Designing CBA Model for Performance Appraisal

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

DESIGNING CBA MODEL OF PERFORMANCE APPRAISAL SYSTEM
AS A MERIT RATING
FOR HIGHER EDUCATION INSTITUTION

Tjahjani Prawitowati
Tatik Suryani Lutfi
STIE Perbanas Surabaya, Indonesia
E-Mail: tjahjani@perbanas.ac.id, tatik@perbanas.ac.id, lutfi@perbanas.ac.id
Jalan Nginden Semolo 34-36Surabaya, 60118 Indonesia

ABSTRACT
Performance 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-based
performance appraisal system for higher education institution. Depth interview, secondary
data, and questionnaire are used as the instruments. It is conducted in three types of higher
education in Indonesia. In terms of professionalism, social competence, and pedagogical
competences, it is found that there are three competencies, namely core competency, mana-
gerial competency, and technical competency. Core competency is referred to organization’s
value, varied among higher education institutions, but mostly includes integrity, customer
orientation, achievement orientation, initiative, teamwork, empathy, and adaptability. In
terms 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, technical
competencies, CBA Model.

INTRODUCTION ternal challenges, particularly the Republic
It is a fact that realization of governance and of Indonesia Law (Number 14 of 2005)
management system of Higher Education about Teachers, Lecturers, and Accreditation
(HE) is one important pillar in the Higher Standards Institution and Study Program, the
Education Long-Term Strategy (HELTS). traditional performance appraisal systems
HE in Indonesia is expected to implement had to be abandoned, and replaced with
good governance in education, such as by competency-based performance appraisal
implementing it in the management of Hu- system. Development of competency-based
man Resources (HR). Performance appraisal assessment system or CBA model (Compe-
system needs desining so that HE can evalu- tency Based Appraisal) as the basis of merit
ate performance, coaching, and development rating is a strategic value because it can fa-
to contribute to the increasing competitive- cilitate the HE in making decisions and poli-
ness of HE. cies for fostering and developming human
A good performance appraisal system is resources, payroll, reward-punishment sys-
related to the capability to develop the hu- tem implementation, as well as for career
man resources’ competencies and form a development.
culture allowing HE to have a source of Governance and management systems
competitive advantage. Considering the ex- have a strategic role to influence the per-

29

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

formance of higher education institutions. HEI. Faculty and staff productivity will in-
One of the roles is to improve productivity crease if the work behavior is directed at
and performance of human resources (teach- achieving the demands of work productivity.
ers and education personnel), that is the per- Lecturer productivity in teaching, research,
formance appraisal system which can be and community service is also influenced by
used for merit rating. In addition, the exis- both intrinsic and extrinsic motivation and
tence of competency-based performance HR management system.
appraisal system directed to the interests of This research attempts to design a per-
merit rating is important because it will en- formance appraisal system, as the basis of
sure objectivity, fairness and clarity for the merit rating in universities so that it encour-
lecturers and supporting staff and manage- ages the development of HR competencies.
ment of HEI. It also aims to produce a system and per-
Some reasons for the above are in terms formance evaluation procedure covering: a
of the aspect of external and internal inter- description of competence in each type of
ests of HE. External considerations include competencies such as Core Competency,
1) adjustments to the regulations, where Act Managerial Competency, Technical Compe-
No. 14 of 2005 for the Teachers and Lectur- tency and required level. Design of system
ers began regulating the competence of lec- performance evaluation procedures outlined
turers, and other regulations related to ac- in the manual of performance appraisal sys-
creditation standards in international and na- tem (CBA model).
tional accreditation: institutional and pro- The results are for a) Making policy and
gram levels. This demanded HE to direct the decision making for coaching, training and
management of its human resources to com- human resource development particularly in
ply with existing regulations and standards; improving the competence of staff b) De-
2) Competition, the higher intensity of com- veloping system-based compensation and re-
petition among HEIs demans skill, knowl- ward by merit rating; c) employee career
edge and positive working attitude oflectur- development; d) controling and monitoring
ers and supporting staff. In connection with HR management; e) as a tool of motivation
the above description, the competence and and feedback process for the educator and
productivity is vital in accordance with their supporting staff; f) provision of data-based
respective job. Competency-based perform- support for decision-making related to other
ance appraisal system can serve as a founda- human resource management.
tion to achieve organization goals; 3) level The problems cover: 1) how can the per-
of competitiveness: global and national formance appraisal system design (CBA
competitiveness can be increased make it an model) be used as merit rating in the HR
important measure of a nation and HE. A management of HEI? 2) What is the right
university which aims to have global com- type of core, managerial and technical or
petitiveness and performance requires a operational competence if using an indicator
higher competency than those at the national of the performance appraisal system design
level. Thus, competency-based performance (CBA Model)?
appraisal system can be designed according
to the desired competitiveness by the HEI, THEORITICAL FRAMEWORK
through the establishment of core compe- Job Analysis
tence, managerial competence and technical Job analysis is a process to find, identify,
competence, adjusted to competitiveness to and analyze information about employment
be achieved HEI. or duties in work situations. It is the initial
The internal considerations deal with process of a HR management. It creates a
good HR management and this plays an im- job description and job specifications for the
portant role to realize the performance of basis of HR management, from their work-

