14 69-1-pb

29

Journal of Economics, Business and Accountancy Ventura Volume 14, No. 1, April 2011, pages 29 – 44Accreditation No. 110/DIKTI/Kep/2009

DESIGNING CBA MODEL OF PERFORMANCE APPRAISAL SYSTEMAS A MERIT RATING

FOR HIGHER EDUCATION INSTITUTION

Tjahjani PrawitowatiTatik Suryani Lutfi

STIE Perbanas Surabaya, IndonesiaE-Mail: [email protected], [email protected], [email protected]

Jalan Nginden Semolo 34-36Surabaya, 60118 Indonesia

ABSTRACTPerformance appraisal system as part of human resource management tools for higher edu-cation institution plays an important role in motivating and increasing educators and sup-porting staff’s performance. It is very valuable for higher education institutions. Yet, in edu-cation affairs, this is still considered less. This research attempts to design competence-basedperformance appraisal system for higher education institution. Depth interview, secondarydata, and questionnaire are used as the instruments. It is conducted in three types of highereducation in Indonesia. In terms of professionalism, social competence, and pedagogicalcompetences, it is found that there are three competencies, namely core competency, mana-gerial competency, and technical competency. Core competency is referred to organization’svalue, varied among higher education institutions, but mostly includes integrity, customerorientation, achievement orientation, initiative, teamwork, empathy, and adaptability. Interms of managerial competencies, most higher education institutions consider planning,problem solving, influencing others, empowerment, supervising, and controlling. For techni-cal competencies, they include computer literacy, English mastery and job technical mastery.

Key words: performance appraisal, core competencies, managerial competencies, technicalcompetencies, CBA Model.

INTRODUCTIONIt is a fact that realization of governance andmanagement system of Higher Education(HE) is one important pillar in the HigherEducation Long-Term Strategy (HELTS).HE in Indonesia is expected to implementgood governance in education, such as byimplementing it in the management of Hu-man Resources (HR). Performance appraisalsystem needs desining so that HE can evalu-ate performance, coaching, and developmentto contribute to the increasing competitive-ness of HE.

A good performance appraisal system isrelated to the capability to develop the hu-man resources’ competencies and form aculture allowing HE to have a source ofcompetitive advantage. Considering the ex-

ternal challenges, particularly the Republicof Indonesia Law (Number 14 of 2005)about Teachers, Lecturers, and AccreditationStandards Institution and Study Program, thetraditional performance appraisal systemshad to be abandoned, and replaced withcompetency-based performance appraisalsystem. Development of competency-basedassessment system or CBA model (Compe-tency Based Appraisal) as the basis of meritrating is a strategic value because it can fa-cilitate the HE in making decisions and poli-cies for fostering and developming humanresources, payroll, reward-punishment sys-tem implementation, as well as for careerdevelopment.

Governance and management systemshave a strategic role to influence the per-

mailto:[email protected]



30

ISSN 2087-3735 Designing CBA Model … (Tjahjani Prawitowati)

formance of higher education institutions.One of the roles is to improve productivityand performance of human resources (teach-ers and education personnel), that is the per-formance appraisal system which can beused for merit rating. In addition, the exis-tence of competency-based performanceappraisal system directed to the interests ofmerit rating is important because it will en-sure objectivity, fairness and clarity for thelecturers and supporting staff and manage-ment of HEI.

Some reasons for the above are in termsof the aspect of external and internal inter-ests of HE. External considerations include1) adjustments to the regulations, where ActNo. 14 of 2005 for the Teachers and Lectur-ers began regulating the competence of lec-turers, and other regulations related to ac-creditation standards in international and na-tional accreditation: institutional and pro-gram levels. This demanded HE to direct themanagement of its human resources to com-ply with existing regulations and standards;2) Competition, the higher intensity of com-petition among HEIs demans skill, knowl-edge and positive working attitude oflectur-ers and supporting staff. In connection withthe above description, the competence andproductivity is vital in accordance with theirrespective job. Competency-based perform-ance appraisal system can serve as a founda-tion to achieve organization goals; 3) levelof competitiveness: global and nationalcompetitiveness can be increased make it animportant measure of a nation and HE. Auniversity which aims to have global com-petitiveness and performance requires ahigher competency than those at the nationallevel. Thus, competency-based performanceappraisal system can be designed accordingto the desired competitiveness by the HEI,through the establishment of core compe-tence, managerial competence and technicalcompetence, adjusted to competitiveness tobe achieved HEI.

The internal considerations deal withgood HR management and this plays an im-portant role to realize the performance of

HEI. Faculty and staff productivity will in-crease if the work behavior is directed atachieving the demands of work productivity.Lecturer productivity in teaching, research,and community service is also influenced byboth intrinsic and extrinsic motivation andHR management system.

This research attempts to design a per-formance appraisal system, as the basis ofmerit rating in universities so that it encour-ages the development of HR competencies.It also aims to produce a system and per-formance evaluation procedure covering: adescription of competence in each type ofcompetencies such as Core Competency,Managerial Competency, Technical Compe-tency and required level. Design of systemperformance evaluation procedures outlinedin the manual of performance appraisal sys-tem (CBA model).

The results are for a) Making policy anddecision making for coaching, training andhuman resource development particularly inimproving the competence of staff b) De-veloping system-based compensation and re-ward by merit rating; c) employee careerdevelopment; d) controling and monitoringHR management; e) as a tool of motivationand feedback process for the educator andsupporting staff; f) provision of data-basedsupport for decision-making related to otherhuman resource management.

The problems cover: 1) how can the per-formance appraisal system design (CBAmodel) be used as merit rating in the HRmanagement of HEI? 2) What is the righttype of core, managerial and technical oroperational competence if using an indicatorof the performance appraisal system design(CBA Model)?

