Performance appraisal in Uganda's civil service

296 Pages·2010·10.14 MB·English

Performance appraisal in Uganda’s civil service: Does
administrative culture matter?
Gerald Kagambirwe Karyeija
Dissertation submitted to the Faculty of Social Sciences, University of
Bergen, in partial fulfillment of the degree Doctor of Philosophy (PhD).
Department of Administration and Organisation Theory
DEDICATION
This work is dedicated to you,
my dear wife FAUSTINE NAKAZIBWE,
for your love and support,
for putting your own ambitions on hold,
for accepting my doctoral studies as your ‘co-wife’
Faustine, thank you!
II
ACKNOWLEDGEMENTS
I give glory to God, Ahabwembabazi ze; for in him, I live, move, and have my being. He
has been my greatest pillar of strength.
Though only my name appears on the cover of this dissertation, a great many people have
contributed to its production. Special thanks to my supervisor, Associate Professor
Ishtiaq Jamil who has trained me to learn the craft of research, taught me to question
thoughts and express ideas. I would like to acknowledge the contribution of Associate
Professor Steiner Askvik, together with Ishtiaq, for involving me in tutoring master
students and for allowing me to participate in workshops and seminars. These stimulated
me to reflect and improve on my own work. I hope that one day I will become as good a
university teacher to my students as they have been to me. I extend sincere thanks to
other faculty at the Department of Administration and Organisation Theory for their
comments – Professors Per Lægreid, Audun Offerdal, Jan Froestad, Tor Halverson, and
Linda Sangolt, thanks very much, all of you.
To my late father, Ezera Rwangohe Kagambirwe, thank you for inspiring me to pursue
knowledge for its own worth. I cannot forget the times you escorted me to school, my
imitation of your reading habits, and the times when you sat me in your lap and read for
me Proverbs 23:15-16. The Lord chose to have you in his Kingdom before this project
was complete. RIP. To my mum, Norah Kagambirwe, and sister, Judith Keirungyi, thank
you for your support.
To Birungyi Arnold, Buabeng Thomas, Byamugisha Bernard, Dag Erik Berg, Henrik
Tøndel, Kyohairwe Stella, Kwizera Thomas, Koreta Agnes, Milfrid Tonheim, Mugunga
Enoch, Mugabi Alex, Dr. Muriisa Roberts Kabeba, Nazziwa Eva, Ntare Jackson,
Nkwasibwe Innocent, Nuwabiine Meshach, Ongom Jacqueline, Rukikeire Arthur,
Ruhakana Rugunda, Rwendeire Nicholas, Semyalo Ronald, Tegyeza Joses, Dr. Tweheyo
Mnason, Tuhiriirwe Lydia, unmentioned family and friends - thank you for the special
roles you have played during my doctoral studies away from Uganda.
I also acknowledge institutional support from the Department of Administration and
Organisation theory, UiB and Elite Technologies Limited. I am indebted to the Ugandan
Ministries of Public Service, Justice and Constitutional Affairs, Local Government, and
Finance Planning and Economic Development, for allowing me to conduct my field work
there. Not least, Bergen International Church has been my spiritual home in Norway.
Finally, I appreciate the financial support from the Norwegian State Educational Loan
Fund (Lånekassen), and the Meltzer Fondet that funded the research discussed in this
dissertation.
III
ABSTRACT
This study explores administrative culture and examines its impact on the reform of
performance appraisal in Uganda’s civil service, an area which has received little
attention from researchers. It reveals that Uganda’s bureaucracy is characterized by large
power distance, strong uncertainty avoidance, high ethnicity and political neutrality.
Evidence for this study gathered from 147 questionnaires, 29 interviews and various
documents for eight months indicates that these cultural variables influence the
introduction of performance appraisal by sabotaging its actual conduct and undermining
its institutionalization. The study supports the use of power distance and uncertainty
avoidance by various scholars to analyze the linkage between administrative culture and
instruments of management. The additional dimensions of political (neutrality) biasness
and ethnicity pursued by this study are a highly relevant addition to the literature on
administrative culture, and the linkage between administrative culture and instruments of
management.
