Performance Appraisal in Higher Education Institutions in the Kurdistan Region: the Case of the University of Sulaimani
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Declaration ii Declaration iii Performance Appraisal in Higher Education Institutions in the Kurdistan Region: The Case of the University of Sulaimani By Najih S. Ahmed Thesis submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy Supervised by Director of Studies: Dr. Claire Haven-Tang Supervisor: Professor Eleri Jones 2016 Cardiff School of Management, Western Avenue, Cardiff, CF5 2YB Table of Contents Table of contents ii Declaration iii Dedication iv Acknowledgment v Abstract vi Chapter of contents vii List of tables xii List of figures xiv List of appendices xv Glossary of acronym xvi Thesis 1 References 351 Appendices 376 ii Declaration I hereby declare that this thesis entitled: Performance Appraisal in Higher Education Institutions in the Kurdistan region: The case of the University of Sulaimani is submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy. It represents my own work and, to the best of my knowledge and belief, it contains no material previously published or written by another person. This thesis has not already been accepted in substance for any degree and is not being concurrently submitted in candidature for any degree. I hereby give consent for my thesis, if accepted, to be available for photocopying and for inter library loan, and for the title and summary to be made available to outside organisations. Signed………………………………………. (Candidate) iii Dedication “undertaking research about the Kurds is frustrating and lonely work, because …there are no research traditions…[and] research policy…the idea of scientific research simply seems to be beyond the understanding of most people in South Kurdistan, including the university staff” (Koivunen, 2013, p.37) I dedicate this work to those who endeavour to enrich scientific research traditions. iv Acknowledgements I would like to thank my supervisors Dr. Claire Haven-Tang who mentored, guided and supported me. I always owe her thanks for her expertise and advice that inspired me during this study. My special thanks go to Professor Eleri Jones, for her invaluable assistance, encouragement, support and patience to complete this research. My deepest thanks go to my mother who sacrificed her life to make us happy and successful. Mum! Without your affection, love and prayers each day and night, the completion of my education would have not been possible. My special thanks go to my father. Dad! without your help I would not have been able to have such success. I also owe my sisters and brothers for their help and support in my entire life. I am deeply indebted to my wife ―Hanar‖, so I extended my deepest gratitude and special recognition to her for her patience and assistance and my dear children Srush and Sofia. Without your jokes and fun this study would not have been completed. I am also obliged to the Ministry of Higher Education in the Kurdistan Region, for giving me this opportunity to study abroad in spite of all difficulties. I also thank the University of Sulaimani for having supported me during this research study. My thanks must also go to academic managers and faculty members at the University of Sulaimani, especially those who took the time to complete my questionnaire and participate in the interviews. My special thanks go to my friends and colleagues at the School of Administration and Economics at the University of Sulaimani. Special thanks, tributes, and appreciation to all whose names do not appear here but who have contributed to the successful completion of this study. v Abstract In contemporary society, nation development relies heavily on the presence and availability of human resources/capabilities. Higher Education Institutions (HEIs) are vital to create of this human resource. The Kurdistan Ministry of Higher Education and Scientific Research (MoHESR) reformed its Higher Education policy in 2009 to enhance service/product quality. The most tangible aspect of these reforms was the evaluation of academic performance. MoHESR claimed it is the duty of academics to invest time/effort to fulfil their contractual obligations. Consequently, a new mechanism of performance appraisal (PA) for evaluating teachers‘ performance was formally launched. Despite its benefits, PA has created many challenges for Kurdistan HEIs due to external and internal factors, including: culture; continual wars; inadequate laws and regulations; political unrest; poor management of HEIs and mismanagement of human resources, which have exposed gaps in effective PA management and dissatisfaction amongst key stakeholders - particularly academics. This exploratory sequential mixed methods study explores the perceptions of senior/middle managers and other stakeholders at different levels of the organisational hierarchy of PA management at the University of Sulaimani (UoS) and examines their experiences of/aspirations for better PA. Semi-structured interviews were conducted to identify the key contextual and institutional factors affecting PA, supported by quantitative data collected through a questionnaire involving 654 teaching staff at UoS. The study reveals PA in Kurdistan HEIs is strongly influenced by contextual factors: cultural dimensions; legal characteristics; political hegemony, which have eroded attention to human values so human resource activities were not fully embraced in Kurdistan HEIs. Consequently, PA is challenged by: low commitment, support and enthusiasm from top management; little engagement between PA and institutional strategy; unclear purpose/standards; little communication; poor training; unfavourable rewards; absence of interviews, equality and promptness in the process. The study presents a final model of PA more suited to the Kurdistan HE context and makes recommendations for government, MoHESR, HEIs, leaders and faculty members. vi Chapter of contents Table of Contents .................................................................................................................... ii Declaration ............................................................................................................................. iii Dedication ............................................................................................................................... iv Acknowledgements ................................................................................................................. v Abstract .................................................................................................................................. vi Chapter of contents .............................................................................................................. vii List of Tables ......................................................................................................................... xii List of Figures ...................................................................................................................... xiv List of Appendices ................................................................................................................ xv Glossary of Acronym ........................................................................................................... xvi Chapter One: Introduction 1.1 Introduction ...................................................................................................................... 2 1.2 Research idea .................................................................................................................... 3 1.3 Research problem ............................................................................................................. 6 1.4 Research questions ......................................................................................................... 10 1.5 Significance of the research ........................................................................................... 11 1.6 Aim and objectives .......................................................................................................... 12 1.7 Methodology .................................................................................................................... 13 1.8 Research plan and overview of the thesis ..................................................................... 14 Chapter Two: Literature Review 2.1 Introduction .................................................................................................................... 18 2.2 Performance appraisal at the operational level ........................................................... 19 2.2.1 The evolution and nature of performance appraisal .................................................. 19 2.2.2 Performance appraisal and performance management .............................................. 22 2.2.2.1 Terms and definitions ........................................................................................ 22 2.2.3 Differences between performance appraisal and PM ................................................ 24 2.2.4 Challenges of Performance appraisal ........................................................................ 26 2.2.5 Benefits of performance appraisal ............................................................................. 29 2.2.6 Elements of successful performance appraisal .......................................................... 31 2.2.7 Performance appraisal in HE ..................................................................................... 37 2.2.8 Purpose of performance appraisal