THEORITICAL FRAMEWORKJob AnalysisJob analysis is a process to find, identify,and analyze information about employmentor duties in work situations. It is the initialprocess of a HR management. It creates ajob description and job specifications for thebasis of HR management, from their work-

31


force planning, performance appraisals, em-ployee development, and remunerationprocesses.

Job analysis must be done by all or-ganizations because it results in the form ofjob description and job specifications. Thiscan be used as a working guide, standard orbenchmark for assessing employee perfor-mance. It also contains a formal statementabout the duties, responsibilities, and author-ity as well as the interaction of a particularjob. Beside, it aslo indicates what is done insuch positions, the way, and why to do thejob, as well as the quality of the minimumcompetencies that can be accepted for per-sonnel in a specific job.Performance Appraisal SystemPerformance appraisal system will improvethe effectiveness of decision-making proces-ses relating to human resources and emplo-yee satisfaction (Steensma, 2007, pp. 101-102). The objective of performance appraisalis used to allocate merit pay system, the ba-sic justification for the promotion process,measure the training needs of employees,and for legal purposes: accurate documenta-tion for decision-making process or unex-pected conditions (such as sanctions, termi-nation). Reinke (2003, p. 23) adds that themain purpose of performance appraisal is 1)the development, which focuses on improv-ing employee performance by identifyingopportunities for employee growth and de-signing organizational resources that supportemployee growth process, 2) summative,which focus on the things associated withextrinsic rewards such as promotions or sa-lary. Thus, the use of performance appraisalin organizations in general are administra-tive purposes such as allocation of rewards(salary increases, bonuses) and assignmentdecisions (such as promotion, transfer, de-motion) and for staff development purposes,namely to identify the strengths and weak-nesses of employees, providing feedbackrating (Tziner, 2000, pp. 175-176).

The approach which is used in the as-sessment of performance will have an im-pact on the effectiveness of the process and

outcome performance assessments. A num-ber of approaches can be used to evaluatejob performance (Steensma, 2007, p. 102),such as 1) the measurement of performance,2) personnel data, 3) self-assessment andpeer assessment, 4) evaluations from superi-ors, and 5) a combination of various meth-ods, including of 360 degree feedback.

Attitude toward Performance AppraisalReinke (2003, p. 23) states that trust andacceptance of performance appraisal processis influenced by several things: relevance,length, and complexity of form and per-formance appraisal systems, a number oftraining. Carson, Cardy and Dobbins in Re-inke (2003, p. 23), mention three criticalassumptions of performance assessment,namely 1) in actual, employees will differ incontributing to the organization, 2) thecauses of these differences is the existenceof individual differences, 3) Supervisor areable and willing to distinguish the attributesof individual job performance with othersources.

Attitudes toward the performance ap-praisal (Reinke, 2003, p. 25) reflected fromthe attitude towards justice and acceptanceof the appraisal system, which is influencedby the forms of assessment, organizationalcharacteristics, and individual characteris-tics. Fairness and accuracy of performanceappraisal system can form an opinion on theemployee performance appraisal determinedby the frequency of assessment, knowledgeof the Rater on the Ratee’s duties and re-sponsibilities and understanding the level ofperformance, a number of objectives to beachieved, compliance with performance ap-praisal goal, two-way communication andemployee participation, the relevance be-tween tasks and assessment factors, thetraining on performance appraisal, practicalthings like ease of administration of per-formance appraisal, the length and com-plexity of forms of performance assessment.

Satisfaction with the appraisal can becaused by various factors from the assess-ment system itself. Rater satisfaction about

32


assessment methods is a crucial element forperformance appraisal system. Its effective-ness and feedback depend on the acceptanceRater on the performance appraisal system(Tziner, 2000). Its existence is also a causeof satisfaction with the performance ap-praisal system. Tziner (2000) argues, train-ing can develop Rater’s skills in observingand recording behaviors associated with per-formance dimensions, also raise Rater’sawareness about the differences between theperformance dimensions and behavioralcomponents, providing insight to the Raterabout the dimensions of each performance,and train Rater in setting specific. Thus, thedata record about positive or negative em-ployee behavior is important in the objectiv-ity of competency-based performance ap-praisal system.

CompetencySpencer & Spencer (1993) argue that com-petence is a basic characteristic that affectsthe way of thinking and acting, making gen-eralizations to all the situations they faced,and survived long enough in humans. In ad-dition, Achmad S. Ruky (2006), assert that itincludes a set of personal characteristics,knowledge, and skills that affect the largestpart of a job and has a causal correlation onperformance. Beside, it can be measured bya acceptable standard and enhanced throughtraining and development. Thus, it can beconcluded that the competency held by indi-viduals is the personal characteristics thatwould predict the actions of individual be-havior, work skills and work attitude in asituation or environment. These characteris-tics underlie a person in the act of work re-lated to the effectiveness of individualperformance on the job.

Competency-Based Appraisal (CBA)ModelThe performance evaluation is a systematicmeasurement of employee performance, inthe form of employees' strengths and weak-nesses related to the execution of tasks,compared with a predetermined standard

work, standard of organization, section, upto individual performance targets (Lutfi, etal, 2007 ; Kavanagh, 2007).

Levenson (2006); Ozçelik (2006); Abra-ham (2001), argue, competence can predictwho is superior performer, to poor perform-ers (marginal contributor), measured fromthe stipulated criteria. Such information canbe obtained through the performance ap-praisal system, using the CBA model.

Suc a system is designed to assist thevarious management systems. In organiza-tions, the system is designed for two pur-poses (Tziner, et al., 2007), 1) to assist theadministrative process relating to the alloca-tion of rewards and to assist decision makingrelated to promotion, transfer and demotion;2) to assist in employee development prog-rams. Through the performance appraisalwill be known the strengths and weaknessesof employees. Through the feedback pro-cess, employees can be used as a basis forimprovement that facilitates the Supervisorto do the coaching and guidance. It can beused to evaluate performance, the qualityand quantity achieved by employees. There-fore, assessment of performance than can beused to evaluate individual and organiza-tional performance (Walsh, 2005).