Findings further indicate that administrative culture in Uganda’s bureaucracy is quite
unified and integrated. Background variables such as age, type of education, duration of
service, studying abroad, birthplace and gender have limited or no influence on
administrative culture. It is only the level of education which has a strong negative
correlation, i.e. higher levels of education is associated with low power distance, low
uncertainty avoidance, low political neutrality, and low ethnicity.
The thesis argues that for the successful introduction of performance appraisals, culture
matters because the performance appraisal is imposed from abroad and requires a
compatible host administrative culture in order to take root. In this case, the host
administrative culture was not compatible in many respects with the values underlying
the appraisal reforms. Although the Ugandan government successfully introduced the
appraisal reforms, the incompatibility between the values embedded in the appraisal and
the host administrative culture watered down the reform.
IV
CONTENTS
DEDICATION ________________________________________________________ II
ACKNOWLEDGEMENTS_______________________________________________III
ABSTRACT___________________________________________________________IV
CONTENTS ___________________________________________________________V
LIST OF TABLES ______________________________________________________X
LIST OF FIGURES____________________________________________________XI
LIST OF ACRONYMS_________________________________________________XII
CHAPTER ONE________________________________________________________1
INTRODUCTION_______________________________________________________1
1.0 Introduction____________________________________________________________ 1
1.1 Statement of the problem_________________________________________________ 3
1.2 Objectives of the study ___________________________________________________ 6
1.3 Research questions ______________________________________________________ 6
1.4 Rationale ______________________________________________________________ 7
1.5 The need for cultural explanations _________________________________________ 8
1.5.1 What is culture?_____________________________________________________________8
1.5.2 So what is administrative culture? _____________________________________________11
1.5.3 Culture and the functioning of society__________________________________________13
1.5.4 Norms in the civil service ____________________________________________________14
1.6 Major studies on culture and this study in relation to them____________________ 16
1.6.1 Geert Hofstede_____________________________________________________________16
1.6.2 Shalom H. Schwartz ________________________________________________________18
1.6.3 Fons Trompenaars and Charles Hampden Turner________________________________19
1.6.4 Edgar Schein’s dimensions of Culture__________________________________________23
1.6.5 Revisiting the dimensions and beyond __________________________________________25
1.7 Performance appraisal and culture________________________________________ 27
1.8 Outline of the thesis_____________________________________________________ 31
1.9 Conclusion____________________________________________________________ 34
CHAPTER TWO_______________________________________________________35
THE PERFORMANCE APPRAISAL SYSTEM _____________________________35
2.1 Introduction___________________________________________________________ 35
2.2 Performance measurement_______________________________________________ 35
2.3 Performance appraisal__________________________________________________ 36
2.3.1 Performance appraisal defined________________________________________________36
2.3.2 History of performance appraisal______________________________________________37
2.3.3 Performance appraisal and NPM______________________________________________38
2.3.4 The inherent controversy of the performance appraisal ____________________________40
2.3.5 Performance appraisal methods_______________________________________________41
2.4 Purpose and benefits of results-based performance appraisal__________________ 42
2.5 Disadvantages of results-based appraisal systems____________________________ 43
2.5.1 Challenges associated with performance appraisals _______________________________43
V
2.6 Performance appraisal in developing countries______________________________ 45
2.7 Operationalization of implementation of the performance appraisal in Uganda___ 47
2.8 Conclusion____________________________________________________________ 52
CHAPTER THREE ____________________________________________________53
THE THEORETICAL FRAMEWORK_____________________________________53
3.0 Introduction___________________________________________________________ 53
3.1 The instrumental perspective_____________________________________________ 54
3.2 The problem of the instrumental approach _________________________________ 56
3.3 The institutional/cultural perspective______________________________________ 57
