8 26.7 26.7 43.3
Graduate and above 17 26.7 56.7 100.0
Total 30 100.0 100.0
Source: Researcher 2013
4.4 Objectives of OPRAS
Respondents were asked, ‘Can you mention five (5) objectives of OPRAS?’. 3.3
percent were answered the question, citing just one objective while 96.7 percent of
respondents did not answer the question. This suggests a lack of understanding of
OPRAS among respondents who avoided the question.
49
Table 4.4: Objectives of OPRAS
Can you mention Five (5) objectives of OPRAS
Frequency Percent Valid percent Cumulative percent
1
Missing 29 96.7 96.7 96.7
Help in job
distribution and
checking. The
performance with
reward accordingly
1 3.3 3.3 100.0
Total 30 100.0 100.0
Source: Researcher 2013
4.4.1 Effectiveness of OPRAS
The first objective of the research was to investigate factors affecting effective
performance appraisal system in MCST and the respondents in this part were asked
to show how Open performance Review and Appraisal system working effectively in
the MCST.
As table 4.3.1 indicate below overwhelming majority of the respondents (43.3%)
indicate they are aware of the facts while (26.7%) said they no OPRAS is not
working effectively in the MCST (26.7%) said they are not sure and (3.3%) said
they don’t know if the appraisal system working effectively in the Ministry. This
findings indicate a significant percentage of staff (almost quarter of all staff) whose
understanding of OPRAS is limited and presents a challenges that should treated
with utter urgency.
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Table 4.5: Effectiveness of OPRAS
Is Open performance Review and appraisal system working effectively in the Ministry?
Frequency Percent Valid Percent Cumulative Percent
Yes 13 43.3 43.3 43.3
No 8 26.7 26.7 70.0
I am not sure 8 26.7 26.7 96.7
I don’t know 1 3.3 3.3 100.0
Total 30 100.0 100.0
Source: Researcher 2013
4.4.2 Performance Goals and Objectives
Shih and Other (2005) who pinpointed that among factors which hinder performance
appraisal function was divergent practices in a goal setting. For this reason
respondents were asked ‘Do you have clear defined goals and performance
objectives?’. A high percentage (75.9%) of respondents answered ‘Yes’, a lower
percentage (6.9%) responded ‘No’ while 17.2 percent said that they do not know.
Table 4.6: Goals and Performance Objectives
Do you have clear defined goals and performance objectives
Frequency Percent Valid Percent Cumulative
Percent
Yes 22 73.3 75.9 75.9
No 2 6.7 6.9 82.8
I am not sure 5 16.7 17.2 100.0
Total 29 96.7 100.0
Missing System 1 3.3
Total 30 100.0
Source: Researcher 2013
4.4.3 Timely and Accurate Feedback on Performance and Growth
The further question was asked, ‘Do you get timely and accurate feedback on
performance and growth. Fourth one point four percent (41.4%) of respondents said
‘Yes’, a thirty four point five percent (34.5%) said they did not get timely and
51
accurate feedback on performance and growth while twenty four point one (24.1%)
said they are not sure if they get accurate feedback on performance and growth.
Table 4.7: Timely and Accurate Feedback on Performance and growth
Do you get timely and accurate feedback on performance and growth
Frequency Percent Valid Percent Cumulative Percent
Yes 12 40.0 41.4 41.4
No 10 33.3 34.5 75.9
I am not sure 7 23.3 24.1 100.0
Total 29 96.7 100.0
Missing System 1 3.3
Total 30 100.0
Source: Researcher 2013
4.4.4 Appraisal Process is Completely Objective
The respondents were asked if they think the appraisal process is completely
objective, the percent was high to those who said yes (64.3%) and a lower percentage
was for those who said no Appraisal process is not completely objectives (35.7%).
Table 4.7: Appraisal Process
Do you think the appraisal process is completely objective?
Frequency Percent Valid Percent Cumulative Percent
Yes 18 60.0 64.3 64.3
No 10 33.3 35.7 100.0
Total 28 93.3 100.0
Missing System 2 6.7
Total 30 100.0
Source: Researcher 2013
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The supervisors were interviewed and asked to explain if the OPRAS working
effectively in the Ministry and the Supervisors had different opinion as indicated
below:
“In the department of Administration and Human Resources the system is working
somehow. However, there are some challenges in other department while filling in
the objectives target and performance criteria. The challenges are associated with
unclear targets which are supposed to be specific, Measurable, realistic and Timely.