CBA model is an assessment based oncompetencies of the employees comparedwith those required at the position. Its effec-tiveness also requires a complement that isIndividual Performance Target which con-form with the objectives of the unit, section,and the institution overall.

Dimension of CompetencyAccording to the Law about Teachers andLecturers (UU RI no. 14 th 2005, p. 3-7),competence is a set of knowledge, skills andbehaviors that must be owned by teachers orlecturers suitable for the type, level and for-mat of workplace or unit assignment. Com-petencies for Teachers and Lecturers include1) pedagogical competence is the ability tomanage learning, 2) the competence of per-sonality, is the ability of a solid personality,noble, wise and dignified and to be exem-

33


plary for students, 3) social competence isthe ability to communicate and interact ef-fectively and efficiently with students, fel-low teachers / lecturers, parents / guardiansof students and surrounding communities,and the last is: 4) professional competence isthe ability of mastering the subject matter isbroad and deep (Republic Act no. 14 / 2005,p. 44). In developing the performance as-sessment system (CBA model), the elementsof these competencies will be a reference indetermining the type of competence.

Developing Performance Appraisal Sys-tem – CBA ModelAccording to Achmad S. Ruky (2006, p.112) stages of developing the competencymodel includes: determining the criteria forachievement of individual and work unit, toidentify individuals and team performance,interviewed the incumbent who is selectedas the sample, observation incumbent in thedaily work, while developing a model andmake comparisons and analysis with otherdata available, conduct focus group discus-sions involving a wider sample, analyzingthe results of focus group discussions andsharpen the model temporarily. Furthermore,it also needs validated competency modelbefore finalization.

Ainsworth (2002) argues, employee per-

formance management can be done in sev-eral stages as in Figure 1, the beginningprocess of performance is planning, conduct-ing performance appraisals, and correctiveaction and adaptive to each other throughfeedback discussions.

Required Level of CompetencyCompetency standards are formulas on thebehavior of minimum performance that mustbe achieved in one particular type of com-petence e.g., what is to be done at a certainposition, how far it can be achieved bysomeone, and how to measure the achieve-ment. Standard of competence or the requi-red level (Lutfi et al, 2007) is a measure ofthe minimum level of competency must beachieved by individuals on these competen-cies. The individual level is the level of in-dividual competence achievement. Positivegap can occur if an individual level is higherthan the required level, while the gap is saidnegative if the individual level islower thanthe required one.. Information about em-ployees' gap map is very useful for devel-opment planning process.

Effectivity of Performance AppraisalAccording to Irvine (2003, p. 173) criteria ofassessment effectiveness include: lack oftransparency and secrecy, educationg proc-

Figure 1Performance Management

1. Performance Planning:Preparation, agreement andcommitment to the objectives orperformance targets

3. Mutually corrective and adaptive actionsthrough feedback discussion:Commitment to action that is expected toimprove or maintain performance anddevelop strategies to minimize theperformance gap

2. Performance Assessment:Actual performance comparedto performance targets whichare measured objectively.Measure and evaluateperformance by consideringthe objectives and targets andto identify and verify the gap inthe performance

Reference: Ainsworth, Neville Smith and Anne Millership (2002, p. 7)

34


ess, employees trust on the organization, theaccountability and integrated development,and training.

In general, the use of performance ap-praisal is intended to (Walh, 2006) providefeedback on strengths and weaknesses of theindividual (employee), to distinguish bet-ween individuals and provide the allocationof rewards, evaluate and maintain humanresource systems in organization, providesimportant documents required in human re-sources management.

The effectiveness of the performanceappraisal system refers to the achievement ofthe intended use of performance assessment.Trust on organization is one indicator of theeffectiveness of performance appraisal sys-tem. According to Reinke (2003, p. 23), theemergence of trust and acceptance of per-formance appraisal process is influenced bytheir relevance, complexity of form and per-formance appraisal systems, and a numberof socialization received by the employeesrelated to the system. The objective of so-cialization of the implementation acccord-ing to Tziner (2000, p. 179) includes 1) de-veloping of Rater skills in observing andrecording behaviors related to dimensions ofperformance, 2) create Rater awarenessabout the differences between the dimen-sions of performance and behavior compo-nent, 3) provide insight to the Rater aboutthe dimensions of each performance.

According to Carson, Cardy and Dob-bins in Reinke (2003, p. 23), the critical as-sumption of the system is an understandingof the Rater that contributes to the organiza-tion, where the causes of the differences arethe discrepancy among individuals. In thiscase, Supervisor must be able and willing todistinguish the attributes of work perform-ance and individual performance with othersources. The effectiveness can be seen fromthe formation of employee opinions on per-formance appraisal fairness, based on thefrequency of assessment, knowledge of theRater about the Ratee’s duties and responsi-bilities and understanding of the level of per-formance, a number of objectives to be

achieved, the suitability assessment of theachievement, the two-way communicationand employee participation, the relevancebetween the duties and assessment factors,the process of understanding regarding theperformance appraisal system, a practicalmatters such as ease of administration,length and complexity of forms of perfor-mance assessment. Thus, Ratee satisfactionof assessment methods is a crucial elementfor the performance assessment system,while the effectiveness of performance ap-praisal and feedback are substantially de-pendent on Rate acceptance of the system.

Grote (1996, p. 7) mentions that the ef-fectiveness of the performance appraisalprocess can be achieved if the organizationis able to improve the process of performan-ce management which includes 1) the readi-ness of the organization, namely the behav-ior from top management and the availabil-ity of reward system. Employee involvementin setting performance management systemwill be able to build a sense of belonging tothe system. In addition, communicating theperformance system to employee have beentransfer of the values contained in the sys-tem, and will be able to help employees tounderstand properly the performance ap-praisal system; 2) There is an integrated sys-tem with other systems in organizations suchas training, compensation, development, se-lection, manpower planning, and other stra-tegic plans; 3) Training for Raters and so-cialization for Ratee. The existence of thisactivity will facilitate the system implemen-tation, because each Rater or Ratee will beclear about the responsibilities, objectives tobe achieved and the passage of the proce-dures that should be; 4) The last aspect is thecontinuous evaluation of the implementationof performance appraisal systems that havebeen implemented in the organization.