30


force planning, performance appraisals, em- outcome performance assessments. A num-
ployee development, and remuneration ber of approaches can be used to evaluate
processes. job performance (Steensma, 2007, p. 102),
Job analysis must be done by all or- such as 1) the measurement of performance,
ganizations because it results in the form of 2) personnel data, 3) self-assessment and
job description and job specifications. This peer assessment, 4) evaluations from superi-
can be used as a working guide, standard or ors, and 5) a combination of various meth-
benchmark for assessing employee perfor- ods, including of 360 degree feedback.
mance. It also contains a formal statement
about the duties, responsibilities, and author- Attitude toward Performance Appraisal
ity as well as the interaction of a particular Reinke (2003, p. 23) states that trust and
job. Beside, it aslo indicates what is done in acceptance of performance appraisal process
such positions, the way, and why to do the is influenced by several things: relevance,
job, as well as the quality of the minimum length, and complexity of form and per-
competencies that can be accepted for performance appraisal systems, a number of
sonnel in a specific job. training. Carson, Cardy and Dobbins in Re-
Performance Appraisal System inke (2003, p. 23), mention three critical
Performance appraisal system will improve assumptions of performance assessment,
the effectiveness of decision-making proces- namely 1) in actual, employees will differ in
ses relating to human resources and emplo- contributing to the organization, 2) the
yee satisfaction (Steensma, 2007, pp. 101- causes of these differences is the existence
102). The objective of performance appraisal of individual differences, 3) Supervisor are
is used to allocate merit pay system, the ba- able and willing to distinguish the attributes
sic justification for the promotion process, of individual job performance with other
measure the training needs of employees, sources.
and for legal purposes: accurate documenta- Attitudes toward the performance ap-
tion for decision-making process or unex- praisal (Reinke, 2003, p. 25) reflected from
pected conditions (such as sanctions, termi- the attitude towards justice and acceptance
nation). Reinke (2003, p. 23) adds that the of the appraisal system, which is influenced
main purpose of performance appraisal is 1) by the forms of assessment, organizational
the development, which focuses on improv- characteristics, and individual characteris-
ing employee performance by identifying tics. Fairness and accuracy of performance
opportunities for employee growth and de- appraisal system can form an opinion on the
signing organizational resources that support employee performance appraisal determined
employee growth process, 2) summative, by the frequency of assessment, knowledge
which focus on the things associated with of the Rater on the Ratee’s duties and re-
extrinsic rewards such as promotions or sa- sponsibilities and understanding the level of
lary. Thus, the use of performance appraisal performance, a number of objectives to be
in organizations in general are administra- achieved, compliance with performance ap-
tive purposes such as allocation of rewards praisal goal, two-way communication and
(salary increases, bonuses) and assignment employee participation, the relevance be-
decisions (such as promotion, transfer, de- tween tasks and assessment factors, the
motion) and for staff development purposes, training on performance appraisal, practical
namely to identify the strengths and weak- things like ease of administration of per-
nesses of employees, providing feedback formance appraisal, the length and com-
rating (Tziner, 2000, pp. 175-176). plexity of forms of performance assessment.
The approach which is used in the as- Satisfaction with the appraisal can be
sessment of performance will have an im- caused by various factors from the assess-
pact on the effectiveness of the process and ment system itself. Rater satisfaction about

31


assessment methods is a crucial element for work, standard of organization, section, up
performance appraisal system. Its effective- to individual performance targets (Lutfi, et
ness and feedback depend on the acceptance al, 2007 ; Kavanagh, 2007).
Rater on the performance appraisal system Levenson (2006); Ozçelik (2006); Abra-
(Tziner, 2000). Its existence is also a cause ham (2001), argue, competence can predict
of satisfaction with the performance ap- who is superior performer, to poor perform-
praisal system. Tziner (2000) argues, trainers (marginal contributor), measured from
ing can develop Rater’s skills in observing the stipulated criteria. Such information can
and recording behaviors associated with per- be obtained through the performance ap-
formance dimensions, also raise Rater’s praisal system, using the CBA model.
awareness about the differences between the Suc a system is designed to assist the
performance dimensions and behavioral various management systems. In organiza-
components, providing insight to the Rater tions, the system is designed for two pur-
about the dimensions of each performance, poses (Tziner, et al., 2007), 1) to assist the
and train Rater in setting specific. Thus, the administrative process relating to the alloca-
data record about positive or negative em- tion of rewards and to assist decision making
ployee behavior is important in the objectiv- related to promotion, transfer and demotion;
ity of competency-based performance ap- 2) to assist in employee development prog-
praisal system. rams. Through the performance appraisal
will be known the strengths and weaknesses
Competency of employees. Through the feedback pro-
Spencer & Spencer (1993) argue that com- cess, employees can be used as a basis for
petence is a basic characteristic that affects improvement that facilitates the Supervisor
the way of thinking and acting, making gen- to do the coaching and guidance. It can be
eralizations to all the situations they faced, used to evaluate performance, the quality
and survived long enough in humans. In ad- and quantity achieved by employees. There-
dition, Achmad S. Ruky (2006), assert that it fore, assessment of performance than can be
includes a set of personal characteristics, used to evaluate individual and organiza-
knowledge, and skills that affect the largest tional performance (Walsh, 2005).
part of a job and has a causal correlation on CBA model is an assessment based on
performance. Beside, it can be measured by competencies of the employees compared
a acceptable standard and enhanced through with those required at the position. Its effec-
training and development. Thus, it can be tiveness also requires a complement that is
concluded that the competency held by indi- Individual Performance Target which con-
viduals is the personal characteristics that form with the objectives of the unit, section,
would predict the actions of individual be- and the institution overall.
havior, work skills and work attitude in a
situation or environment. These characteris- Dimension of Competency
tics underlie a person in the act of work re- According to the Law about Teachers and
lated to the effectiveness of individual Lecturers (UU RI no. 14 th 2005, p. 3-7),
performance on the job. competence is a set of knowledge, skills and
behaviors that must be owned by teachers or
Competency-Based Appraisal (CBA) lecturers suitable for the type, level and for-
Model mat of workplace or unit assignment. Com-
The performance evaluation is a systematic petencies for Teachers and Lecturers include
measurement of employee performance, in 1) pedagogical competence is the ability to
the form of employees' strengths and weak- manage learning, 2) the competence of per-
nesses related to the execution of tasks, sonality, is the ability of a solid personality,
compared with a predetermined standard noble, wise and dignified and to be exem-