Some of them are not specific, some not realistic and some not measurable.
However, that does not mean that the Ministry has no strategic plan. These targets
and objectives are reflected from the strategic plans.’’
Therefore in implementing the system, staff are required to fill the Open performance
Appraisal form from which personal targets and agreed objectives are derived from
the organizations work expected to be implemented in the current year.
When asked about their view on getting timely and accurate feedback on
performance and growth, most of the supervisors answered ‘No’, due the following
reasons;
“Inadequate and unpredictable flow of funds at all and others are implemented late
as opposed to planned implementation time in the action plan.”
Another respondent when asked if they think appraisal process is completely
objective responded ‘Yes’, explaining the following;
“It translates organizational goals into performance targets to every level of staff; it
translates performance targets to measurable indicators. It agrees on performance
targets of output for each staff. I hold each individual public servant to account for
performance in terms of output. It enables setting of agreed on objectives in order of
priority. It enable setting of agreed resources available to undertake particular tasks.”
The question of OPRAS helps to shape knowledge and future growth the respondents
summarized as following: Yes OPRAS shape knowledge and future growth
opportunities.
“Due to changing the entire terrain of Public service, focus on output and service to
the client, improved time management, influence better approach of budgetary
strengthened ownership of the planning process.”
53
CHAPTER FIVE
DISCUSSION OF FINDINGS
5.1 Introduction
This chapter presents the discussion of the findings of the study following the Data
are analyzing, interpretation and discussion of data collected. The study aimed to
investigate on ‘Factors Affecting Effective Performance Appraisal in Public Sector’
in a MCST, Looking at the possibility of improving the effective performance
appraisal in a MCST. It was found that in order to have an effective Open
Performance appraisal system in the MCST there is a need to improve employees
performance .Therefore an effective Open Performance Appraisal System in the
MCST depends on the availability of clear defined organization structure, goals,
objectives, strategies and targets which are in lined with the departmental functions
and tasks. Thus the research questions developed in this study were;
(i) What are the factors that hinder the effectiveness of OPRAS in MCST?
(ii) How does OPRAS help to shape the knowledge and attitudes of the
employees in MCST?
(iii) To what extent OPRAS can help to improve employees’ performance and that
of organization.
(iv) What are the policy implications?
5.2 Factors that Hinder the Effectiveness of OPRAS in MCST
As mentioned earlier, the main aim of this study was to identify the factors that
hinder the effectiveness of OPRAS in the Ministry. The findings show that many
employees do not know how to relate the organizational goals with their job
descriptions due to unclear defined goals which prevents them to link their
departmental objectives/goals. Lack of ownership/ignorance of the employees to find
out to understand Mission, Vision and organizational goals. Furthermore, findings
depict
54
5.2.1 Lack of Suffiencient Training
Another factor in the findings was lack of Sufficient training to employees on
OPRAS. This research discovered that most cadres lacked sufficient training on the
new system of OPRAS. Insufficient Training influence performance Appraisal
System in terms of the ability of the Ministry to train employees on how to manage
and operationalize the system
.
In this case, the Ministry should emphasize more on such training to equip
employees with the new system. Furthermore, training should begin with those in the
level of Management that will be involved in administering the program and
providing training for lower levels of supervisory. Once these senior managers have
bought into the system, the next step would be to provide skills to junior managers
and supervisors. It is however suggested that specific training should include at least
the following: supervisor skills; coaching and counseling; conflicting resolution;
setting; performance standards; linking the system to pay (assuming his is the aim of
the appraisal system) and providing employee with feedback.
5.2.2 Lack of Performance Feedback
Also, the findings show that there was Lack of Performance feedback to the
employee in the MCST; It was hypothesized that communication feedback to
employees about their performance appraisal result should relate to the effectiveness
of performance Appraisal. Communicating feedback influence performance appraisal
in the sense that Appraisal result should be provided to employees or appraise during
the Appraisal process so that to provide feedback to them on how they are
performing in their job whether it is satisfactory or unsatisfactory.