RESEARCH METHODSampling and Data CollectionPopulation in this research is universities inSurabaya, a purposively selected samplerepresenting the three forms of HEI, High

35


School (STIE Perbanas Surabaya), Institute(ITATS) and Universities (Unmuh Suraba-ya). In this study, Universities in Surabayawere selected, which may represent a formof HEI and can be used as a pilot project isthe STIE (Perbanas Surabaya). Lecturers andsupporting staff elements in the HE wererandomly selected as representative of thelecturers and supporting staff. Nineteen res-pondents include a number of the top mana-gement, the head of Faculty or Study Prog-ram, Head of Unit, and Lecturer in HEI, forconfirmation and verification of data.

The data in this study are equipped withsecondary data, such as the statute of organi-zation, organizational structure and job des-criptions.

Data collection method used for this re-search is a method of in-depth interview andquestionnaires. Interviews goal is to confirmthe things written in the questionnaire. Datacollection was also done by triangulationtechniques, which are combined from diffe-rent data collection techniques and datasources. In this case, researchers collecteddata at once to test the credibility of the datawith various techniques of data collection(Sugiyono, 2005, p. 83).

Operational Definition and VariableMeasurementIn this study some important concepts to bemeasured and the research variables are des-cribed as follows.a. CBA model performance appraisal sys-

tem is a system of performance assess-ment using indicators of competence asthe basis for determining employee jobperformance in accordance with the du-ties and functions of each.

b. Competency is defined as a set of know-ledge, skills, attitude and character, theunderlying behavior of a person to pro-duce a certain performance level.

c. Type of competency is a grouping ofcompetencies into core competencies(general), managerial competence andtechnical competence.

d. Core competency, the competence to be

possessed by each employee (faculty andsupporting staff), which consists of: in-tegrity, customer orientation, achieve-ment orientation, initiative, cooperation,empathy, and adaptation to the change.

e. Managerial competency is a competencythat supports individuals in carrying outmanagement functions in the work.Managerial competencies include: workplanning, problem solving, influencingothers, subordinate empowerment, con-trol and supervision

f. Technical competency is competencieswhich are related to the field of em-ployment and duties of each position.Technical competence is divided into 2(two) parts: first, general technical com-petence, comprised of: The ability to useIT, English, and a special technical com-petence.

g. Required Level is the minimum compe-tency required for certain positions.

h. The individual level is the valueachieved by the individual at a certainlevel of competence in accordance withthe behavior of individual work

Research InstrumentThe research employs questionnaire and in-terview method. Questionnaires have beenprepared as a basic guide to conduct jobanalysis interviews, digging competence andconfirmation of competence that will beused as indicators in the assessment of com-petency-based performance. In addition, italso prepared an instrument to guide the dis-cussion in a focus group.

Instruments have been prepared on theelements of their core competence, manage-rial competence, and technical competenceas well as measure the performance of a jobreferred to above by considering the institu-tion's policy provisions and HEI as well asthe existing benchmark. Questionnaires arebased on indicator of each variable. The in-strument is arranged to measure the identifi-cation of competencies needed in HE as fol-lows: 1) proficiency in the field of assign-ment, 2) achievement orientation, 3) the im-

36


pact and influence, 4) conceptual thinking,5) analytical thinking, 6) initiative, 7) self-esteem, 8) understanding, 9) concern forsystematic work process, 10) informationretrieval, 11) cooperation, 12) integrity, 13)ability to share knowledge, 14) ability toestablish performance measures, 15) capa-bility repair work, 16) the ability of a chal-lenging target, 17) ability to innovate in thework process, 18) the ability of persuasionbased on facts, 19) professional reputation,20) ability to analyze the core of the prob-lem, 21) ability to draw linkages or relation-ships between problem , 22) ability to an-ticipate obstacles, 23) ability to solve theproblem with a systematic, 24) ability tomake logical conclusions, 25) ability to con-sider the consequences and implications ofeach choice of action, 26) responsiveness torespond to the situation, 27) ability to ex-press self-confidence, 28) ability to seekchallenges, 29) self-reliance in addressingthe problems, 30) ability to understand theattitudes, interests and needs of others, 31)sensitivity and ability to clarify any existinginformation, 32) ability to exercise controlover the quality of information, 33) capabil-ity make note of the work process that hasbeen implemented, 34) ability to obtain data,35) ability to contact various sources invarious ways, 36) ability to get many inputs,37) ability in a group discussion, 38) abilityto appreciate others, 39) the ability to shareresources, 40) orientation towards the cus-tomer. From the discussions with experts, itis assumed that the gravity of these compe-tencies is the same.

Credibility of InstrumentThis research is a qualitative, findings ordata that are otherwise valid if there is nodifference between the reported researcherswith what actually happens in the object un-der study (Sugiyono, 2005). It is necessaryfor the validity of data through the test ofdata credibility. The test of the data credibil-ity is triangulated, by checking data fromvarious sources in various ways. Triangula-tion used in this study was that of sources;

testing their credibility by testing by check-ing the data from the same source with dif-ferent techniques, namely interviews, docu-mentation, and questionnaires (Sugiyono,2005, p. 125). Discussion with colleaguesabout the results of research concerns a pro-visional fellow lecturers and practitioners ofhuman resource management field. In addi-tion, it also conducted a member check,which is the process of checking the dataobtained from the data providers, throughgroup discussion forums.