32


plary for students, 3) social competence is formance management can be done in sev-
the ability to communicate and interact ef- eral stages as in Figure 1, the beginning
fectively and efficiently with students, fel- process of performance is planning, conduct-
low teachers / lecturers, parents / guardians ing performance appraisals, and corrective
of students and surrounding communities, action and adaptive to each other through
and the last is: 4) professional competence is feedback discussions.
the ability of mastering the subject matter is
broad and deep (Republic Act no. 14 / 2005, Required Level of Competency
p. 44). In developing the performance as- Competency standards are formulas on the
sessment system (CBA model), the elements behavior of minimum performance that must
of these competencies will be a reference in be achieved in one particular type of com-
determining the type of competence. petence e.g., what is to be done at a certain
position, how far it can be achieved by
Developing Performance Appraisal Sys- someone, and how to measure the achieve-
tem – CBA Model ment. Standard of competence or the requi-
According to Achmad S. Ruky (2006, p. red level (Lutfi et al, 2007) is a measure of
112) stages of developing the competency the minimum level of competency must be
model includes: determining the criteria for achieved by individuals on these competen-
achievement of individual and work unit, to cies. The individual level is the level of in-
identify individuals and team performance, dividual competence achievement. Positive
interviewed the incumbent who is selected gap can occur if an individual level is higher
as the sample, observation incumbent in the than the required level, while the gap is said
daily work, while developing a model and negative if the individual level islower than
make comparisons and analysis with other the required one.. Information about em-
data available, conduct focus group discus- ployees' gap map is very useful for devel-
sions involving a wider sample, analyzing opment planning process.
the results of focus group discussions and
sharpen the model temporarily. Furthermore, Effectivity of Performance Appraisal
it also needs validated competency model According to Irvine (2003, p. 173) criteria of
before finalization. assessment effectiveness include: lack of
Ainsworth (2002) argues, employee per- transparency and secrecy, educationg proc-
Figure 1
Performance Management

1. Performance Planning: 2. Performance Assessment:
Preparation, agreement and Actual performance compared
commitment to the objectives or to performance targets which
performance targets are measured objectively.
Measure and evaluate
performance by considering
the objectives and targets and
3. Mutually corrective and adaptive actions to identify and verify the gap in
through feedback discussion: the performance
Commitment to action that is expected to
improve or maintain performance and
develop strategies to minimize the
performance gap

Reference: Ainsworth, Neville Smith and Anne Millership (2002, p. 7)
33


ess, employees trust on the organization, the achieved, the suitability assessment of the
accountability and integrated development, achievement, the two-way communication
and training. and employee participation, the relevance
In general, the use of performance ap- between the duties and assessment factors,
praisal is intended to (Walh, 2006) provide the process of understanding regarding the
feedback on strengths and weaknesses of the performance appraisal system, a practical
individual (employee), to distinguish bet- matters such as ease of administration,
ween individuals and provide the allocation length and complexity of forms of perfor-
of rewards, evaluate and maintain human mance assessment. Thus, Ratee satisfaction
resource systems in organization, provides of assessment methods is a crucial element
important documents required in human re- for the performance assessment system,
sources management. while the effectiveness of performance ap-
The effectiveness of the performance praisal and feedback are substantially de-
appraisal system refers to the achievement of pendent on Rate acceptance of the system.
the intended use of performance assessment. Grote (1996, p. 7) mentions that the ef-
Trust on organization is one indicator of the fectiveness of the performance appraisal
effectiveness of performance appraisal sys- process can be achieved if the organization
tem. According to Reinke (2003, p. 23), the is able to improve the process of performan-
emergence of trust and acceptance of per- ce management which includes 1) the readi-
formance appraisal process is influenced by ness of the organization, namely the behav-
their relevance, complexity of form and perior from top management and the availabil-
formance appraisal systems, and a number ity of reward system. Employee involvement
of socialization received by the employees in setting performance management system
related to the system. The objective of so- will be able to build a sense of belonging to
cialization of the implementation acccord- the system. In addition, communicating the
ing to Tziner (2000, p. 179) includes 1) de- performance system to employee have been
veloping of Rater skills in observing and transfer of the values contained in the sys-
recording behaviors related to dimensions of tem, and will be able to help employees to
performance, 2) create Rater awareness understand properly the performance ap-
about the differences between the dimen- praisal system; 2) There is an integrated sys-
sions of performance and behavior compo- tem with other systems in organizations such
nent, 3) provide insight to the Rater about as training, compensation, development, se-
the dimensions of each performance. lection, manpower planning, and other stra-
According to Carson, Cardy and Dob- tegic plans; 3) Training for Raters and so-
bins in Reinke (2003, p. 23), the critical as- cialization for Ratee. The existence of this
sumption of the system is an understanding activity will facilitate the system implemen-
of the Rater that contributes to the organiza- tation, because each Rater or Ratee will be
tion, where the causes of the differences are clear about the responsibilities, objectives to
the discrepancy among individuals. In this be achieved and the passage of the proce-
case, Supervisor must be able and willing to dures that should be; 4) The last aspect is the
distinguish the attributes of work perform- continuous evaluation of the implementation
ance and individual performance with other of performance appraisal systems that have
sources. The effectiveness can be seen from been implemented in the organization.
the formation of employee opinions on per-
formance appraisal fairness, based on the RESEARCH METHOD
frequency of assessment, knowledge of the Sampling and Data Collection
Rater about the Ratee’s duties and responsi- Population in this research is universities in
bilities and understanding of the level of per- Surabaya, a purposively selected sample
formance, a number of objectives to be representing the three forms of HEI, High