Performance Appraisal should provide the employee with feedback about his or her
performance during the period of appraisal. Most employee want constructive
feedback on how they are performing the performance evaluation system, the
Performance Evaluation system could be effective if the employees got feedback on
how they were doing. Such feedback has a motivational effect on employee. If the
employee’s performance was appraised as satisfactory, performance Appraisal
55
becomes a recognition for good work done and an expression of gratitude’s from the
employer, and thus encouraging the employee to work harder.
However, if employees’ performance was appraised as unsatisfactory, Performance
Appraisal becomes a sign of disapproval by the employer and sends a message that
unless the employee improves his performance, appropriate punitive action,
including removal should be expected. Performance Appraisal thus becomes a useful
basis for behavior modification in order to meet the employer’s expectations.
5.2.3 Link between Rewards to Performance Appraisal result to new system in
the Public Service
Moreover, there was no link between rewards to the performance appraisal result to
new system in the public service organization.
The findings from the interviewees show that one of the problems which hinder the
effectiveness of OPRAS in the MCST is the way employees were given rewards
related to performance on flat rate and this system could not distinguish between
performance and non-performers. This means that they are filling the OPRAS forms
as business as usual and when it comes for the employee to get rewards they give
him/her because it was the time to get it not because there was a link between
rewards to performance appraisal result. Link between rewards to Performance
results, In this case performance Appraisal can be influenced by establishing a clear
define mechanism or system to address like appropriate rewards to best performers.
However, it was also found that appraisal forms were designed without participation
of employees and that why the goals that drove performance appraisals were not
meaningful measures to the employees.
5.3 The knowledge and Attitudes towards OPRAS among Employee in the
Ministry
The study also aimed at measuring the level of employee’s knowledge employees of
the performance appraisal system in use. The results from questions number 1-2 of
part C and question number 2,3 and 5 of part D in questionnaire (see Appendixes I)
56
were used to answer this research question and to achieve the corresponding
research objective. The results showed that the Knowledge and attitudes towards
OPRAS among employees influence effective performance appraisal in terms of
number of employees who are knowledgeable and able to implement the system.
majority of employees at MCST are knowledgeable and furthermore when asked if
they having received any training about the OPRAS, the results indicated that the
employees had attended and received some training. However, further interviews
revealed that the training was conducted in groups. Some groups had different
training duration; some of them attended two days, others one day and others just
some hours depending on the resources This implies that the training provided was
inadequate to understand and practice OPRAS. That might be the reason why public
servants are complaining that this system is complicated and not easily
implementable. This is in agreement with Ngirwa (2005) who pointed out that
managers and supervisors should be knowledgeable on performance appraisal
function in order to be able to administer the performance effectively.
5.3.1 Perceived Justice in performance Appraisal Process
In this study, performance appraisal has shown that most employees believed their
appraisal systems was fair. However, they showed resistance to appraisal systems
because they did not believe that the systems measure performance appraisal
accurately, and they believe that the systems reflected supervisory bias. The finding
presented in the chapter seemed to be true to observation. Perceived Justice Influence
performance Appraisal System in terms of number of employees’ perception and
biasness about a justice in the performance appraisal process and its effect during the
rating exercise.
It was hypothesized that the employee’s perception of justice in the performance
Appraisal systems would positively correlate with the effectiveness of performance
Appraisal. Although there was a divergence of opinion between the employees and
managers on their perception of justice in the performance process at MCST,
majority of the employees 63.3% felt that performance appraisal process was fair
57
while 36.7% of the employee felt that performance appraisal process was inaccurate
and not fair.
An employee’s perception about justice in the performance appraisal process will
affect the effectiveness of the performance appraisal process. If an employee
perceives that there is justice in the performance appraisal system, the performance
appraisal will be more effective in achieving goals of the organization.
in addition, biasness was also observed between employees and managerial attitudes
during the rating exercise.. For example, employees who are likely to receive poor
results in their appraisal have an interest in underlining the deficiencies in the system
and vice versa for those who receive positive assessments. Managerial staff who
perform the appraisals can also be biased in differentiating any negative assessments
of the system from their own role in the process.
