1. Creating a Culture of Performance: The Role for Performance Appraisal in Strengthening Kazakhstan’s Civil Service Rex L. Facer II Associate Professor of Public Finance & Management George W. Romney Institute of Public Management Marriott School of Management Brigham Young University Provo, Utah, USA

2. Agenda Connection between Performance & Good Governance Strategies for Assessing Performance Connecting Performance to Organizational Systems

3. 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 ProgramUN 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 PacificEconomic and Social Commission for Asia and the Pacific

4. Good Governance Good Governance requires systems and institutions that use critical values and principles.

5. 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

6. GOOD GOVERNANCE Accountability requires performance assessment

7. 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

8. 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

9. 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

10. Basic Process for Designing & Implementing a Performance Appraisal System 1. Analyze the jobs (prepare job descriptions) 2. Develop assessment standards and measures 3. 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

11. Performance Assessment Measurement Key Decision: What to assess –Traits –Behaviors –Results

12. Trait Assessments First identify the physical or psychological characteristics of a person to be assessed. These traits should have a direct connection to essential functions of the position. Manners, Attitude, Drive, Adaptability, Strength, Inquisitiveness, Conscientiousness, And General Cognitive Ability Traits that are not connected to performing the job should not be assessed. Physical Attractiveness, Height, Extroversion, Weight

13. 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

14. 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

15. Comparing Assessment Strategies Valid & Reliable Acceptable & Feasible SpecificConnected to Mission & Objectives TraitSometimes (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 BehaviorYes (if there is sufficient information to document the behavior) Sometimes ResultsYes (However, some results are very difficult to measure) YesSometimes

16. 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?

17. 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

18. Creating a culture of performance Kazakhstan is in a fortunate position. –Commitment to Professional Administration –Civil Service Reform Efforts –Regional Hub

19. 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

20. 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

21. 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.