3.4 The problem of the cultural perspective____________________________________ 59
3.5 Revisiting the cultural approach__________________________________________ 60
3.6 Why the cultural approach in studying performance appraisal: A recap_________ 62
3.6.1 A recap for the importance of the cultural approach_______________________________62
3.6.2 The inadequacy of other explanations for performance appraisal failure______________62
3.6.3 The way forward ___________________________________________________________66
3.7 Administrative culture: how should it be conceptualized?_____________________ 67
3.7.1 Administrative culture as ‘what organization ‘has’________________________________67
3.7.2 Administrative culture as ‘what organization ‘is’’_________________________________67
3.7.3 Re-conceptualizing administrative culture_______________________________________68
3.8 Measuring administrative culture: The dimensions___________________________ 68
3.8.1 Power distance_____________________________________________________________69
3.8.2 Uncertainty avoidance_______________________________________________________74
3.8.3 Political neutrality vs. political bias ____________________________________________78
3.8.4 Ethnicity, tribalism, and regionalism___________________________________________80
3.9 Towards an analytical framework for administrative culture in Uganda: ________ 84
3.10 Conclusion___________________________________________________________ 87
CHAPTER FOUR______________________________________________________88
RESEARCH METHODOLOGY AND DESIGN _____________________________88
4.0 Introduction___________________________________________________________ 88
4.1 Quantitative methods ___________________________________________________ 89
4.2 Qualitative research methods_____________________________________________ 93
4.2.1 Primary data ______________________________________________________________95
4.2.2 Secondary data_____________________________________________________________97
4.3 The mixed methods approach ____________________________________________ 98
4.4 Case study strategy and units of analysis __________________________________ 100
Choice of units of analysis_______________________________________________________101
4.5 Data analysis _________________________________________________________ 103
4.6 Research clearance, access and ethical considerations _______________________ 104
4.6.1 Informed consent__________________________________________________________104
4.6.2 Confidentiality____________________________________________________________105
4.6.3 Personal integrity__________________________________________________________105
4.7 Validity and reliability _________________________________________________ 105
4.8 Generalizations and transferability_______________________________________ 107
VI
4.9 Conclusions __________________________________________________________ 107
CHAPTER FIVE _____________________________________________________108
PERFORMANCE APPRAISAL REFORM IN UGANDA’S CIVIL SERVICE____108
5.0 Introduction__________________________________________________________ 108
5.1 The search for a results-oriented management (ROM) culture________________ 108
5.2 Performance based measurement ________________________________________ 110
5.3 Performance appraisal in the Ugandan civil service_________________________ 111
5.3.1 Why introduce the performance appraisal reform?_______________________________112
5.3.2 The ‘old’ appraisal system (1976 – 1997) PAI___________________________________113
5.3.4 The ‘new’ appraisal system (1998 - 2007) PAII__________________________________115
5.3.5 A brief overview of the NPM-inspired results-oriented appraisal system______________118
5.3.6 A comparison of the ‘old’ and the’ new’ performance appraisals____________________119
5.3.7 The performance appraisal process (PAII) _____________________________________121
5.3.8 The performance appraisal form _____________________________________________122
5.4 Challenges of the new performance appraisal system________________________ 125
5.5 Reasons why PAII is categorised as a failure by this study____________________ 129
5.6 Improving the performance appraisal system ______________________________ 133
5.7 Conclusion: Seeking the cultural explanation for appraisal failure_____________ 135
CHAPTER SIX_______________________________________________________136
MAPPING ADMINISTRATIVE CULTURE IN UGANDA’S CIVIL SERVICE___136
6.0 Introduction__________________________________________________________ 136
6.1 Uganda’s societal culture _______________________________________________ 136
6.2 History of Uganda’s civil service as a root of administrative culture in the country140
6.2.1 Independence and the failure of the Westminster model___________________________140
6.2.2 Terror and military rule: 1967 – 1979 _________________________________________141
6.2.3 Political instability and Anarchy: 1979 -1986 ___________________________________141
