Creating a Culture of Performance:

The Role for Performance Appraisal in Strengthening Kazakhstan’s Civil Service

Rex L. Facer IIAssociate Professor of Public Finance & ManagementGeorge W. Romney Institute of Public Management

Marriott School of ManagementBrigham Young University

Provo, Utah, USA

Agenda

• Connection between Performance & Good Governance

• Strategies for Assessing Performance

• Connecting Performance to Organizational Systems

Governance

• Governance is “the exercise of economic, political, and administrative authority to manage…affairs at all levels, comprising the mechanisms, processes, and institutions through which that authority is directed”– UN Development Program

• “Simply put, ‘governance’ means: the process of decision-making and the process by which decisions are implemented (or not implemented).”– Economic and Social Commission for Asia and the Pacific

Good Governance

Good Governance requires systems and institutions

that use critical values and

principles.

Good Governance

• In a system of good governance there are core underlying principles/values.

• These include, but are not limited to:– Accountability– Transparency– Efficiency– Effectiveness

GOOD GOVERNANCE

Accountability requires performance assessment

Performance Assessment

• Basic Goals: – Have a fair system that fosters trust– Provide quality feedback and guidance to

employees so they can improve their performance

– Help employees understand their status with the organization

– Provide accurate and useful information to supervisors for making decisions

Keys to a successful Performance Appraisal System• The performance appraisal instrument

is developed from a systematic analysis of individual jobs

• Job descriptions used in the appraisal process are kept up-to-date

• Performance appraisal focuses on specific job-related issues

Keys to a successful Performance Appraisal System• Performance standards or goals

are communicated to employees• Supervisors are properly trained to

evaluate employees• Written documentation concerning

the appraisal process is maintained

Basic Process for Designing & Implementing a Performance Appraisal System1. Analyze the jobs (prepare job descriptions)2. Develop assessment standards and measures3. Train supervisors & employees on the purpose

and methods of the organization’s performance appraisal process

4. Supervisors conduct on-going informal appraisals (recognizing good & poor performance) as part of their normal responsibilities to coach, encourage, develop, or discipline employees

5. Supervisors conduct the formal annual or semi-annual performance appraisal and set goals and objectives for the coming year

Performance Assessment Measurement

• Key Decision: What to assess– Traits– Behaviors– Results

Trait Assessments

Behavior Assessments

• What is the employee’s behavior on specific skills and job duties– Skills and behaviors such as:

communication skills, work habits, compliance with organizational policies

• Behaviors need to be related to the essential functions of the position

Results Assessment

• Measure the outcomes achieved through the work process– Ensure that employees have the ability

to affect the completion of the goal– Is the outcome appropriate (not too

easy, not unatainable)– Number of clients served, number of

forms processed, percent of clients who complete a program

Comparing Assessment StrategiesValid & Reliable

Acceptable & Feasible

Specific Connected to Mission

& Objectives

Trait Sometimes(not everyone will assess a trait the same)

Sometimes (if clearly connected to the job)

No (most trait assessments are general in nature and not connected to a specific level of performance)

Occassionally

Behavior

Yes Yes Yes (if there is sufficient information to document the behavior)

Sometimes

Results Yes Yes(However, some results are very difficult to measure)

Yes Sometimes

Which Assessment Strategy is Best?• It depends!• Many organizations use all three

assessment approaches.• The real question is which strategy will

provide the most useful information for understanding, recognizing, and managing performance that will lead to fulfilling the organization’s mission and goals?

Creating a culture of performance

• Kazakhstan is in a fortunate position.– The public sector has a strong supporter

in President Nazarbayev– Commitment from Leaders of Important

Organizations• Kazakhstan Academy of Public

Administration• Agency of the Republic of Kazakhstan for

Civil Service Affairs

Creating a culture of performance

• Kazakhstan is in a fortunate position.– Commitment to Professional

Administration– Civil Service Reform Efforts– Regional Hub

Moving Forward

• Appraisal Instrument Tasks– Will there be one instrument or multiple

instruments (e.g., Corp A vs. Other; Different forms for different agencies)

– Decide on type of assessment measures– Develop specific performance appraisal

instruments

Moving Forward

• Appraisal Process Tasks– Review job descriptions– Begin implementation with pilot agencies or units

to ensure that the details work– Provide training for supervisors and employees

on the purposes and processes of performance appraisal

– Evaluate the pilots and move to larger implementation

Connecting Performance to Organizational Systems• Merit Pay/Pay-for-Performance

– It can be done, but it takes significant effort to get it right

– The performance appraisal system needs to function well, employees must trust that it is a fair and legitimate process

– Research suggests that merit pay is frequently abandoned after implementation.