34


School (STIE Perbanas Surabaya), Institute possessed by each employee (faculty and
(ITATS) and Universities (Unmuh Suraba- supporting staff), which consists of: in-
ya). In this study, Universities in Surabaya tegrity, customer orientation, achieve-
were selected, which may represent a form ment orientation, initiative, cooperation,
of HEI and can be used as a pilot project is empathy, and adaptation to the change.
the STIE (Perbanas Surabaya). Lecturers and e. Managerial competency is a competency
supporting staff elements in the HE were that supports individuals in carrying out
randomly selected as representative of the management functions in the work.
lecturers and supporting staff. Nineteen res- Managerial competencies include: work
pondents include a number of the top mana- planning, problem solving, influencing
gement, the head of Faculty or Study Prog- others, subordinate empowerment, con-
ram, Head of Unit, and Lecturer in HEI, for trol and supervision
confirmation and verification of data. f. Technical competency is competencies
The data in this study are equipped with which are related to the field of em-
secondary data, such as the statute of organi- ployment and duties of each position.
zation, organizational structure and job des- Technical competence is divided into 2
criptions. (two) parts: first, general technical com-
Data collection method used for this re- petence, comprised of: The ability to use
search is a method of in-depth interview and IT, English, and a special technical com-
questionnaires. Interviews goal is to confirm petence.
the things written in the questionnaire. Data g. Required Level is the minimum compe-
collection was also done by triangulation tency required for certain positions.
techniques, which are combined from diffe- h. The individual level is the value
rent data collection techniques and data achieved by the individual at a certain
sources. In this case, researchers collected level of competence in accordance with
data at once to test the credibility of the data the behavior of individual work
with various techniques of data collection
(Sugiyono, 2005, p. 83). Research Instrument
The research employs questionnaire and in-
Operational Definition and Variable terview method. Questionnaires have been
Measurement prepared as a basic guide to conduct job
In this study some important concepts to be analysis interviews, digging competence and
measured and the research variables are des- confirmation of competence that will be
cribed as follows. used as indicators in the assessment of com-
a. CBA model performance appraisal sys- petency-based performance. In addition, it
tem is a system of performance assess- also prepared an instrument to guide the dis-
ment using indicators of competence as cussion in a focus group.
the basis for determining employee job Instruments have been prepared on the
performance in accordance with the du- elements of their core competence, manage-
ties and functions of each. rial competence, and technical competence
b. Competency is defined as a set of know- as well as measure the performance of a job
ledge, skills, attitude and character, the referred to above by considering the institu-
underlying behavior of a person to pro- tion's policy provisions and HEI as well as
duce a certain performance level. the existing benchmark. Questionnaires are
c. Type of competency is a grouping of based on indicator of each variable. The in-
competencies into core competencies strument is arranged to measure the identifi-
(general), managerial competence and cation of competencies needed in HE as fol-
technical competence. lows: 1) proficiency in the field of assign-
d. Core competency, the competence to be ment, 2) achievement orientation, 3) the im-

35


pact and influence, 4) conceptual thinking, testing their credibility by testing by check-
5) analytical thinking, 6) initiative, 7) self- ing the data from the same source with dif-
esteem, 8) understanding, 9) concern for ferent techniques, namely interviews, docu-
systematic work process, 10) information mentation, and questionnaires (Sugiyono,
retrieval, 11) cooperation, 12) integrity, 13) 2005, p. 125). Discussion with colleagues
ability to share knowledge, 14) ability to about the results of research concerns a pro-
establish performance measures, 15) capa- visional fellow lecturers and practitioners of
bility repair work, 16) the ability of a chal- human resource management field. In addi-
lenging target, 17) ability to innovate in the tion, it also conducted a member check,
work process, 18) the ability of persuasion which is the process of checking the data
based on facts, 19) professional reputation, obtained from the data providers, through
20) ability to analyze the core of the prob- group discussion forums.
lem, 21) ability to draw linkages or relation-
ships between problem , 22) ability to an- Dependability of Instrument
ticipate obstacles, 23) ability to solve the Dependability test or reliability test is im-
problem with a systematic, 24) ability to portant to know the extent to which the in-
make logical conclusions, 25) ability to con- strument used to provide consistent results
sider the consequences and implications of over time, by carrying out the examination
each choice of action, 26) responsiveness to of the entire research process. Dependability
respond to the situation, 27) ability to ex- demonstrated through trace field activities,
press self-confidence, 28) ability to seek by conducting a detailed recording of inter-
challenges, 29) self-reliance in addressing views and observations and by documenting
the problems, 30) ability to understand the in detail the analysis process.
attitudes, interests and needs of others, 31)
sensitivity and ability to clarify any existing Research Stages
information, 32) ability to exercise control The research steps following with these
over the quality of information, 33) capabil- stages:
ity make note of the work process that has a. Conduct job analysis to the HEI, to iden-
been implemented, 34) ability to obtain data, tify information about the position (job
35) ability to contact various sources in description) and qualification require-
various ways, 36) ability to get many inputs, ments for each key position for the op-
37) ability in a group discussion, 38) ability eration of HEI. The result is a job de-
to appreciate others, 39) the ability to share scription and job specification. From the
resources, 40) orientation towards the cus- job analysis process is also resulting job
tomer. From the discussions with experts, it analysis procedures, which can be used
is assumed that the gravity of these compe- as a guide for the implementation of fur-
tencies is the same. ther job analysis.
b. Preparing Competency Dictionary,
Credibility of Instrument which stages are as follows: 1) Set the
This research is a qualitative, findings or description of competence in each of the
data that are otherwise valid if there is no types of competencies: Core Compe-
difference between the reported researchers tency, Managerial Competency, Techni-
with what actually happens in the object un- cal Competency. 2) Set the level of pro-
der study (Sugiyono, 2005). It is necessary ficiency in each competency, where
for the validity of data through the test of every grain of competence decomposed
data credibility. The test of the data credibil- into several proficiency levels. This level
ity is triangulated, by checking data from is used as a measure of the competence
various sources in various ways. Triangula- gap, the difference between competence
tion used in this study was that of sources; requirements for an occupation (required