5.4 The extent to which OPRAS can help to improve Employees’ Performance
and that of Organization
The findings revealed that OPRAS has the potential to improve employee
performance because the information from OPRAS form can be used in awarding
increments, planning job, rotations and training programmes and making
appointments to higher posts. The OPRAS requires all public servants and their
managers to develop their personal objectives based on strategic planning process
and the organizations’ respective service delivery targets. In addition, it is used to
develop the individual performance plan both the supervisor and subordinate have to
agree on performance objectives, performance targets, performance criteria and
required resources in order to achieve the set targets and objectives. Furthermore, the
appraisal system which provides the opportunity for dialogue between the appraisal
and the appraised is more likely to improve performance than a system of staff
appraisal which is closed and unilateral. Moreover, there must be Mid-Year Review,
which is important in order to keep track of the employee-cum appraiser’s progress
in terms of meeting the annual personal objectives and to identify the resources needs
that will be required to carry out the remaining six-months plan.
58
However, the interviewees argued that the incentives that the appraisal process can
provide in the form of promotions, salary increases linked to positive appraisal
results fails to achieve its aim to improve workers’ motivation and performance
because the reward process is clearly misunderstood by the employees.
They continued to comment that the system also fails to capitalize on the
opportunities that appraisal results can present for the formulation of appropriate and
targeted training and development programs for employees. In this case, assessment
interviews only occur in the completion of written forms with the process lacking a
clear, established structure required to examine the reasons why performance has not
matched standards and then agreeing and implementing the actions required to
remedy the differences. Employees also argue that OPRAS form was not user
friendly as it was too demanding and most respondents were not familiar with the
objectives outlined. As a result, the exercise of filling such form took long time more
than necessary and therefore stretched out the entire appraisal process. These all
imply that for many employees the appraisal system is still misunderstood, which can
hamper its effective operation.
5.5 The Challenges Faced When Implementing OPRAS
The results indicate that there are challenges faced when implementing OPRAS. It
was found that the design of a system was driven by an urge to meet requirements as
given by law rather than what OPRAS requires in order to maximize positive
outcomes for organizations and employees.
Inability to involve all staff inclusive of in planning process due to logistical
problems was also observed along with a failure to train all staff about the system
and include them in the development of individual performance targets and criteria.
Supervisors can also become too lenient in their assessment of performance when
faced with peer pressure and a lack of incentives for performing accurate and
objective appraisals.
59
Staff often display a resistance to change creating cases of negative compliance with
performance management system tools, only enhanced by feelings of a lack of
ownership of the a new system and commitment to its implementation.
There is yet to be established the clear defined Mechanism on how to address issues
like appropriate rewards to best performers in the Medium term expenditure
framework. Also there was still a negative attitudes for both supervisors and
appraises, because the system requires positive acceptance of criticism and
comments.
In case of performance feedback the challenge was no clear established criteria to
assess whether previous development measures have yielded positive results in
terms of improving the performers of the employee.
Also in case of sufficient training, the challenge was the need to carry out
comprehensive Training Need Assessment in order to identify required competences
to execute departmental goals basically the intention to bridge the gap between job
requirement and present competences of the employees inoder to improve their
performance.
However, there was no link between rewards to the performance appraisal result to
new system in the public service organization. Here the challenge was the need to
review the Minister Strategic plan and action plan so as to establish clearly defined
organizational goals targets and performance indicators a criteria’s
60
CHAPTER SIX
SUMMARY, CONCLUSIONS, RECOMMENDATIONS AND POLICY
IMPLICATIONS
6.1 Introduction
This chapter summarizes the study, concludes the overall findings and provides
recommendations to address for the way forward to better understand the factors that
affect the effectiveness of performance appraisal in public sectors.
6.2 Summary
The research explored the factors that affect the effectiveness of performance
appraisal in MCST in Dar es Salaam, with a focus on determining the knowledge and
practical experiences of MCST employees with the OPRAS. More specifically, the
research sought to examine how OPRAS is carried out with the intent of achieving
the objective of improving employees and organization performance in MCST and to
identify the factors that inhabit effectiveness of OPRAS in MCST. This descriptive
study involved a sample size comprised of 33 employees out of a total of 124. Of
these 33 respondents, 30 returned complete responses. The sample size was selected
through stratified and random sampling techniques. The data was collected through
documents review, interview questionnaire, observation, and subsequently analyzed
using SPSS and through frequency distribution tables.