Dependability of InstrumentDependability test or reliability test is im-portant to know the extent to which the in-strument used to provide consistent resultsover time, by carrying out the examinationof the entire research process. Dependabilitydemonstrated through trace field activities,by conducting a detailed recording of inter-views and observations and by documentingin detail the analysis process.

Research StagesThe research steps following with thesestages:a. Conduct job analysis to the HEI, to iden-

tify information about the position (jobdescription) and qualification require-ments for each key position for the op-eration of HEI. The result is a job de-scription and job specification. From thejob analysis process is also resulting jobanalysis procedures, which can be usedas a guide for the implementation of fur-ther job analysis.

b. Preparing Competency Dictionary,which stages are as follows: 1) Set thedescription of competence in each of thetypes of competencies: Core Compe-tency, Managerial Competency, Techni-cal Competency. 2) Set the level of pro-ficiency in each competency, whereevery grain of competence decomposedinto several proficiency levels. This levelis used as a measure of the competencegap, the difference between competencerequirements for an occupation (required

37


level) with the competence of the indi-vidual (individual level) who served inthe position. At each level, listed on be-havioral indicators of ability to be dem-onstrated by an employee and can be ob-served by his superiors, colleagues or as-sessors for the question may be referredto already have a competence at thatlevel; 3) Preparation of administrativesystems and procedures for performanceassessment, where the aim is to arrangethe type form judgments, make the de-termination of the distribution form, theperiod of assessment, determination ofrater-ratee, collecting the results of theassessment, data processing assessment,follow-up results of performance as-sessment and mapping the results of theassessment.

Data Analysis1) Preliminary Analysis, is a job analysis(the result is job description and job re-quirements), the establishment of key indica-tors of each position, data collection (type ofcore competencies, managerial and technicalcompetence), data analysis competencies,determining the type of competence, defin-ing their respective competence in compe-tency dictionary and compilation of adminis-trative systems and procedures for perform-ance assessment2) Analysis during the study: data analysis inthis study is the analysis of the data modelfrom Miles & Huberman (Sugiyono, 2005,p. 91). Activities undertaken in this analysisinclude: 1) The reduction of data, includingsummarizing, selecting basic things, focuson important things, then to find the pattern,2) presentation of data, which takes the formof brief descriptions, charts and relationshipbetween variables and 3) Conclusions andverification, which explains not only the an-swers from the formulation of the problembut can develop in accordance with the find-ings in the field.

ANALYSIS AND DISCUSSIONJob Analysis ProcessThe process of job analysis conducted atspecific positions in the HEI, which includesthe Chairman of the Department, Secretaryof the Department, and Head of Department(Head of Academic, Student Affairs Head ofSection, Head of HR, Head of General, Headof Administration and Finance, Head PublicRelations Section, Head of InformationTechnology (IT), Head of Laboratory, Headof PPPM, Research Coordinator, Commu-nity Services Coordinator) and Lecturer.Results from this job analysis process arejob descriptions and job specifications andjob analysis manual, which enhanced thedraft manual that was made at the time be-fore the process of job analysis conducted.1) Job description and Job SpecificationJob descriptions written in narrative formthat contains: 1) the identity of position,which contains the description of job title,part of the organization, responsible to, incharge. Identity of the job description ismeant to gain insight about organizationalstructure, responsibilities and accountabilityof the position; 2) Details of the task, con-sisting of planning, development and coach-ing tasks, operational tasks, reporting (ex-amination and preparation of reports), as-sessing the subordinates performance, moni-tor and implement quality culture and carryout other tasks given related to their fieldsupervisor. Inclusion of a description of car-rying out other tasks given related to theirfield supervisor, so there is flexibility in jobdescriptions, especially under on the jobsthat are not routine, but it is the responsibil-ity of office holders; 3) the interaction term,contains information about the link a posi-tion with the unit or any other position inrelation to everyday tasks, can be interac-tions within the work unit and outside thework unit; 4) Position requirements, whichcontains information about education, class /area, functional position, work experience,exceptional leadership, creative, innovativeand able to communicate well. Specificskills are computer skills, English language

38


Table 1Types of Core Competencies, Managerial Competencies, and

Technical Competencies

Results of focus groupdiscussions (FGD)

Conformity with type of competency before the FGD

1. Integrity2. Customer orientation3. Aachievement orientation

4. Initiative5. Teamwork

6. Empathy

7. Adaptation to change8. Work Planning

9. Problem solving

10. Influencing Others

11. Empowering12. Supervision and control13. Information Technology

Mastery14. English Mastery15. Proficiency in Task Field

Integrity, Professional ReputationCustomer orientationAachievement orientation, ability to seek challenges

InitiativeCooperation, the ability to share knowledge, ability in agroup discussion, ability to share resourceThe ability to appreciate others, ability to understand theattitudes, interests and needs of othersResponsiveness to respond (new) situationAbility to set performance measures, ability to setchallenging targets workconceptual thinking, analytical thinking, understanding,ability to analyze the core of the problem, ability to drawlinkages or relationships between problems, ability toanticipate obstacles, problems with a systematicseparating Ability, Ability to make logical conclusions,ability to consider the consequences and implications ofeach choice of action, independence in overcomingproblems , sensitivity and ability to clarify any existinginformation

Impact and influence, self-esteem, ability to persuasionbased on facts, ability to express confidence, ability tocontact various sources in different ways

The result of discussion with expertThe result of discussion with expertThe result of discussion with expert

The result of discussion with expertConcern for the systematic work processes, informationsearch, ability to improve the work, ability to innovate inthe work process, ability to exercise control over thequality of information, ability to make notes to workprocesses that have been implemented, ability to obtaindata

skills and physical and psychological health.Special skills are considered necessary bythe holders of positions in educational insti-tutions.2) Manual of Job Analysis ProcedureManual contains procedures for the step ofjob analysis and of each sub-process of jobanalysis. From the job analysis process, the

result is job descriptions and job specifi-cation. Thus, a few things to get attentionabout the task is the smallest of activities isdescribes the functions of the position. Withthe task, each position can be examined insufficient detail to be used as basis in prepar-ing the system of instruction. Some charac-teristics of tasks are: a) the task statement