36


level) with the competence of the indi- ANALYSIS AND DISCUSSION
vidual (individual level) who served in Job Analysis Process
the position. At each level, listed on be- The process of job analysis conducted at
havioral indicators of ability to be dem- specific positions in the HEI, which includes
onstrated by an employee and can be ob- the Chairman of the Department, Secretary
served by his superiors, colleagues or as- of the Department, and Head of Department
sessors for the question may be referred (Head of Academic, Student Affairs Head of
to already have a competence at that Section, Head of HR, Head of General, Head
level; 3) Preparation of administrative of Administration and Finance, Head Public
systems and procedures for performance Relations Section, Head of Information
assessment, where the aim is to arrange Technology (IT), Head of Laboratory, Head
the type form judgments, make the de- of PPPM, Research Coordinator, Commu-
termination of the distribution form, the nity Services Coordinator) and Lecturer.
period of assessment, determination of Results from this job analysis process are
rater-ratee, collecting the results of the job descriptions and job specifications and
assessment, data processing assessment, job analysis manual, which enhanced the
follow-up results of performance as- draft manual that was made at the time be-
sessment and mapping the results of the fore the process of job analysis conducted.
assessment. 1) Job description and Job Specification
Job descriptions written in narrative form
Data Analysis that contains: 1) the identity of position,
1) Preliminary Analysis, is a job analysis which contains the description of job title,
(the result is job description and job re- part of the organization, responsible to, in
quirements), the establishment of key indica- charge. Identity of the job description is
tors of each position, data collection (type of meant to gain insight about organizational
core competencies, managerial and technical structure, responsibilities and accountability
competence), data analysis competencies, of the position; 2) Details of the task, con-
determining the type of competence, defin- sisting of planning, development and coach-
ing their respective competence in compe- ing tasks, operational tasks, reporting (ex-
tency dictionary and compilation of adminis- amination and preparation of reports), as-
trative systems and procedures for perform- sessing the subordinates performance, moni-
ance assessment tor and implement quality culture and carry
2) Analysis during the study: data analysis in out other tasks given related to their field
this study is the analysis of the data model supervisor. Inclusion of a description of car-
from Miles & Huberman (Sugiyono, 2005, rying out other tasks given related to their
p. 91). Activities undertaken in this analysis field supervisor, so there is flexibility in job
include: 1) The reduction of data, including descriptions, especially under on the jobs
summarizing, selecting basic things, focus that are not routine, but it is the responsibil-
on important things, then to find the pattern, ity of office holders; 3) the interaction term,
2) presentation of data, which takes the form contains information about the link a posi-
of brief descriptions, charts and relationship tion with the unit or any other position in
between variables and 3) Conclusions and relation to everyday tasks, can be interac-
verification, which explains not only the an- tions within the work unit and outside the
swers from the formulation of the problem work unit; 4) Position requirements, which
but can develop in accordance with the find- contains information about education, class /
ings in the field. area, functional position, work experience,
exceptional leadership, creative, innovative
and able to communicate well. Specific
skills are computer skills, English language

37


Table 1
Types of Core Competencies, Managerial Competencies, and
Technical Competencies
Results of focus group
Conformity with type of competency before the FGD
discussions (FGD)
1. Integrity Integrity, Professional Reputation
2. Customer orientation Customer orientation
3. Aachievement orientation Aachievement orientation, ability to seek challenges

4. Initiative Initiative
5. Teamwork Cooperation, the ability to share knowledge, ability in a
group discussion, ability to share resource
6. Empathy The ability to appreciate others, ability to understand the
attitudes, interests and needs of others
7. Adaptation to change Responsiveness to respond (new) situation
8. Work Planning Ability to set performance measures, ability to set
challenging targets work
9. Problem solving conceptual thinking, analytical thinking, understanding,
ability to analyze the core of the problem, ability to draw
linkages or relationships between problems, ability to
anticipate obstacles, problems with a systematic
separating Ability, Ability to make logical conclusions,
ability to consider the consequences and implications of
each choice of action, independence in overcoming
problems , sensitivity and ability to clarify any existing
information

10. Influencing Others Impact and influence, self-esteem, ability to persuasion
based on facts, ability to express confidence, ability to
contact various sources in different ways
11. Empowering The result of discussion with expert
12. Supervision and control The result of discussion with expert
13. Information Technology The result of discussion with expert
Mastery
14. English Mastery The result of discussion with expert
15. Proficiency in Task Field Concern for the systematic work processes, information
search, ability to improve the work, ability to innovate in
the work process, ability to exercise control over the
quality of information, ability to make notes to work
processes that have been implemented, ability to obtain
data

skills and physical and psychological health. result is job descriptions and job specifi-
Special skills are considered necessary by cation. Thus, a few things to get attention
the holders of positions in educational insti- about the task is the smallest of activities is
tutions. describes the functions of the position. With
2) Manual of Job Analysis Procedure the task, each position can be examined in
Manual contains procedures for the step of sufficient detail to be used as basis in prepar-
job analysis and of each sub-process of job ing the system of instruction. Some charac-
analysis. From the job analysis process, the teristics of tasks are: a) the task statement
38


