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  • 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 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 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, technical competencies, CBA Model.INTRODUCTION ternal challenges, particularly the RepublicIt 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, theEducation Long-Term Strategy (HELTS). traditional performance appraisal systemsHE in Indonesia is expected to implement had to be abandoned, and replaced withgood governance in education, such as by competency-based performance appraisalimplementing it in the management of Hu- system. Development of competency-basedman 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 meritate 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 careerman resources’ competencies and form a development.culture allowing HE to have a source of Governance and management systemscompetitive 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 atand 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 byused for merit rating. In addition, the exis- both intrinsic and extrinsic motivation andtence 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 ofsure 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: aof the aspect of external and internal inter- description of competence in each type ofests 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 systemers began regulating the competence of lec- performance evaluation procedures outlinedturers, 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 andgram levels. This demanded HE to direct the decision making for coaching, training andmanagement of its human resources to com- human resource development particularly inply 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 careeredge and positive working attitude oflectur- development; d) controling and monitoringers and supporting staff. In connection with HR management; e) as a tool of motivationthe above description, the competence and and feedback process for the educator andproductivity is vital in accordance with their supporting staff; f) provision of data-basedrespective job. Competency-based perform- support for decision-making related to otherance 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 (CBAcompetitiveness can be increased make it an model) be used as merit rating in the HRimportant measure of a nation and HE. A management of HEI? 2) What is the rightuniversity which aims to have global com- type of core, managerial and technical orpetitiveness and performance requires a operational competence if using an indicatorhigher competency than those at the national of the performance appraisal system designlevel. Thus, competency-based performance (CBA Model)?appraisal system can be designed accordingto the desired competitiveness by the HEI, THEORITICAL FRAMEWORKthrough the establishment of core compe- Job Analysistence, managerial competence and technical Job analysis is a process to find, identify,competence, adjusted to competitiveness to and analyze information about employmentbe achieved HEI. or duties in work situations. It is the initial The internal considerations deal with process of a HR management. It creates agood HR management and this plays an im- job description and job specifications for theportant role to realize the performance of basis of HR management, from their work- 30
  • Journal of Economics, Business and Accountancy Ventura Volume 14, No. 1, April 2011, pages 29 – 44Accreditation No. 110/DIKTI/Kep/2009force planning, performance appraisals, em- outcome performance assessments. A num-ployee development, and remuneration ber of approaches can be used to evaluateprocesses. 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 andjob 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 statementabout the duties, responsibilities, and author- Attitude toward Performance Appraisality as well as the interaction of a particular Reinke (2003, p. 23) states that trust andjob. Beside, it aslo indicates what is done in acceptance of performance appraisal processsuch 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 per- formance appraisal systems, a number ofsonnel in a specific job. training. Carson, Cardy and Dobbins in Re-Performance Appraisal System inke (2003, p. 23), mention three criticalPerformance appraisal system will improve assumptions of performance assessment,the effectiveness of decision-making proces- namely 1) in actual, employees will differ inses relating to human resources and emplo- contributing to the organization, 2) theyee satisfaction (Steensma, 2007, pp. 101- causes of these differences is the existence102). The objective of performance appraisal of individual differences, 3) Supervisor areis used to allocate merit pay system, the ba- able and willing to distinguish the attributessic justification for the promotion process, of individual job performance with othermeasure 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 frompected conditions (such as sanctions, termi- the attitude towards justice and acceptancenation). Reinke (2003, p. 23) adds that the of the appraisal system, which is influencedmain purpose of performance appraisal is 1) by the forms of assessment, organizationalthe development, which focuses on improv- characteristics, and individual characteris-ing employee performance by identifying tics. Fairness and accuracy of performanceopportunities for employee growth and de- appraisal system can form an opinion on thesigning organizational resources that support employee performance appraisal determinedemployee growth process, 2) summative, by the frequency of assessment, knowledgewhich 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 oflary. Thus, the use of performance appraisal performance, a number of objectives to bein 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, themotion) and for staff development purposes, training on performance appraisal, practicalnamely 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 besessment 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
