PERFORMANCE APPRAISAL IN HIGHER EDUCATION Thesis submitted for the degree of Doctor ...

234 Pages·2013·6.68 MB·English

PERFORMANCE APPRAISAL IN HIGHER EDUCATION
Thesis submitted for the degree of
Doctor of Education
at the University of Leicester
by
Silva Krikor Karkoulian
Department of Education
University of Leicester
October 2002
UMI Number: U601147
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Abstract
The proper implementation of an appraisal system in an educational institution could
enhance the growth and development of its faculty members, which will positively reflect
on the whole institution. This study aims at laying the ground for a better appraisal
practice at the Lebanese American University (LAU). The study also attempts to identify
trends and areas for further development, and to provide consolidated practical advice for
universities in Lebanon. 80 faculty members filled semi-structured questionnaires at the
Lebanese American University. Furthermore, 40 faculty members were interviewed
using purposive sampling. The response rate was low (36.86%), for 80 out of the 217
responded to the distributed questionnaire. The interviews with faculty members
acknowledged the importance of mentoring and professional development at LAU. The
results showed that no formal appraisal scheme was implemented at LAU. The majority
of the respondents acknowledged that 360-degree appraisal is the most comprehensive
appraisal practice. Based on the literature review and the suggestions of interviewed
faculty members, a communication model for the performance appraisal scheme was
developed to be further tested and adopted by the university, if it yielded satisfactory
results. The researcher finally recommended the formal adoption of a performance
appraisal process at LAU.
Dedications
This work is dedicated to my parents who always offered me opportunity of choice and
incentives to pursue higher levels of learning.
Acknowledgement
I would like to take this opportunity to thank the many people who helped me in one way
or another to finish my thesis. First, my deepest thanks go to my supervisor Dr. Hugh
Busher for his support and guidance during the production of the thesis, and his relentless
attention to detail. Thanks for the tutors, the library staff, and the secretaries at Leicester
University.
I would like to convey my gratefulness for many of the faculty members at the Lebanese
American University who have much contributed to this thesis by their fruitful
participation in the study and provided me with very insightful points which constituted
the bulk of the findings. Thanks to Dr. Abdul Razak Chorbaji and Miss Manal Younis
for their final touch in conducting the statistical part of the research. I, as well, appreciate
the work of all the colleagues who offered me several excellent creative ideas. Special
thanks for Dr. Rima Bahous for taking the time and effort to read and critique the thesis
wholeheartedly. On a more personal note I thank Aysha Itani, a valued friend who has
been constant source of support. I am grateful for my graduate assistants Miss Rania Hajj
and Mr. Jad Kantar for their ceaseless assistance.
Thanks also to my family, my mother who is a constant source of inspiration and my
brother. They have always been there for me.
Finally, thanks for all who supported my ideas and provided me with the ever-needed
encouragement and potential through out the study.
Table of Contents
Page
• Chapter One: Introduction l
■ Introduction 1
■ Objectives 2
■ Need of the Study 2
■ Key Questions 3
■ Lebanese Culture 3
■ Scope of the Study 4
■ Site of the Study: Context and Background 4
■ The Shape of the Thesis 8
• Chapter Two: Literature Review 12
■ Introduction 12
■ Managing Human Resources 14
■ The Organisational Culture 17
■ Supporting Professional Learning through Collaborative Process 21
■ Performance Management 23
■ Management by Objectives 25
□ Integration of Organisational and Individual Objectives 27
■ Purposes of Appraisal 31
■ Performance Appraisal 33
■ Types of Performance Appraisal 39
■ Using the 360 degree Appraisals and Feedback Method 47
■ Views of Appraisal in Higher Education 52
■ Professional Development 55
■ Mentoring 59
□ Gender and Mentoring 63
■ A Model to Conclude Performance Appraisal 64
■ Conclusion 70
• Chapter Three: Methodology and Research Design 72
■ Focus and Purpose of Investigation 72
■ Key Questions 73
■ Importance of the Study 73
■ Research Design 74
□ Early Attempt to Design the Study 74
□ The New Research Design 75
■ Qualitative and Positivist Research 77