39


describes a very specific action and notcause confusion it into practice. Sentencestatement of the task has subjects and verbs;b) a task has a beginning (the task) and end(the task); c) the duties usually performed ina short time, for example in seconds, min-utes and hours and can be subdivided intoelements of the task; d) processing tasks canbe monitored and measured. This means thatevery activity in this task should be seen andthe results of the implementation of the taskmay reflect that the task has been carried out(see results), e) each task is a separate or freefrom other tasks (not ambiguous). Everysentence statement of the job descriptionmust demonstrate autonomy. In addition, thetask is the smallest element of a job3) Competency DictionaryCompetency dictionary is a description ofthe types of competencies, competency defi-nitions and behavioral indicators at eachlevel of competence. In the dictionary ofcompetence are described on the 3 (three)types of competence, namely the core com-petence, managerial competence and techni-cal competence. Determination of compe-tence type based on an analysis of question-naires, interview and based on discussionswith experts. There are 40 (forty) the type ofcompetence which responded by respon-dents about the importance of these compe-tencies. From the responses of respondentsstated that all competencies have an interestin employee performance measures.

From the discussion with experts (FGD),base on the existing list of competencies, thetypes of competencies were grouped in 7(seven) types of core competence, namelyintegrity, customer orientation, achievementorientation, initiative, cooperation, and adap-tation to changes empathy. Managerial com-petence consists of three (3) competences,i.e. work planning, problem solving, andinfluencing others. While technical compe-tence consists of 1 (one) the competence ofproficiency in the field of assignment. Con-sideration of the culture of educational insti-tutions is also a consideration when deter-mining the type of competence. To that, add

2 (two) other types of competencies withinthe group managerial competencies: 1) theempowerment of subordinates, 2) supervi-sion and control.

Determination of technical competenceshould also consider the demands of infor-mation technology and global developments.For that, the technical competence is consist-ing of competencies in information technol-ogy / computer and English skills.

Each item of competence decomposedinto several levels of proficiency (pro-feciency level). This level is used as a meas-ure of the competence gap, the differencebetween competency requirements for a po-sition with the competency of individualswho served or will serve in that position. Ateach level, are listed on the behavior or ca-pability that must be presented by an em-ployee and can be observed by his superiorsor colleagues for a question may be referredto already have a competence at that level

Each core competency items groupedinto 5 levels, namely Level 0: in dire need oftraining and learning process, requiring cor-rective action, his conduct does not meet therequired minimum standards of behavior,even behavior that violates the rules of theorganization; level 1: requires training anddevelopment, would receive correction andperform corrective actions, demonstratecompliance with the most / some of the re-quired minimum standards of behavior, butstill needs improvement in several indicatorsof critical behavior, level 2: willing to adapt,show consistency in behavior, indicating thebehavior to achieve the standard, able topromote themselves itself so that it can per-form tasks and behave according to that re-quired by the organization, level 3: showsthe behavior to improve the work, show theplan self-development, positive behaviorthat exceeds required standards; Level 4:being an example, anticipate and becomeagents of change, encouraging learning or-ganization, capable of contributing themaximum to the organization, so as to im-prove organizational performance

Furthermore, every grain Managerial

40


competencies are grouped into 5 (five) level,where the general meaning of each digit lev-els are: Level 0: desperate need of trainingand learning, does not meet the minimumstandards required managerial behavior,level 1: requires training and development,willing to accept corrections and performcorrective actions, demonstrate compliancewith the most / some of the required mini-mum standards of behavior, but still needsimprovement in several critical indicators ofmanagerial behavior, level 2: willing toadapt and recognize the situation of workingunits, but still needs improvement in severalindicators of managerial behavior critical;Level 3: able to make consistent efforts inmoving individuals in a work unit to achievework unit effectiveness; Level 4: able topromote the work unit, so as to improve theachievement of work unit

Each item of technical competency isgrouped into 5 levels, namely level 1: Knowthe basic concepts of knowledge or skills inthe areas of task, level 2: Able to applyknowledge and skills according to estab-lished procedures, to overcome the problemsthat are routine, but require assistance whenproblems are complex and must be ad-dressed, level 3: Experience in applying theknowledge and skills, can solve routine andnon routine problems without the need forassistance, can become trainers for otheremployees, level 4: Highly experienced inapplying knowledge and skills, have author-ity in the field of expertise that is recognizedwithin the scope of the organization, to copewith the complex situation that has not hap-pened before; Level 5: Able to develop sys-tems and procedures relating to the field or-ganization or work unit, capable of integrat-ing various other fields with that field forcontinuous process improvement for organi-zation

In the dictionary of competence, in anytype of core competencies, there are mana-gerial and technical definitions of each com-petency and behavioral indicators.

Design of System Manual PerformanceAppraisal Model CBAThe draft manual CBA model performanceappraisal system contains about1. Basic Principles of Performance Assess-ment, namely the commitment of all partiesinvolved in the performance appraisal proc-ess, starting from its own employees to topmanagement, appraisal the performance car-ried out objectively, sub factors / indicatorsthat reflected the assessment of type andlevel of competency for each specificallydifferent positions, in accordance with thecontents of tasks carried out the work of em-ployees and the standards expected by theorganization. In addition to the socializationof the performance appraisal system for allemployees affected by the implementationof the performance appraisal system, per-formance assessment carried out consis-tently, continuously and not a moment ofhospitalization, and results of performanceappraisal be openly communicated, throughthe interview process feedback (feed back)assessment.2. Systems and Procedures Performance As-sessment Model CBAa) the applicable Performance AppraisalProcess in the organization is a competency-based performance appraisal system.Evaluation method used is a top-down ap-proach, ie assessment by officials that is su-perior assessor assessed directly to employ-ees (subordinates). 360 degree feedback as-sessment also can be an alternative to the HEby considering the culture in each HE. Whileactivity in the CBA model performance ap-praisal process includes the distribution ofthe form, filling the record occurrence byappraiser, the implementation of formal as-sessment, the implementation of the feed-back results of assessment, submission ofassessment results to the human resourcessection, and recapitulation results of assess-ment by human resource departments, andmaking analysis of the map/profile achieve-ments all employees by the Human Re-sources Section for follow-up results of theassessment.