describes a very specific action and not 2 (two) other types of competencies within
cause confusion it into practice. Sentence the group managerial competencies: 1) the
statement of the task has subjects and verbs; empowerment of subordinates, 2) supervi-
b) a task has a beginning (the task) and end sion and control.
(the task); c) the duties usually performed in Determination of technical competence
a short time, for example in seconds, min- should also consider the demands of infor-
utes and hours and can be subdivided into mation technology and global developments.
elements of the task; d) processing tasks can For that, the technical competence is consist-
be monitored and measured. This means that ing of competencies in information technol-
every activity in this task should be seen and ogy / computer and English skills.
the results of the implementation of the task Each item of competence decomposed
may reflect that the task has been carried out into several levels of proficiency (pro-
(see results), e) each task is a separate or free feciency level). This level is used as a meas-
from other tasks (not ambiguous). Every ure of the competence gap, the difference
sentence statement of the job description between competency requirements for a po-
must demonstrate autonomy. In addition, the sition with the competency of individuals
task is the smallest element of a job who served or will serve in that position. At
3) Competency Dictionary each level, are listed on the behavior or ca-
Competency dictionary is a description of pability that must be presented by an em-
the types of competencies, competency defi- ployee and can be observed by his superiors
nitions and behavioral indicators at each or colleagues for a question may be referred
level of competence. In the dictionary of to already have a competence at that level
competence are described on the 3 (three) Each core competency items grouped
types of competence, namely the core com- into 5 levels, namely Level 0: in dire need of
petence, managerial competence and techni- training and learning process, requiring cor-
cal competence. Determination of compe- rective action, his conduct does not meet the
tence type based on an analysis of question- required minimum standards of behavior,
naires, interview and based on discussions even behavior that violates the rules of the
with experts. There are 40 (forty) the type of organization; level 1: requires training and
competence which responded by respon- development, would receive correction and
dents about the importance of these compe- perform corrective actions, demonstrate
tencies. From the responses of respondents compliance with the most / some of the re-
stated that all competencies have an interest quired minimum standards of behavior, but
in employee performance measures. still needs improvement in several indicators
From the discussion with experts (FGD), of critical behavior, level 2: willing to adapt,
base on the existing list of competencies, the show consistency in behavior, indicating the
types of competencies were grouped in 7 behavior to achieve the standard, able to
(seven) types of core competence, namely promote themselves itself so that it can per-
integrity, customer orientation, achievement form tasks and behave according to that re-
orientation, initiative, cooperation, and adap- quired by the organization, level 3: shows
tation to changes empathy. Managerial com- the behavior to improve the work, show the
petence consists of three (3) competences, plan self-development, positive behavior
i.e. work planning, problem solving, and that exceeds required standards; Level 4:
influencing others. While technical compe- being an example, anticipate and become
tence consists of 1 (one) the competence of agents of change, encouraging learning or-
proficiency in the field of assignment. Con- ganization, capable of contributing the
sideration of the culture of educational insti- maximum to the organization, so as to im-
tutions is also a consideration when deter- prove organizational performance
mining the type of competence. To that, add Furthermore, every grain Managerial

39


competencies are grouped into 5 (five) level, Design of System Manual Performance
where the general meaning of each digit lev- Appraisal Model CBA
els are: Level 0: desperate need of training The draft manual CBA model performance
and learning, does not meet the minimum appraisal system contains about
standards required managerial behavior, 1. Basic Principles of Performance Assess-
level 1: requires training and development, ment, namely the commitment of all parties
willing to accept corrections and perform involved in the performance appraisal proc-
corrective actions, demonstrate compliance ess, starting from its own employees to top
with the most / some of the required mini- management, appraisal the performance car-
mum standards of behavior, but still needs ried out objectively, sub factors / indicators
improvement in several critical indicators of that reflected the assessment of type and
managerial behavior, level 2: willing to level of competency for each specifically
adapt and recognize the situation of working different positions, in accordance with the
units, but still needs improvement in several contents of tasks carried out the work of em-
indicators of managerial behavior critical; ployees and the standards expected by the
Level 3: able to make consistent efforts in organization. In addition to the socialization
moving individuals in a work unit to achieve of the performance appraisal system for all
work unit effectiveness; Level 4: able to employees affected by the implementation
promote the work unit, so as to improve the of the performance appraisal system, per-
achievement of work unit formance assessment carried out consis-
Each item of technical competency is tently, continuously and not a moment of
grouped into 5 levels, namely level 1: Know hospitalization, and results of performance
the basic concepts of knowledge or skills in appraisal be openly communicated, through
the areas of task, level 2: Able to apply the interview process feedback (feed back)
knowledge and skills according to estab- assessment.
lished procedures, to overcome the problems 2. Systems and Procedures Performance As-
that are routine, but require assistance when sessment Model CBA
problems are complex and must be ad- a) the applicable Performance Appraisal
dressed, level 3: Experience in applying the Process in the organization is a competency-
knowledge and skills, can solve routine and based performance appraisal system.
non routine problems without the need for Evaluation method used is a top-down ap-
assistance, can become trainers for other proach, ie assessment by officials that is su-
employees, level 4: Highly experienced in perior assessor assessed directly to employ-
applying knowledge and skills, have author- ees (subordinates). 360 degree feedback as-
ity in the field of expertise that is recognized sessment also can be an alternative to the HE
within the scope of the organization, to cope by considering the culture in each HE. While
with the complex situation that has not hap- activity in the CBA model performance ap-
pened before; Level 5: Able to develop sys- praisal process includes the distribution of
tems and procedures relating to the field or- the form, filling the record occurrence by
ganization or work unit, capable of integrat- appraiser, the implementation of formal as-
ing various other fields with that field for sessment, the implementation of the feed-
continuous process improvement for organi- back results of assessment, submission of
zation assessment results to the human resources
In the dictionary of competence, in any section, and recapitulation results of assess-
type of core competencies, there are mana- ment by human resource departments, and
gerial and technical definitions of each com- making analysis of the map/profile achieve-
petency and behavioral indicators. ments all employees by the Human Re-
sources Section for follow-up results of the
assessment.