□ The Complementary Strengths of Qualitative and Quantitative
Methods 78
■ Case Study 79
■ Validity and Trustworthiness in the Study 80
■ Piloting 81
□ Piloting the Questionnaire 81
□ Piloting the Interview Schedule 82
■ Sampling 82
□ Questionnaire Sampling 82
□ Interview Sampling 84
■ Ethical Consideration 85
■ Constructing the Instruments 86
□ The Questionnaire 86
□ Analysing the Questionnaire Data 87
□ The Interview 89
□ Interview Schedule for the Main Study 90
• Chapter Four: Analysis of Findings
Existing Appraisal Scheme at LAU 94
■ The Sample Studied 95
■ Demographic and Personal Information 96
■ Purpose of Performance Appraisal in Higher Education 98
■ Satisfaction with the Current System 103
□ Time Interval for the Appraisal Process 103
□ Comparison between Full Time and Part Time Faculty 103
■ Methods Applied in Appraising Academic Staff 106
□ Assessing the Importance of Appraisal 108
■ Communication 111
■ Carrying out Appraisal Interviews 112
■ Performance Appraisal and Promotion 113
■ Performance Appraisal and Motivation 114
■ When Rewards Are Given 117
□ Comparison Between Full Time and Part Time Faculty 117
■ Comparing LAU Appraisal Scheme with Those of Other Universities 118
■ Feedback 119
□ Comparison Between Full Time and Part Time Faculty 119
□ Assessing the Importance of Feedback 120
■ Collaboration and Professional Development Among Faculty Members 123
• Chapter Five: Analysis of Findings
Potential Improvements of Appraisal Scheme at LAU 126
■ Improving the Appraisal System 126
■ Who Should Carry Out the Appraisal Process 128
■ 360 Degree Feedback 130
■ Mentoring 134
□ Gender and Mentoring (male/female views) 135
□ Disadvantages of Mentoring 137
• Chapter Six:
Discussion of the existing Appraisal Scheme at LAU 139
■ Introduction 139
■ Importance of Communication 140
■ Purpose of Appraisal 142
■ Performance Appraisal and Promotion 143
■ Collaboration Among Faculty Members and Professional Development 144
• Chapter Seven:
Discussion of Potential Improvements in the Appraisal Scheme at LAU 147
■ Improving The Appraisal System 147
■ Mentoring 151
□ Disadvantages of Mentoring 153
■ Performance Appraisal Model 154
• Chapter Eight: Conclusion 155
■ The Importance of the Study Findings 159
■ Limitations 160
■ Recommendations 161
■ Recommendation for Further Research 163
■ Conclusion 165
• Appendix A: The Advantages and Disadvantages of Various
Appraisal Methods
• Appendix B: The Advantages and Disadvantages of Appraisal
• Appendix C: Interview Schedule
• Appendix D: Questionnaire
• Appendix E: Factor Analysis
• Appendix F: Organisation Chart
• Appendix G: Student Evaluation of Teaching Effectiveness
• Bibliography
List of Figures
Pages
• Figure 2-1: Good Organisational Practices 37
• Figure 2-2: 360 degree Feedback 49
• Figure 2-3: A Model of Performance Appraisal 65
• Figure 4-1: Adoption of the Appraisal System 104
• Figure 4-2: Who Conducts Performance Appraisal 106
• Figure 4-3: Performance Appraisal Experienced by Respondents in 98/99 107
• Figure 5-1: Importance of Mentoring in Higher Education 135
• Figure 8-1: A Model of Performance Appraisal at LAU 163
List of Tables
• Table 2-1: Four Culture Typology 20
• Table 2-2: Advantages and Disadvantages of Cultural Typology 20
• Table 2-3: Potential Conflicts Between the Organisation and the Individual 30
• Table 3-1: Classifications of Questionnaire Respondents 83
• Table 4-1: Number of Faculty Surveyed and Response Rate 96
• Table 4-2: Respondents Characteristics 97
• Table 4-3: Years of Experience 98
• Table 4-4 : Purpose of Performance Appraisal in Higher Education 99
• Table 4-5: The Regression Variables (Control) 108
• Table 4-6: Regression Output for Control 109
• Table 4-7: Performance Appraisal and Motivation 116
• Table 4-8: When are Rewards Given? 118
• Table 4-9: Feedback 119
• Table 4-10: The Regression Variables (Feedback) 120
• Table 4-11: Regression Output for Feedback 121
• Table 5-1: Who Should be Involved in Appraising Individual Performance? 129
• Table 5-2: Role of the Heads of Departments in the Appraisal Process 130
Glossary Of Terms
A Agree
AJCW American Junior College for Women
AUB American University of Beirut
BCW Beirut College for Women
CVCP Committee of Vice Chancellor Principals
D Disagree
ERIC Educational Resources Information Center
HRM Human Resource Management
LAU Lebanese American University
MBO Management by Objectives
SA Strongly Agree
SD Strongly Disagree
SPSS Statistical Package for Social Sciences
U Undecided
UCS University of California Santa Cruz
UK United Kingdom
USA United States of America
UMI University of Michigan Index