The main findings regarding to knowledge and practice of OPRAS in MCST were
clearly demonstrated through the questionnaire responses. In general, employees
were knowledgeable and attended training as required. However, through further
interviews it was revealed that there were some problems in time allocated in training
employees on OPRAS. In additional to that, the findings have shown that there is a
lack of uniformity in performance appraisal function. Moreover, OPRAS was not
successfully implemented at MCST and its implementation was not carried out
effectively even after interview feedback.
61
As revealed in the Literature Review, in theory employee’s involvement performance
appraisal should involve participation in setting objectives targets, annual planning,
and annual performance appraisal. However, the interviews revealed that process of
cascading objectives confused most of employees’ especially those in lower cadres.
The OPRAS form was found to be not user friendly because of being too demanding.
Deficiencies in the effective use of OPRAS to improve employee organizational
performance were also cited. The inability to successfully link incentives with
appraisals results from OPRAS, poor efforts to implement reactive actions to address
weaknesses in employee performances highlighted via appraisal and employees
difficulties in setting appraisal objectives all contribute to the reduced effectiveness
of OPRAS to influence employee and organizational performance.
6.3 Conclusion
From the findings, the researcher concludes that, there are factors that affect the
effective Performance Appraisal in Public Sector’ in a Ministry of Communication
Science and Technology, Looking at the possibility of improving the effective
performance appraisal in a MCST. The effective Open Performance appraisal system
in the MCST depends on the availability of clear defined organization structure,
goals, objectives, strategies and targets, which lined with the departmental functions
as assessed and discussed in chapters four and five.
First, Employee do not know how to relate the organizational goals with their job
descriptions due to unclear defined goals which prevents them to link their
departmental objectives/goals. Lack of ownership/ ignorance of the employees to
find out to understand Mission, Vision and Organizational goals.
Second, Most employee want constructive feedback on how they are performing.
The performance evaluation system could be effective if the employees get feedback
on how they are performing and more importantly, performance appraisal must be
linked with rewards to motivate those who perform extra ordinary.
62
Third, Employees are feeling that OPRAS forms are business as usual and when it
comes to reward to staff are rewarded equally regardless of efforts used by
individuals as stated in the appraisal system, in other words, there is no relationship
between performance of individuals and rewards given to staff on annual basis.
Therefore, the analysis of findings indicate that the appraisal forms were designed
without participation of employees and that is why the goals that drove performance
appraisals were not meaningful to them.
6.4 Recommendation / Policy Implication
The Open performance Appraisal and evaluation system in the Public service is
mandatory, operating in every organization for all its public servant, as provided for
in the public service Act. No.8 of 2002. The objective of the system is to discover
evaluation and document the potential and shortcomings of individual to enable
measures to be taken for improvement of efficiency and effectiveness in public
service. The main function is to pursue result oriented management and insure that
the services Mission driven.
Therefore, in order to improve the performance appraisal system in place several
recommendation should be considered in order to advance efforts to achieve the
ultimate goal of developing an employee performance and improvement
organizational delivery of services to the public.
6.4.1 Appropriate Training Required
OPRAS facilitators should undergo the appropriate training and orientation in
OPRAS. This will help ensure that appraisals are conducted properly and enable staff
members to review the purpose and philosophy behind the performance appraisal
function.
6.4.2 Good Performance Should be Rewarded
Good performance should be rewarded by the MCST. Those who performed well
should be rewarded in a coherent and fair manner. This can be done through an
effective performance appraisal function, wherever practicable. Management
63
decisions, regarding for example, promotions, salary increments, transfer, demotions
termination, training etc., should be based on results of performance reports. This
will help employees to change their attitudes towards performance appraisal
functions and improve the overall efficiency and service delivery.
6.4.3 Management Role towards OPRAS
The higher management should give full support to OPRAS implementation both
financially and morally in order to promote the successful use of the performance
appraisal system.
6.4.4 Appraisal System is Designed More Efficiently and Effectively
It is important to make sure that appraisal system is designed so that it can be more
efficiently and effectively adopted to each candle in MCST. Specifically, more
attention needs to focus on the education of the lower lever staff cadres to ensure the
effectiveness of an appraisal system. Feedback from these low-level cadre members
should also be taken into priority to ensure adjustments to the process can be made as
needed.
6.4.5 Review of Strategic Plan
In this case, the Ministry should review the strategic plan, action plan and goals so as
to realign with departmental goals, functions, tasks and job description.
