evaluation of the effectiveness of the annual performance appraisal system

128 Pages·2017·1.85 MB·English

EVALUATION OF THE EFFECTIVENESS OF THE ANNUAL
PERFORMANCE APPRAISAL SYSTEM (APAS) IN SELECTED MINISTRIES
OF THE ZAMBIA CIVIL SERVICE

By
Geoffrey Kamfwa

A dissertation submitted to the University of Zambia in Partial fulfillment of the
requirements for the degree of Master of Public Administration

The University of Zambia
2016
NOTICE OF COPYRIGHT

© 2016 By Geoffrey Kamfwa. All rights reserved. No part of this material may be reproduced,
stored in any retrieval system, or transmitted in any form or by any means, mechanical,
photocopying, recording or otherwise, without prior written permission of Geoffrey Kamfwa.

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DECLARATION
I, Geoffrey Kamfwa do solemnly declare that this report:
a) Represents my own work;
b) Has not previously been submitted for a degree at this or any other University;
c) Does not incorporate any published work or material from another report.

Signed …………………………………

Date ……………………………………

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CERTIFICATE OF APPROVAL
This dissertation by Geoffrey Kamfwa is approved as fulfilling the partial requirements for
the award of the degree of Master of Public Administration by the University of Zambia.

NAME: SIGNATURES: DATES:

PROF. J.C Momba …………………………….. ………………..
Internal Examiner

DR. W.N Mafuleka ……………………………… .. ………………
Internal Examiner

DR. A.M Ng’oma ………………………………. ............................
Internal Examiner

DR. M.C.M Bwalya ………………………………... ………………….
Supervisor

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ABSTRACT
In 1997, the Government of Zambia introduced the Annual Performance Appraisal System
(APAS) which was an integral part of the Performance Management Package (PMP) with the
principal objective of introducing a culture of work planning and target setting in Government
Ministries and Other Spending Agencies. The objectives were to improve efficiency and
effectiveness of the Public Service in the performance of its functions and put in place an
effective personnel appraisal instrument in making vital personnel decision. The main concern
of this study was that for the past 19 years of the existence of the APAS, performance in the
Civil Service has not improved in any way. There was still poor service delivery resulting from
under performance by most of the Civil Servants.
The main objective of this study was to evaluate the effectiveness of the APAS in improving
performance in selected Ministries of the Zambian Civil Service. Specific objectives included:
(i) to determine the implementation of performance planning and monitoring among Civil
Servants in selected Ministries (ii) to establish if the APAS was effectively used in appraising
performance of Civil Servants in selected Ministries,(iii) to determine the extent of the
utilization of the APAS in making Human Resource decisions in selected Ministries.
Both primary and secondary methods of data collection were used. This study involved the use
of questionnaires, semi-structured interview guide and other relevant documents. A mixture of
stratified random and clustered sampling was used to draw a sample 126 respondent from three
(3) restructured Ministries namely Education, Health and Agriculture. Quantitative data was
analyzed using the Statistical Package for Social Sciences (SPSS) and Microsoft Excel
Computer Software Package.
The study revealed that APAS was not effectively used in appraising performance in concerned
Ministries. Departmental and Individual Work plans and target setting were not strictly adhered
to in all the concerned Ministries. Furthermore, APAS was only used for the purposes of
confirmation and substantive promotions in the Civil Service. The study also revealed that there
were inconsistencies in implementing performance planning, monitoring and feedback
provision in the concerned Ministries. It was futher revealed that the APAS was not effectively
used in making critical human resource decision such as identifying officers who should be
promoted. Finally, it was revealed that the APAS had not achieved almost all the objectives for
which it was established.
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DEDICATION

The document is dedicated to people who have had great influence on both my life and my
study program for this Master’s degree.
I dedicate this document to my wife, Grace Chipalo Kamfwa, and my Children, Kayeye
Kamfwa, Chabala Kamfwa,, Esnart Mpuya Kamfwa,, Chimwemwe Kamfwa and Lilian..K.
Kamfwa.
I also wish to dedicate the document to the most hardworking Civil Servants who, despite
having not been rewarded in their efforts to contribute to national development, have never
given up and are self-motivated.
Finally, I dedicate the document to the Almighty God, who gave me wisdom and
encouragement from the time I started school. Through the Almighty, I express my profound
appreciation, inspiration and encouragement from my late Father, Mr. Lephan Kamfwa
Kayeye, and my Mother, Mrs. Esnart Mpuya Kamfwa.