  • ISSN 2087-3735 Designing CBA Model … (Tjahjani Prawitowati)assessment methods is a crucial element for work, standard of organization, section, upperformance appraisal system. Its effective- to individual performance targets (Lutfi, etness 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 predictof satisfaction with the performance ap- who is superior performer, to poor perform-praisal system. Tziner (2000) argues, train- ers (marginal contributor), measured froming can develop Rater’s skills in observing the stipulated criteria. Such information canand 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 theperformance 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 theand 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 makingployee 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 weaknessesCompetency of employees. Through the feedback pro-Spencer & Spencer (1993) argue that com- cess, employees can be used as a basis forpetence is a basic characteristic that affects improvement that facilitates the Supervisorthe way of thinking and acting, making gen- to do the coaching and guidance. It can beeralizations to all the situations they faced, used to evaluate performance, the qualityand 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 beincludes 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 onperformance. Beside, it can be measured by competencies of the employees compareda 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 isconcluded 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 asituation or environment. These characteris- Dimension of Competencytics underlie a person in the act of work re- According to the Law about Teachers andlated 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 orCompetency-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 includemeasurement of employee performance, in 1) pedagogical competence is the ability tothe 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
  • Journal of Economics, Business and Accountancy Ventura Volume 14, No. 1, April 2011, pages 29 – 44Accreditation No. 110/DIKTI/Kep/2009plary 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 beginningfectively and efficiently with students, fel- process of performance is planning, conduct-low teachers / lecturers, parents / guardians ing performance appraisals, and correctiveof students and surrounding communities, action and adaptive to each other throughand the last is: 4) professional competence is feedback discussions.the ability of mastering the subject matter isbroad and deep (Republic Act no. 14 / 2005, Required Level of Competencyp. 44). In developing the performance as- Competency standards are formulas on thesessment system (CBA model), the elements behavior of minimum performance that mustof 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 byDeveloping 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 of112) stages of developing the competency the minimum level of competency must bemodel 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. Positiveinterviewed the incumbent who is selected gap can occur if an individual level is higheras the sample, observation incumbent in the than the required level, while the gap is saiddaily work, while developing a model and negative if the individual level islower thanmake 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 andsharpen the model temporarily. Furthermore, Effectivity of Performance Appraisalit also needs validated competency model According to Irvine (2003, p. 173) criteria ofbefore 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 gapReference: Ainsworth, Neville Smith and Anne Millership (2002, p. 7) 33
  • ISSN 2087-3735 Designing CBA Model … (Tjahjani Prawitowati)ess, employees trust on the organization, the achieved, the suitability assessment of theaccountability and integrated development, achievement, the two-way communicationand 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 thefeedback on strengths and weaknesses of the performance appraisal system, a practicalindividual (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 satisfactionresource systems in organization, provides of assessment methods is a crucial elementimportant 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 appraisaleffectiveness of performance appraisal sys- process can be achieved if the organizationtem. 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 per- ior from top management and the availabil-formance appraisal systems, and a number ity of reward system. Employee involvementof socialization received by the employees in setting performance management systemrelated to the system. The objective of so- will be able to build a sense of belonging tocialization of the implementation acccord- the system. In addition, communicating theing to Tziner (2000, p. 179) includes 1) de- performance system to employee have beenveloping 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 toperformance, 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 suchnent, 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 thissumption 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 betion, where the causes of the differences are clear about the responsibilities, objectives tothe 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 thedistinguish the attributes of work perform- continuous evaluation of the implementationance and individual performance with other of performance appraisal systems that havesources. 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 METHODfrequency of assessment, knowledge of the Sampling and Data CollectionRater about the Ratee’s duties and responsi- Population in this research is universities inbilities and understanding of the level of per- Surabaya, a purposively selected sampleformance, a number of objectives to be representing the three forms of HEI, High 34
  • Journal of Economics, Business and Accountancy Ventura Volume 14, No. 1, April 2011, pages 29 – 44Accreditation No. 110/DIKTI/Kep/2009School (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 competencysupporting staff elements in the HE were that supports individuals in carrying outrandomly selected as representative of the management functions in the work.lecturers and supporting staff. Nineteen res- Managerial competencies include: workpondents include a number of the top mana- planning, problem solving, influencinggement, the head of Faculty or Study Prog- others, subordinate empowerment, con-ram, Head of Unit, and Lecturer in HEI, for trol and supervisionconfirmation 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 2criptions. (two) parts: first, general technical com- Data collection method used for this re- petence, comprised of: The ability to usesearch 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 valuerent data collection techniques and data achieved by the individual at a certainsources. In this case, researchers collected level of competence in accordance withdata at once to test the credibility of the data the behavior of individual workwith 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 beenMeasurement prepared as a basic guide to conduct jobIn this study some important concepts to be analysis interviews, digging competence andmeasured and the research variables are des- confirmation of competence that will becribed 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 competenceb. 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- tions policy provisions and HEI as well as duce a certain performance level. the existing benchmark. Questionnaires arec. 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