6.2.4 Era of reform: 1986 – 2007__________________________________________________142
6.3 Common administrative practices________________________________________ 142
6.4 Mapping administrative culture _________________________________________ 146
6.5 Power distance________________________________________________________ 146
6.5.1 Hierarchy________________________________________________________________147
Salary ranges and disparities____________________________________________________149
Relations between the superiors and subordinates: The ‘colonial chief’ and sycophancy_____150
6.5.2 Boss as a colonial chief_____________________________________________________150
6.5.3 The boss as a benevolent father ______________________________________________151
Sycophancy_________________________________________________________________152
6.5.4 Level of participation_______________________________________________________153
6.5.5 Status symbolism__________________________________________________________155
6.5.6 Does Uganda have large or small power distance? _______________________________156
6.6 Uncertainty Avoidance_________________________________________________ 156
6.6.1 Rule following____________________________________________________________157
6.6.2 Innovation and work ethic___________________________________________________158
6.6.3Strong Uncertainty avoidance________________________________________________160
6.7 Political neutrality vs. political bias_______________________________________ 160
6.7.1 Political neutrality versus political loyalty ______________________________________161
6.7.2 Bureaucrats’ trust in politicians and patronage__________________________________163
6.7.3 Are Ugandan bureaucrats politically biased or neutral?___________________________166
VII
6.8 Ethnicity, regionalism and sectarianism___________________________________ 166
6.8.1 The ‘Manyi ani’ phenomena_________________________________________________169
6.8.2 The ‘Mwana wani – ani akumanyi’ syndrome___________________________________171
6.8.3 An ethnically influenced bureaucracy? ________________________________________172
6.9 Administrative culture in Uganda’s civil service____________________________ 172
6.10 Administrative culture in Uganda’s civil service: do background variables matter?
________________________________________________________________________ 173
6.11 Conflicting norms and values of Uganda’s civil servants ____________________ 175
6.12 Conclusions _________________________________________________________ 176
CHAPTER SEVEN____________________________________________________177
PERFORMANCE APPRAISAL REFORMS IN UGANDA CIVIL SERVICE - THE
BARRIER OF ADMINISTRATIVE CULTURE ____________________________177
7.1 Introduction__________________________________________________________ 177
7.2 Large power distance and the performance appraisal _______________________ 178
7.2.1 Hierarchy________________________________________________________________179
7.2.2 Feedback management and appraisal environment_______________________________180
7.2.3 Power distance in terms of gender and generational differences ____________________183
7.2.4 The attitude of the chief_____________________________________________________184
7.2.5 Privileges and status symbols and their effect on performance appraisal______________185
7.2.6 Power distance and performance gaps_________________________________________187
7.2.7 Possibility of success_______________________________________________________188
7.3 Strong uncertainty avoidance and performance appraisal reforms_____________ 189
7.3.1 Imposition of targets and the paradox of rule following ___________________________189
7.3.2 The effect of ‘psychological contract’ on performance appraisal____________________191
7.3.3 Uncertainty and performance targets__________________________________________191
7.3.4 Ambiguity and innovation in relation to performance appraisal_____________________192
7.3.5 Risk aversion and performance appraisal ______________________________________195
7.3.6 Expert power and performance appraisal_______________________________________196
7.4 Political neutrality and performance appraisal reforms______________________ 197
7.4.1 Political will and symbolism_________________________________________________197
7.4.2 Attitude of the politicians towards civil servants__________________________________201
7.4.3 Patronage________________________________________________________________203
7.4.4 Patronage, corruption and performance appraisal _______________________________205
7.5 Effects of ethnicity on performance appraisal reforms_______________________ 206
7.6 Conclusion___________________________________________________________ 210
CHAPTER EIGHT____________________________________________________213
SUMMARY AND CONCLUSIONS_______________________________________213
8.0 Introduction__________________________________________________________ 213
8.1 Overview of the research problem and methods ____________________________ 213