40


Techniques to assess / measure the work praiser, and decision makers is the direct
of employees with a way to supervise / di- supervisor of the Assessor. Meanwhile, what
rect observation in the workplace, see the should be assessed, generally include objects
periodic reports / personnel data, using sec- or material that is assessed in accordance
ondary data as the data supporting the per- with existing competency dictionary. In ad-
formance, digging up information from fel- dition, it is necessary to consider the time
low employee, or subordinate employees (if dimension of performance is achieved when
there is), or a cross-section supervisor who compared with the standard of performance
had worked with a valued employee. The (or the level required).
next process is to fill in the form to record The importance of a process of perform-
the incident and corrective action (FCKTK) ance appraisal be done is to maintain and
any events, which contains about events dur- develop the potential possessed by the em-
ing the current month. In this form, an offi- ployees, determining training needs, the ba-
cial assessor records employee work behav- sis for employee career development and
ior in a positive or negative on matters relat- promotion base.
ing to the competencies required in the im- Furthermore, regarding the timing of the
plementation work. CBA model of performance assessment can
b) Administration of Performance Assess- be done formally and informally. Formal
ment assessment is done periodically every se-
Process of administration of this perform- mester evaluation gap between the levels
ance assessment is the duty of the Section of required by the individual level. Informal
Human Resources (HR), which is responsi- assessment is conducted continuously, each
ble for providing and distributing the forms time through daily observation. The per-
supporting the implementation of perform- formance evaluation is usually done in the
ance assessment, evaluate and analyze the workplace, specifically for the delivery of
needs of training and development pro- feedback must take into account confidenti-
grams, by creating a profile and map the per- ality, and comfort.
formance of employees per firm / sections /
section and per office and store and maintain Optimization of the Benefit from Per-
the confidentiality of the performance ap- formance Results
praisal data for each employee in a neat, or- a) Training Need Analysis: Results of per-
derly and up to date. formance appraisals, one of which can
CBA model performance appraisal form be used by organizations to develop
consists of: 1) FCK (event record form), training needs analysis and development
which is used by the assessor to make a re- for employees. With the design of per-
cord of incidents regarding employee performance appraisal CBA, then each in-
formance, whether positive or negative individual has a measurable level of
valuable and 2) FPCBA (CBA model ap- achievement, taking into account the gap
praisal form), which is used by the Assessor between the required level and individ-
for assessing performance within 1 (one) ual level in each competency. This gap,
period of assessment. Description of the per- which will be minimized by the exis-
formance appraisal system and procedures tence of a planned training and devel-
as contained in the manual system of per- opment and employee development
formance appraisal CBA model in brief needs.
about the who, what, why, when, where and b) Manpower Requirement Planning: Plan-
how the rating system conducted using CBA ning labor needs is an activity related to
who is involved in performance assessment the determination of human resource
model that assessed CBA covers employee, needs, both short-term needs and long
boss directly from the employee as an ap- term needs. With the CBA's perform-

41


ance assessment model, then the organi- this system, implemented employee
zation can predict or estimate how many merit increase is that one of them be-
people are needed because of the em- cause the value of performance (per-
ployee's performance is below the re- formance rating). The amount of awards
quired standard of competence, by look- at each performance level (special cate-
ing at the negative gap between the level gory, good, moderate, less, less so) de-
required by the individual level. termined in accordance with the strategy
c) Merit System in reward systems: meri- of HE and the huge budget allocation for
tocracy in the reward system in principle merit increases. The existence of justice
is a system to reward employees for (fairness) is an important part of the im-
achieving performance (pay for per- plementation of a merit rating.
formance). In this system, implemented 2. Type the appropriate competencies are
employee merit increase is determined used as indicators of performance as-
by 2 (two) factors, namely 1) the ratio of sessment CBA model are: a) core com-
salary to the mid salary employees in her petencies that consist of integrity, cus-
group (the same job grade), and 2) the tomer orientation, achievement orienta-
value of performance (performance rat- tion, initiative, cooperation, empathy and
ing). The amount of awards at each per- adaptation to changes is an aspect which
formance level (special category, good, was considered in the CBA model of
moderate, less, less so) determined in performance assessment; b) managerial
accordance with the strategy of HE and competence which consists of work
the huge budget allocation for merit in- planning, problem solving, influencing
creases. It's important to note is the per- others, empowerment of employees, su-
sistence of the principle of justice (fair- pervision and control, an aspect which
ness) as well as keeping the workers' was considered in the CBA model of
compensation remains in the range of performance assessment and c) opera-
minimum and maximum of the applica- tional technical competence which con-
ble compensation structure in HE. sists of the use of information technol-
ogy, English language mastery and pro-
CONCLUSIONS, SUGGESTION, AND ficiency in field duty is an aspect which
LIMITATIONS was considered in the assessment of
Conclusions model performance CBA.
The conclusion of this study can be de-
scribed as follows: Suggestion
1. CBA model of performance appraisal Based on the findings of this study, the sug-
systems can become the basis of merit gestion of researchers for Higher Education
rating in the management of universities, is a must in implementing a CBA model per-
because the CBA model will be made formance appraisal system to consider the
known to employees and the level map- culture or cultures that exist in each college,
ping of the achievements and the gaps of so it can eliminate the emergence of resis-
the demands a minimum level of each tance to the sustainability of the performance
type of competence. The result of the appraisal system. Performance assessment is
performance of each employee is used as the process that are vulnerable to subjectiv-
a basis for granting an award in accor- ity or bias (error in the assessment). For that,
dance with the level of achievement in the HE should provide the assessors with
each employee. In principle, meritocracy socialization and technical training or work-
in the reward system in the HE is a sys- shops on assessment and performance ap-
tem to reward employees for achieving praisal methods of delivery. In addition, the
performance (pay for performance). In dictionary required level of competence and