  • ISSN 2087-3735 Designing CBA Model … (Tjahjani Prawitowati)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 colleaguesability to share knowledge, 14) ability to about the results of research concerns a pro-establish performance measures, 15) capa- visional fellow lecturers and practitioners ofbility 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 databased on facts, 19) professional reputation, obtained from the data providers, through20) 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 Instrumentticipate 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 resultssider the consequences and implications of over time, by carrying out the examinationeach choice of action, 26) responsiveness to of the entire research process. Dependabilityrespond 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 documentingthe 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 Stagesinformation, 32) ability to exercise control The research steps following with theseover 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 (job35) 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 theresources, 40) orientation towards the cus- job analysis process is also resulting jobtomer. From the discussions with experts, it analysis procedures, which can be usedis 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 theThis research is a qualitative, findings or description of competence in each of thedata 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, wherefor the validity of data through the test of every grain of competence decomposeddata credibility. The test of the data credibil- into several proficiency levels. This levelity is triangulated, by checking data from is used as a measure of the competencevarious sources in various ways. Triangula- gap, the difference between competencetion used in this study was that of sources; requirements for an occupation (required 36
  • Journal of Economics, Business and Accountancy Ventura Volume 14, No. 1, April 2011, pages 29 – 44Accreditation No. 110/DIKTI/Kep/2009 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 formData 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, inquirements), the establishment of key indica- charge. Identity of the job description istors of each position, data collection (type of meant to gain insight about organizationalcore competencies, managerial and technical structure, responsibilities and accountabilitycompetence), 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 carry2) Analysis during the study: data analysis in out other tasks given related to their fieldthis 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 theirp. 91). Activities undertaken in this analysis field supervisor, so there is flexibility in jobinclude: 1) The reduction of data, including descriptions, especially under on the jobssummarizing, 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 inbetween 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 theswers from the formulation of the problem work unit; 4) Position requirements, whichbut 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
  • ISSN 2087-3735 Designing CBA Model … (Tjahjani Prawitowati) 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 dataskills 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 attentionthe holders of positions in educational insti- about the task is the smallest of activities istutions. describes the functions of the position. With2) Manual of Job Analysis Procedure the task, each position can be examined inManual 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
  • Journal of Economics, Business and Accountancy Ventura Volume 14, No. 1, April 2011, pages 29 – 44Accreditation No. 110/DIKTI/Kep/2009describes a very specific action and not 2 (two) other types of competencies withincause confusion it into practice. Sentence the group managerial competencies: 1) thestatement 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 competencea 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 decomposedmay 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 differencesentence statement of the job description between competency requirements for a po-must demonstrate autonomy. In addition, the sition with the competency of individualstask is the smallest element of a job who served or will serve in that position. At3) 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 superiorsnitions and behavioral indicators at each or colleagues for a question may be referredlevel of competence. In the dictionary of to already have a competence at that levelcompetence are described on the 3 (three) Each core competency items groupedtypes of competence, namely the core com- into 5 levels, namely Level 0: in dire need ofpetence, managerial competence and techni- training and learning process, requiring cor-cal competence. Determination of compe- rective action, his conduct does not meet thetence 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 thewith experts. There are 40 (forty) the type of organization; level 1: requires training andcompetence which responded by respon- development, would receive correction anddents about the importance of these compe- perform corrective actions, demonstratetencies. 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, butin 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 thetypes 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: showstation to changes empathy. Managerial com- the behavior to improve the work, show thepetence consists of three (3) competences, plan self-development, positive behaviori.e. work planning, problem solving, and that exceeds required standards; Level 4:influencing others. While technical compe- being an example, anticipate and becometence consists of 1 (one) the competence of agents of change, encouraging learning or-proficiency in the field of assignment. Con- ganization, capable of contributing thesideration of the culture of educational insti- maximum to the organization, so as to im-tutions is also a consideration when deter- prove organizational performancemining the type of competence. To that, add Furthermore, every grain Managerial 39