41


Techniques to assess / measure the workof employees with a way to supervise / di-rect observation in the workplace, see theperiodic reports / personnel data, using sec-ondary data as the data supporting the per-formance, digging up information from fel-low employee, or subordinate employees (ifthere is), or a cross-section supervisor whohad worked with a valued employee. Thenext process is to fill in the form to recordthe incident and corrective action (FCKTK)any events, which contains about events dur-ing the current month. In this form, an offi-cial assessor records employee work behav-ior in a positive or negative on matters relat-ing to the competencies required in the im-plementation work.b) Administration of Performance Assess-mentProcess of administration of this perform-ance assessment is the duty of the Section ofHuman Resources (HR), which is responsi-ble for providing and distributing the formssupporting the implementation of perform-ance assessment, evaluate and analyze theneeds of training and development pro-grams, by creating a profile and map the per-formance of employees per firm / sections /section and per office and store and maintainthe confidentiality of the performance ap-praisal data for each employee in a neat, or-derly and up to date.

CBA model performance appraisal formconsists of: 1) FCK (event record form),which is used by the assessor to make a re-cord of incidents regarding employee per-formance, whether positive or negative in-valuable and 2) FPCBA (CBA model ap-praisal form), which is used by the Assessorfor assessing performance within 1 (one)period of assessment. Description of the per-formance appraisal system and proceduresas contained in the manual system of per-formance appraisal CBA model in briefabout the who, what, why, when, where andhow the rating system conducted using CBAwho is involved in performance assessmentmodel that assessed CBA covers employee,boss directly from the employee as an ap-

praiser, and decision makers is the directsupervisor of the Assessor. Meanwhile, whatshould be assessed, generally include objectsor material that is assessed in accordancewith existing competency dictionary. In ad-dition, it is necessary to consider the timedimension of performance is achieved whencompared with the standard of performance(or the level required).

The importance of a process of perform-ance appraisal be done is to maintain anddevelop the potential possessed by the em-ployees, determining training needs, the ba-sis for employee career development andpromotion base.

Furthermore, regarding the timing of theCBA model of performance assessment canbe done formally and informally. Formalassessment is done periodically every se-mester evaluation gap between the levelsrequired by the individual level. Informalassessment is conducted continuously, eachtime through daily observation. The per-formance evaluation is usually done in theworkplace, specifically for the delivery offeedback must take into account confidenti-ality, and comfort.

Optimization of the Benefit from Per-formance Resultsa) Training Need Analysis: Results of per-

formance appraisals, one of which canbe used by organizations to developtraining needs analysis and developmentfor employees. With the design of per-formance appraisal CBA, then each in-dividual has a measurable level ofachievement, taking into account the gapbetween the required level and individ-ual level in each competency. This gap,which will be minimized by the exis-tence of a planned training and devel-opment and employee developmentneeds.

b) Manpower Requirement Planning: Plan-ning labor needs is an activity related tothe determination of human resourceneeds, both short-term needs and longterm needs. With the CBA's perform-

42


ance assessment model, then the organi-zation can predict or estimate how manypeople are needed because of the em-ployee's performance is below the re-quired standard of competence, by look-ing at the negative gap between the levelrequired by the individual level.

c) Merit System in reward systems: meri-tocracy in the reward system in principleis a system to reward employees forachieving performance (pay for per-formance). In this system, implementedemployee merit increase is determinedby 2 (two) factors, namely 1) the ratio ofsalary to the mid salary employees in hergroup (the same job grade), and 2) thevalue of performance (performance rat-ing). The amount of awards at each per-formance level (special category, good,moderate, less, less so) determined inaccordance with the strategy of HE andthe huge budget allocation for merit in-creases. It's important to note is the per-sistence of the principle of justice (fair-ness) as well as keeping the workers'compensation remains in the range ofminimum and maximum of the applica-ble compensation structure in HE.

CONCLUSIONS, SUGGESTION, ANDLIMITATIONSConclusionsThe conclusion of this study can be de-scribed as follows:1. CBA model of performance appraisal

systems can become the basis of meritrating in the management of universities,because the CBA model will be madeknown to employees and the level map-ping of the achievements and the gaps ofthe demands a minimum level of eachtype of competence. The result of theperformance of each employee is used asa basis for granting an award in accor-dance with the level of achievement ineach employee. In principle, meritocracyin the reward system in the HE is a sys-tem to reward employees for achievingperformance (pay for performance). In

this system, implemented employeemerit increase is that one of them be-cause the value of performance (per-formance rating). The amount of awardsat each performance level (special cate-gory, good, moderate, less, less so) de-termined in accordance with the strategyof HE and the huge budget allocation formerit increases. The existence of justice(fairness) is an important part of the im-plementation of a merit rating.

2. Type the appropriate competencies areused as indicators of performance as-sessment CBA model are: a) core com-petencies that consist of integrity, cus-tomer orientation, achievement orienta-tion, initiative, cooperation, empathy andadaptation to changes is an aspect whichwas considered in the CBA model ofperformance assessment; b) managerialcompetence which consists of workplanning, problem solving, influencingothers, empowerment of employees, su-pervision and control, an aspect whichwas considered in the CBA model ofperformance assessment and c) opera-tional technical competence which con-sists of the use of information technol-ogy, English language mastery and pro-ficiency in field duty is an aspect whichwas considered in the assessment ofmodel performance CBA.