6.4.6 Enhance Performance Feedback
In this case, efforts should be made to establish the clear defined Mechanism on how
to address various development measures like Training, Appointments and job
rotations.
6.4.7 Establish link between rewards and Performance Result
In this case the Ministry should establish and come up with package which will be
integrated in the medium term expenditure. For example financial rewards/ bonus.
64
6.4.8 Provide Training towards OPRAS Practice
In this case, the Ministry should look for other overview for fund in order to enable
staff to perform their job well.
6.4.9 Introduce participatory approach in the planning process
In this case, the ministry should involve its staff in overall planning process,
including developing of the individual performance targets goals and criteria.
6.5 Areas of further studies
In accordance with the finding from this study, further studies can be done on the
performance Appraisal specific in enhancing Effective performance Appraisal in
Public sector.
6.5.1 Specific Training
It is suggested that further studies should be done to the specific training include at
least the following; Supervisor skills, Coaching and Counseling, Conflicting
resolution, Setting Performance Standards, linking the system to pay(assuming is the
aim of the appraisal system) and providing employee with feedback.
6.5.2 Appraisal Form
The further studies should be done to the appraisal form, because there was no link
between rewards to performance Appraisal result to new system in the Public Service
organization.
65
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APPENDICES
Appendix 1: Organization Structure
The Organisation Structure of the Ministry of Communication, Science and
Technology
Minister
Administration and Human
Resources Management Division
Director Policy and Planning Division
Director
Finance and Accounts Unit
Chief Accountant
Internal Audit Unit
Chief Internal Auditor
Procurement Management Unit Director
Science, Technology and
Innovation Development,
Promotion and Transfer
Section
Information and Communication
Technology Unit
Principal Computer Systems
Analyst
Communication
Division
Director Information and Communication
Technology Human Resources Development Services Section
Information and Communication
Technology Infrastructure
Development Systems and
Services Section
Research & Development
Section
ASSISTANT DIRECTOR
Legal Services Unit
Principal Legal Officer
Government Communication
Unit
Principal Officer
Permanent Secretary
Science, Technology and
Innovation Division
Director
Information and Communication
Technology Division
Telecommunication
Services Section
Postal Services Section
IT Technological Development
Systems and Services Section
72
APPENDEXES II
QUESTIONNAIRES ON FACTORS AFFECTING THE EFFECTIVE
PERFORMANCE APPRAISAL IN THE PUBLIC SECTOR (for general staff)
The aim of this study is to identify the ‘Factors affecting the effective Performance
Appraisal in the Public Sector’ so that future plans can cater to improving the
performance and suggest reforms and appropriate policies for the implementation of
OPRAS in the Public Sector. However, the solution to this problem will assist
policymakers in Tanzania and other stakeholder countries to adopt, implement and
improve the System. The completion of this research will help me to fulfill my
programme of MSc. HRM undertaken at Mzumbe University. Identifying the factors
for ineffective performance appraisal is essential for accountability, transparency;
clear objective and direction of the Ministry hence deliver quality services to the
citizens. Therefore, I will appreciate if you complete this questionnaire to the best of
your knowledge. It has been divided into seven parts, each assessing a single
dimension and comprises of open-ended and closed questions. This study is purely
for academic purpose and all data collected shall be treated with at most
confidentiality. In case of any inquiry or concern, please contact me or via
[email protected] and I will get back to you as soon as possible. Thank
you in advance for taking your invaluable time to provide feedback.
PART A: PERSONAL DETAILS
1. Your Age…….
(i) 21-30years ( )
(ii) 31-40years ( )
(iii) 41-50years ( )
(iv) 51years and above ( )
2. Designation: ………………………………………………………………….
3. Department/Unit……………………………………………………………….
73
4. Your sex……
(i) Male ( )
(ii) Female ( )
5. Your education level
(i) Primary education ( )
(ii) Secondary education ( )
(iii) Undergraduate ( )
(iv) Graduate and above ( )
PART B: PERFORMANCE
1. What do you understand by Open performance Review and Appraisal System
(OPRAS) with its objectives in the Public Service?
…………………………………………………………………………………
…………………………………………………………………………………
Tick One
2. Is Open performance Review and appraisal system working effectively in the
Ministry?