  • ISSN 2087-3735 Designing CBA Model … (Tjahjani Prawitowati)competencies are grouped into 5 (five) level, Design of System Manual Performancewhere the general meaning of each digit lev- Appraisal Model CBAels are: Level 0: desperate need of training The draft manual CBA model performanceand learning, does not meet the minimum appraisal system contains aboutstandards required managerial behavior, 1. Basic Principles of Performance Assess-level 1: requires training and development, ment, namely the commitment of all partieswilling to accept corrections and perform involved in the performance appraisal proc-corrective actions, demonstrate compliance ess, starting from its own employees to topwith the most / some of the required mini- management, appraisal the performance car-mum standards of behavior, but still needs ried out objectively, sub factors / indicatorsimprovement in several critical indicators of that reflected the assessment of type andmanagerial behavior, level 2: willing to level of competency for each specificallyadapt and recognize the situation of working different positions, in accordance with theunits, 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 theLevel 3: able to make consistent efforts in organization. In addition to the socializationmoving individuals in a work unit to achieve of the performance appraisal system for allwork unit effectiveness; Level 4: able to employees affected by the implementationpromote 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 ofgrouped into 5 levels, namely level 1: Know hospitalization, and results of performancethe basic concepts of knowledge or skills in appraisal be openly communicated, throughthe 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 CBAproblems are complex and must be ad- a) the applicable Performance Appraisaldressed, 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 HEwithin the scope of the organization, to cope by considering the culture in each HE. Whilewith 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 oftems and procedures relating to the field or- the form, filling the record occurrence byganization 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 ofzation 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, andgerial 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
  • Journal of Economics, Business and Accountancy Ventura Volume 14, No. 1, April 2011, pages 29 – 44Accreditation No. 110/DIKTI/Kep/2009 Techniques to assess / measure the work praiser, and decision makers is the directof employees with a way to supervise / di- supervisor of the Assessor. Meanwhile, whatrect observation in the workplace, see the should be assessed, generally include objectsperiodic reports / personnel data, using sec- or material that is assessed in accordanceondary 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 timelow employee, or subordinate employees (if dimension of performance is achieved whenthere is), or a cross-section supervisor who compared with the standard of performancehad 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 andany 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 andior in a positive or negative on matters relat- promotion base.ing to the competencies required in the im- Furthermore, regarding the timing of theplementation work. CBA model of performance assessment canb) Administration of Performance Assess- be done formally and informally. Formalment assessment is done periodically every se-Process of administration of this perform- mester evaluation gap between the levelsance assessment is the duty of the Section of required by the individual level. InformalHuman Resources (HR), which is responsi- assessment is conducted continuously, eachble for providing and distributing the forms time through daily observation. The per-supporting the implementation of perform- formance evaluation is usually done in theance assessment, evaluate and analyze the workplace, specifically for the delivery ofneeds 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 Resultspraisal 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 developconsists of: 1) FCK (event record form), training needs analysis and developmentwhich is used by the assessor to make a re- for employees. With the design of per-cord of incidents regarding employee per- formance appraisal CBA, then each in-formance, whether positive or negative in- dividual has a measurable level ofvaluable and 2) FPCBA (CBA model ap- achievement, taking into account the gappraisal 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 developmentformance 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 towho is involved in performance assessment the determination of human resourcemodel that assessed CBA covers employee, needs, both short-term needs and longboss directly from the employee as an ap- term needs. With the CBAs perform- 41
  • ISSN 2087-3735 Designing CBA Model … (Tjahjani Prawitowati) 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- ployees 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 strategyc) 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. Its 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 whichLIMITATIONS was considered in the assessment ofConclusions model performance CBA.The conclusion of this study can be de-scribed as follows: Suggestion1. 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
  • Journal of Economics, Business and Accountancy Ventura Volume 14, No. 1, April 2011, pages 29 – 44Accreditation No. 110/DIKTI/Kep/2009should be adjusted in accordance with the performance appraisal system.dynamic changes that occur in each HE. CBA model performance assessment REFERENCESprepared on the basis of competence at the Abraham, SE., Karns, L.A., Shaw, K. andheart of competitive advantage HE. There- Manuel A. Mena, 2001, Managerialfore, mandatory for HE to be able to identify Competencies and The Managerialwhat the advantages and what is the core of Performance Appraisal process, Jour-these advantages. Thus the assessment crite- nal of Management Development, Volria 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 Visiresearch on performance appraisal system, in menjadi Realitas: Pendekatan Mikroparticular CBA models need to consider Prkatis untuk Memperoleh danother 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 Pustakathe aspect of implementation of CBA sys- Utama.tems so that could be a refinement of the Ainsworth,Murray,Neville Smith and Anneperformance 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. Ltdrecommended as a material for further study, Grote, Dick, 1996, The Complete Guide tobecause follow-up of the performance ap- Performance Appraisal. New York:praisal system is the award for employee Amacomperformance. The principle of fairness in the Irvine, Eileen Piggot. 2003. Key Feature ofaward 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. 170-178other jobs. Kavanagh, Peter, John Benson and Michelle Brown, 2007, Understanding Perform-Limitations ance Appraisal Fairness. Asia PacificThe 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 Stedeated with performance appraisal systems and Susan G. Cohen. 2006. MeasuringCBA model in Higher Education. This is the Relationship Between Managerialcaused due to the limitation on the number Competencies and Performance. Jour-of samples as well as respondents who have nal of Management; 32; 360. Sagenot maximally to represent three forms of PublicationHE: institutions, colleges and universities. Lutfi, dkk, 2007, Pengembangan Sistem Another limitation is the design of per- penilaian Kinerja berbasis Kompetensiformance appraisal system this CBA model di Sekolah Tinggi Ilmu Ekonomi Per-that has not been linked to the culture of banas Surabaya. Laporan penelitianeach 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 tionalmethods 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 andorganizational culture in the design of the Contributions. Human Resource De- 43
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