SuggestionBased on the findings of this study, the sug-gestion of researchers for Higher Educationis a must in implementing a CBA model per-formance appraisal system to consider theculture or cultures that exist in each college,so it can eliminate the emergence of resis-tance to the sustainability of the performanceappraisal system. Performance assessment isthe process that are vulnerable to subjectiv-ity or bias (error in the assessment). For that,the HE should provide the assessors withsocialization and technical training or work-shops on assessment and performance ap-praisal methods of delivery. In addition, thedictionary required level of competence and

43


should be adjusted in accordance with thedynamic changes that occur in each HE.

CBA model performance assessmentprepared on the basis of competence at theheart of competitive advantage HE. There-fore, mandatory for HE to be able to identifywhat the advantages and what is the core ofthese advantages. Thus the assessment crite-ria will be more focused on what became thecore of superiority.

Advice for researchers who will conductresearch on performance appraisal system, inparticular CBA models need to considerother kinds of competence in accordancewith the progress made during the researchperiod. In addition, researchers can see fromthe aspect of implementation of CBA sys-tems so that could be a refinement of theperformance appraisal system CBA modelgenerated in this study.

Research on job evaluation could berecommended as a material for further study,because follow-up of the performance ap-praisal system is the award for employeeperformance. The principle of fairness in theaward can be realized through a process ofjob evaluation, which is a process to assessthe relative weight of a job compared toother jobs.

LimitationsThe results of this study have not answeredcompletely aware of all the problems associ-ated with performance appraisal systemsCBA model in Higher Education. This iscaused due to the limitation on the numberof samples as well as respondents who havenot maximally to represent three forms ofHE: institutions, colleges and universities.

Another limitation is the design of per-formance appraisal system this CBA modelthat has not been linked to the culture ofeach HE. Election competence aspect of per-formance assessment be based solely on asurvey through questionnaires and interviewmethods associated with the interests ofcompetence on the success of employees inhis office, has not included the element oforganizational culture in the design of the

performance appraisal system.

REFERENCESAbraham, SE., Karns, L.A., Shaw, K. and

Manuel A. Mena, 2001, ManagerialCompetencies and The ManagerialPerformance Appraisal process, Jour-nal of Management Development, Vol20 (10), 642-852.

Achmad S. Ruky, 2006. Sumber DayaManusia Berkualitas Mengubah Visimenjadi Realitas: Pendekatan MikroPrkatis untuk Memperoleh danMengembangkan Sumber Daya Manu-sia Berkualitas Dalam Organisasi. Ja-karta: Penerbit PT Gramedia PustakaUtama.

Ainsworth,Murray,Neville Smith and AnneMillership, 2002, Managing Perform-ance Managing People. Australia:Pearson Education Australia Pty. Ltd

Grote, Dick, 1996, The Complete Guide toPerformance Appraisal. New York:Amacom

Irvine, Eileen Piggot. 2003. Key Feature ofAppraisal Effectiveness. The Interna-tional Journal of Educational Man-agement, 17 (3): pp. 170-178

Kavanagh, Peter, John Benson and MichelleBrown, 2007, Understanding Perform-ance Appraisal Fairness. Asia PacificJournal of Human Resources , 45(2).

Levenson, Alec R., Wim A. Van der Stedeand Susan G. Cohen. 2006. Measuringthe Relationship Between ManagerialCompetencies and Performance. Jour-nal of Management; 32; 360. SagePublication

Lutfi, dkk, 2007, Pengembangan Sistempenilaian Kinerja berbasis Kompetensidi Sekolah Tinggi Ilmu Ekonomi Per-banas Surabaya. Laporan penelitian

Malhotra, N.K 2006, Marketing Research.New Jersey: Prentice Hall Interna-tional

Ozçelik, Gaye and Murat Ferman, 2006,Competency Approach to Human Re-sources Management: Outcomes andContributions. Human Resource De-

44


velopment Review , 5; 72, Sage Publi-cations

Reinke, Saundra J 2003, Does the FormReally Matter?: Leadership, Trust andAcceptance of the Performance Ap-praisal Process. Review of Public Per-sonnel Administration, Vol 23 (1): pp23-37. Sage Publications

Sekaran, Uma, 2006, Research Method s forBusiness: A Skill Building Approach,Singapore, John Wiley & Sons.

Spencer & Spencer, 1993, Competence atWork: Models for Superior Perform-ance. Canada: John Wiley & Sons, Inc

Steensma, Herman and Ellen Visser, 2007,Procedural Justice and Supervisor’Personal Power Bases: Effects OnEmployees’ Perceptions of Perform-ance Appraisal Sessions, Commitmentand Motivation. Journal CollectiveNegotiations, vol.31 (2): pp 101-118.Baywood Publishing Co., Inc

Sugiyono, 2005. Memahami PenelitianKualitatif. Bandung: CV. Alfabeta

Tziner, Aharon and Christine Joanis, 2000,A Comparison of Three Methods ofPerformance Appraisal With Regard toGoal Properties, Goal Perception, andRatee Satisfaction. Group and Organi-zation Management, Vol 25 (2), pp

175-190, Sage Publications, INC Undang-Undang Guru dan Dosen (UU RI

no. 14 Th. 2005), 2006, Jakarta: SinarGrafika

Walh, K and D. Fisher, 2006, Action Inquiryand Performance Appraisals, TheLearning Organization, Vol 12 (1), pp.26 – 41.

Walsh, Kate and Dalmar Fisher, 2005, Ac-tion inquiry and performance apprais-als: Tools for Organizational Learningand Development. The Learning Or-ganization, Vol. 12 No. 1. EmeraldGroup Publishing Limited.

14 69-1-pb

Documents

Transcript of 14 69-1-pb