8.1.1 The research issue and theories ______________________________________________213
8.1.2 Recap of methodology______________________________________________________216
8.2 Summary and discussions of the main findings_____________________________ 216
8.2.1 Performance appraisal in the Ugandan civil service______________________________216
8.2.2 Administrative culture in the Ugandan civil service_______________________________217
8.2.3 The influence of administrative culture on performance appraisal __________________219
8.2.4 The relative influence of cultural variables on performance appraisal________________221
8.3 Limitations and delimitations of the study_________________________________ 223
8.4 Implications of the study for policy and additional research __________________ 224
VIII
8.4.1 Implications for performance appraisal reform__________________________________224
8.4.2 Implications for further studies on administrative culture and performance appraisal___225
8.4.3 Can administrative culture affect NPM policy reform and change in general?_________226
8.4.4 What are the implications of this study for other African countries?_________________227
8.5 Contribution of this work_______________________________________________ 228
8.6 Conclusion___________________________________________________________ 230
REFERENCES_______________________________________________________231
APPENDICES _______________________________________________________247
Appendix 1 - Interview questionnaire _____________________________________247
Appendix 2 - Interview guide____________________________________________255
Appendix 3 : Research time line__________________________________________257
Appendix 4 - Ministry of Local Government June 2006 organisational structure __258
Appendix 5 – Old performance appraisal form (PAI)_________________________259
Appendix 6 – New performance appraisal form (PAII) _______________________264
Appendix 7 – Latest performance appraisal form (PAIII) _____________________273
Appendix 8 – Research permit from Uganda National Council of Science and
Technology __________________________________________________________279
Appendix 9 – Research identity card from Uganda National Council of Science and
Technology __________________________________________________________280
Appendix 10 – Access letter to Ministry of Finance, Planning and Economic
Development _________________________________________________________281
Appendix 11 – Access letter to Ministry of Justice and Constitutional Affairs _____282
Appendix 12 – Access to Ministry of Local Government ______________________283
Appendix 13 – Access letter to Ministry of Public Service _____________________284
IX
LIST OF TABLES
Table 2.1 Implementation of performance appraisal..................................................50
Table 4.1 Profile of respondents from the four ministries..........................................91
Table 4.2 Respondents for the in depth qualitative interviews...................................96
Table 5.1 Paradigm shift in the Ugandan civil service: from bureaucratic to results-
oriented management...........................................................................................109
Table 5.2: The ‘old’ and the ‘new’ performance appraisal compared....................119
Table 5.3: Milestones and costs of implementing the performance appraisal........124
Table 5.4 Implementation of performance appraisal in Uganda.............................131
Table 6.2: Community based participation (percentage citing at least one instance)138
Table 6.2: A ranking of administrative practices in the Ugandan civil service......143
Table 6.3: Percentage distribution of civil servants perception on hierarchy.........147
Table 6.4 Perceptions on salary range........................................................................149
Table 6.5: Perception on superior – subordinate relations.......................................150
Table 6.6 Responses concerning participation, decision making and communication
................................................................................................................................153
Table 6.7 Perceptions on status symbols as an indicator of large power distance..155
Table 6.8 Perceptions relating to rule following........................................................157
Table 6.9 Perceptions relating to innovation and work ethics..................................158
Table 6.10 Perceptions on relations between politicians and civil servants (%).....161
Table 6.11 Civil servants’ trust and the political leadership....................................163
Table 6.12 perceptions on the prevalence of ethnicity/sectarianism in civil service169
Table 6.13: A Perceptions Index of administrative culture in Uganda....................172
Table 6.14: Pearson Product-moment Correlations between socio-economic
background variables and administrative culture in Uganda’s civil service..174
X