(i) Yes { }
(ii) No { }
(iii) I am not sure { }
(iv) I do not know { }
3. Do you have clearly defined goals and performance objectives
…………………………………………………………………………
(i) Yes { }
(ii) No { }
(iii) I am not sure { }
(iv) I do not know { }
74
4. Do you get timely and accurate feedback on performance and growth
………………………………………………………………………….
(i) Yes { }
(ii) No { }
(iii) I am not sure { }
(iv) I do not know { }
If no, give reasons
………………………………………………………………………………..
…………………………………………………………………………………
6. Do you think appraisal process is completely objective
………………………………………………………………………………..
…………………………………………………………………………………
(i) Yes { }
(ii) No { }
If yes, how?
.............................................................................................................................
7. Are the promotion decisions are directly linked to performance
…………………………………………………………………………………
…………………………………………………………………………………
8. Is the appraisal process fair and transparent
…………………………………………………………………………………
…………………………………………………………………………………
If yes please explain how
…………………………………………………………………………………
75
PART C: Rewards and Recognition
1. Do you receive adequate recognition for any contributions in your Ministry?
…………………………………………………………………………………
…………………………………………………………………………………
2. Does the Ministry recognize and honour performance
…………………………………………………………………………………
…………………………………………………………………………………
3. Are excellence in performance and achievement of results rewarded in time?
(a) If Yes how? And if No. Why?
…………………………………………………………………………………
…………………………………………………………………………………
4. Is the process of rewarding employees clearly understood by employees?
…………………………………………………………………………………
…………………………………………………………………………………
PART D: Career and Personal Growth
1. Can OPRAS help to shape your knowledge and future growth opportunities
for yourself?
If yes, explain how
...............................................................................................................………
…………………………………………………………………………………
2. Do you think OPRAS can help to shape Employees’ attitude towards
productivity in the Ministry?
3. How can OPRAS help to improve employees’
performance?...............................
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4. Can OPRAS provide free opportunities to learn and grow in different areas
during performing the duties?
........................................................................................................................
………………………………………………………………………………….
5. Does the Ministry provide adequate training on how to write the Objectives
and targets for OPRAS? Yes or No?
If No, explain
………………………….…………………………………..…………………..
…………………………………………………………………………………
6. Do you think the Performance Appraisal result used for Management decision
like promotions, Salary increase training.
(i) (a) Strongly Agree { }
(ii) (b) Strongly disagree { }
(iii) Not sure
PART E: Work Environment
1. Are the physical working conditions conducive for effective functioning of
performance Appraisal system exercise in the Ministry?
………………………………………………………………………………
2. What are the weaknesses of OPRAS exercise?
PART F: Relationships at Work
1. Does your supervisor provide all the support you need to do your job
well?…..
2. Does your superior provide guidance and takes keen interest in your
development?…………………………………………………………………
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3. Doe your superior provide clear direction and priorities for the
department/Unit?……………………………………………………………….
4. Does your superior provide timely guidance to enable you to perform the job
effectively………………………………………………………………………
5. Does your superior encourage teamwork and co-operation within the
department/Unit………………………………………………………………
PART G: Communication (Feedback)
1. Are you provided with feedback after the rating
exercise?…………………………..
2. Do you have a clear understanding of the Ministry’s vision, mission and
goals………………………………………………………………………
3. Are you satisfied with the information that you receive from the management
on what is going on in the Ministry?………………………..
NB:
*You can provide your answers on a separate sheet
THANK YOU FOR YOUR COOPERATION
78
QUESTIONNAIRES ON FACTORS AFFECTING THE EFFECTIVE
PERFORMANCE APPRAISAL IN THE PUBLIC SECTOR (For senior
management)
The aim of this study is to identify the ‘Factors affecting the effective Performance
Appraisal in the Public Sector’ so that future plans can cater to improving the
performance and suggest reforms and appropriate policies for the implementation of
OPRAS in the Public Sector. However, the solution to this problem will assist
policymakers in Tanzania and other stakeholder countries to adopt, implement and
improve the System. The completion of this research will help me to fulfill my
programme of MSc. HRM undertaken at Mzumbe University. Identifying the factors
for ineffective performance appraisal is essential for accountability, transparency,
clear objective and direction of the Ministry hence deliver quality services to the
citizens. Therefore, I will appreciate if you complete this questionnaire to the best of
your knowledge. It has been divided into four parts, each assessing a single
dimension and comprises of open-ended and closed questions. This study is purely
for academic purpose and all data collected shall be treated with at most
confidentiality. In case of any inquiry or concern, please contact me or via
[email protected] and I will get back to you as soon as possible. Thank
you in advance for taking your invaluable time to provide feedback.