42


should be adjusted in accordance with the performance appraisal system.
dynamic changes that occur in each HE.
CBA model performance assessment REFERENCES
prepared on the basis of competence at the Abraham, SE., Karns, L.A., Shaw, K. and
heart of competitive advantage HE. There- Manuel A. Mena, 2001, Managerial
fore, mandatory for HE to be able to identify Competencies and The Managerial
what the advantages and what is the core of Performance Appraisal process, Jour-
these advantages. Thus the assessment crite- nal of Management Development, Vol
ria will be more focused on what became the 20 (10), 642-852.
core of superiority. Achmad S. Ruky, 2006. Sumber Daya
Advice for researchers who will conduct Manusia Berkualitas Mengubah Visi
research on performance appraisal system, in menjadi Realitas: Pendekatan Mikro
particular CBA models need to consider Prkatis untuk Memperoleh dan
other kinds of competence in accordance Mengembangkan Sumber Daya Manu-
with the progress made during the research sia Berkualitas Dalam Organisasi. Ja-
period. In addition, researchers can see from karta: Penerbit PT Gramedia Pustaka
the aspect of implementation of CBA sys- Utama.
tems so that could be a refinement of the Ainsworth,Murray,Neville Smith and Anne
performance appraisal system CBA model Millership, 2002, Managing Perform-
generated in this study. ance Managing People. Australia:
Research on job evaluation could be Pearson Education Australia Pty. Ltd
recommended as a material for further study, Grote, Dick, 1996, The Complete Guide to
because follow-up of the performance ap- Performance Appraisal. New York:
praisal system is the award for employee Amacom
performance. The principle of fairness in the Irvine, Eileen Piggot. 2003. Key Feature of
award can be realized through a process of Appraisal Effectiveness. The Interna-
job evaluation, which is a process to assess tional Journal of Educational Man-
the relative weight of a job compared to agement, 17 (3): pp. 170-178
other jobs. Kavanagh, Peter, John Benson and Michelle
Brown, 2007, Understanding Perform-
Limitations ance Appraisal Fairness. Asia Pacific
The results of this study have not answered Journal of Human Resources , 45(2).
completely aware of all the problems associ- Levenson, Alec R., Wim A. Van der Stede
ated with performance appraisal systems and Susan G. Cohen. 2006. Measuring
CBA model in Higher Education. This is the Relationship Between Managerial
caused due to the limitation on the number Competencies and Performance. Jour-
of samples as well as respondents who have nal of Management; 32; 360. Sage
not maximally to represent three forms of Publication
HE: institutions, colleges and universities. Lutfi, dkk, 2007, Pengembangan Sistem
Another limitation is the design of per- penilaian Kinerja berbasis Kompetensi
formance appraisal system this CBA model di Sekolah Tinggi Ilmu Ekonomi Per-
that has not been linked to the culture of banas Surabaya. Laporan penelitian
each HE. Election competence aspect of per- Malhotra, N.K 2006, Marketing Research.
formance assessment be based solely on a New Jersey: Prentice Hall Interna-
survey through questionnaires and interview tional
methods associated with the interests of Ozçelik, Gaye and Murat Ferman, 2006,
competence on the success of employees in Competency Approach to Human Re-
his office, has not included the element of sources Management: Outcomes and
organizational culture in the design of the Contributions. Human Resource De-

43


velopment Review , 5; 72, Sage Publi- Sugiyono, 2005. Memahami Penelitian
cations Kualitatif. Bandung: CV. Alfabeta
Reinke, Saundra J 2003, Does the Form Tziner, Aharon and Christine Joanis, 2000,
Really Matter?: Leadership, Trust and A Comparison of Three Methods of
Acceptance of the Performance Ap- Performance Appraisal With Regard to
praisal Process. Review of Public Per- Goal Properties, Goal Perception, and
sonnel Administration, Vol 23 (1): pp Ratee Satisfaction. Group and Organi-
23-37. Sage Publications zation Management, Vol 25 (2), pp
Sekaran, Uma, 2006, Research Method s for 175-190, Sage Publications, INC Undang-
Business: A Skill Building Approach, Undang Guru dan Dosen (UU RI
Singapore, John Wiley & Sons. no. 14 Th. 2005), 2006, Jakarta: Sinar
Spencer & Spencer, 1993, Competence at Grafika
Work: Models for Superior Perform- Walh, K and D. Fisher, 2006, Action Inquiry
ance. Canada: John Wiley & Sons, Inc and Performance Appraisals, The
Steensma, Herman and Ellen Visser, 2007, Learning Organization, Vol 12 (1), pp.
Procedural Justice and Supervisor’ 26 – 41.
Personal Power Bases: Effects On Walsh, Kate and Dalmar Fisher, 2005, Ac-
Employees’ Perceptions of Perform- tion inquiry and performance apprais-
ance Appraisal Sessions, Commitment als: Tools for Organizational Learning
and Motivation. Journal Collective and Development. The Learning Or-
Negotiations, vol.31 (2): pp 101-118. ganization, Vol. 12 No. 1. Emerald
Baywood Publishing Co., Inc Group Publishing Limited.

44

Designing CBA Model for Performance Appraisal

Designing CBA Model for Performance Appraisal

Recommandé

Recommandé

Contenu connexe

Tendances

Tendances (20)

Similaire à Designing CBA Model for Performance Appraisal

Similaire à Designing CBA Model for Performance Appraisal (20)

Designing CBA Model for Performance Appraisal