PART A: PERSONAL DETAILS
1. Your Age…….
(i) 21-30years ( )
(ii) 31-40years ( )
(iii) 41-50years ( )
(iv) 51years and above ( )
2. Designation/position: ………………………………………………………….
3. Department/Unit………………………………………………………………
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4. Your sex……………………………………………………………………
(i) Male ( )
(ii) Female ( )
5. Your education level
(i) Primary education ( )
(ii) Secondary education ( )
(iii) Undergraduate ( )
(iv) Graduate and above ( )
PART B: PERFORMANCE
6. What do you understand by Open performance Review and Appraisal System
(OPRAS) with its objectives in the Public Service?
…………………………………………………………………………………
…………………………………………………………………………………
7. Do the subordinate/employees participate in setting standards of their job
performance
(i) Yes { }
(ii) No { }
Tick One
8. Is Open performance Review and appraisal system working effectively in the
Ministry?
(i) Yes { }
(ii) No { }
(iii) I am not sure { }
(iv) I do not know { }
80
9. Do you get timely and accurate feedback on performance and
growth…………….
(i) Yes { }
(ii) No { }
(iii) I am not sure { }
(iv) I do not know { }
If no, give reasons
………………………………………………………………………………….
…………………………………………………………………………………
10. Do you think appraisal process is completely objective
(i) Yes { }
(ii) No { }
If yes, how?........................................................................................................
11. Are the promotion decisions are directly linked to performance
…………………………………………………………………………………
…………………………………………………………………………………
12. Is the appraisal process fair and transparent
………………………………………………………………………………
If yes please explain how
…………………………………………………………………………………
…………………………………………………………………………………
13. Do you think OPRAS can bring effective leadership from top
management?…………………………………………………………………..
14. To your understanding, can OPRAS provide a clear and effective
performance for the Ministry?…………………………………………………
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15. Does the top management through OPRAS communicate a clear goal and
vision of where the Ministry should be
…………………………………………………………………………………
…………………………………………………………………………………
16. Can the top management continue using OPRAS to give recognition for good
performance?.......................................................................................................
17. Are there any reforms or policies that can be put in place to improve the
rating (OPRAS) exercise for the Public Servants in the public service?
…………………………………………………………………………………
…………………………………………………………………………………
PART C: Career and Personal Growth
1. Have you received any formal training course on how to conduct in
Performance Appraisal
(i) Formally trained { }
(ii) Partially trained { }
(iii) Not trained { }
2. Can OPRAS help to shape your knowledge and future growth opportunities
for yourself?
If yes, explain how.
…………………………………………………………………………………
…………………………………………………………………………………
3. Do you think OPRAS can help to shape Employees’ attitude towards
productivity in the Ministry?
…………………………………………………………………………………
…………………………………………………………………………………
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4. How can OPRAS help to improve employees’ performance?
…………………………………………………………………………………
…………………………………………………………………………………
5. Can OPRAS provide free opportunities to learn and grow in different areas
during performing the duties?
…………………………………………………………………………………
…………………………………………………………………………………
6. Does the Ministry provide adequate training on how to write the Objectives
and targets for OPRAS? Yes or No?
If No, explain
………………………….………………………………………………….
…………………………………………………………………………………
7. Do you think the Performance Appraisal result used for Management decision
like promotions, Salary increase training.
(i) Strongly Agree { }
(ii) Strongly disagree { }
(iii) Not sure
83
PART D: Work Environment
1. Are the physical working conditions conducive for effective functioning of
performance Appraisal system exercise in the Ministry?
…………………………………………………………………………………
…………………………………………………………………………………
………………………………………………………………………………….
2. What are the weaknesses of OPRAS exercise?
…………………………………………………………………………………
…………………………………………………………………………………
………………………………………………………………………………….
NB:
*You can provide your answers on a separate sheet
THANK YOU FOR YOUR COOPERATION