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ACKNOWLEDGEMENT

This study would not have been clearly conceived and consolidated without the support of
many valuable people.
I am exceedingly grateful and indebted to my lecturer and Supervisor, Dr. M.C Bwalya, who’s
intelligent and invaluable critiques ensured a logical and chronological presentation of this
dissertation. He consistently provided valuable guidance, until the finalization of this report.
I generally thank all members of Staff in the Department of Political and Administrative studies
of UNZA for their direct and indirect contribution to this research, Dr. W.N. Mafuleka, Dr.
Clever Madimutsa, Mr.Njekwa Mate and Mr. Phineas Bbaala, thank you for sharing your vast
experience with me.
I am greatly indebted to all the Civil Servants who responded positively at Ministries of
Education, Health and Agriculture, in both Ndola and Lusaka.
Nonetheless, the researcher apportions no responsibility on any of the parties
herein mentioned for whatever misrepresentation, misconceptions and /or
omissions.

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LIST OF ABBREVIATIONS

ACR Annual Confidential Report
APAS Annual Performance Appraisal System
APECS Annual Performance Evaluation in the Civil Service
HRIS Human Resources Information System
KRA Key Result Area
KPI Key Performance Indicators
MBO Management by Objectives
MDD Management Development Division
PA Principal Accountabilities
PAT Performance Against Targets
PEP Performance Enhancement Process
PMP Performance Management Package
P R P Performance Related Pay
PMS Performance Management System
PRSP Public Service Reform Programme
PSM Public Service Management
PSMD Public Service Management Division
SMART Specific, Measurable, Achievable, Realistic, Time Bound.
SPSS Statistical Package for Social Sciences

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TABLE OF CONTENTS PAGE
NOTICE OF COPYRIGHT ........................................................................................................................................I
DECLARATION ...................................................................................................................................................... II
CERTIFICATE OF APPROVAL ............................................................................................................................ III
ABSTRACT ............................................................................................................................................................ IV
DEDICATION .......................................................................................................................................................... V
ACKNOWLEDGEMENT ....................................................................................................................................... VI
LIST OF ABBREVIATIONS ................................................................................................................................ VII
LIST OF TABLES .................................................................................................................................................... X
LIST OF FIGURES ...................................................................................................................................................XI
CHAPTER ONE ...................................................................................................................................................... 1
INTRODUCTION AND BACKGROUND ............................................................................................................ 1
BACKGROUND TO THE STUDY .......................................................................................................................... 1
STATEMENT OF THE PROBLEM .......................................................................................................................... 3
GENERAL OBJECTIVE .......................................................................................................................................... 4
SPECIFIC OBJECTIVE ................................................................................................................................................... 4
SIGNIFICANCE OF THE STUDY ........................................................................................................................... 4
CONCEPTUAL FRAMEWORK .............................................................................................................................. 5
LITERATURE REVIEW .......................................................................................................................................... 8
METHODOLOGY............................................................................................................................................20
STUDY LIMITATIONS ......................................................................................................................................... 23
STRUCTURE OF THE DISSERTATION .............................................................................................................. 24
CHAPTER TWO ................................................................................................................................................... 25
HISTORICAL, DEMOGRAPHIC AND GEOGRAPHICAL CONTEXT OF THE STUDY AREA ............ 25
INTRODUCTION ................................................................................................................................................... 25
GEOGRAPHICAL AND DEMOGRAPHIC ASPECTS OF THE STUDY AREA. ............................................... 25
HISTORICAL PERSPECTIVE OF THE APAS ..................................................................................................... 26
TYPES OF APPRAISALS THAT ARE CONDUCTED ........................................................................................ 29
CHAPTER THREE ............................................................................................................................................... 33
IMPLEMENTATION OF THE PERFORMANCE PLANNING AND MONITORING PROCESS AMONG
CIVIL SERVANTS IN SELECTED MINISTRIES. .......................................................................................... 33
INTRODUCTION ................................................................................................................................................... 33
WORK PLANNING/TARGET SETTING AND THE APPRAISAL PROCESS .................................................. 33
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DISCUSSION OF FINDINGS ................................................................................................................................ 47
CONCLUSION ........................................................................................................................................................ 50
CHAPTER FOUR.................................................................................................................................................. 51
EFFECTIVENESS OF APAS IN APPRAISING CIVIL SERVANTS IN SELECTED MINISTRIES. ........ 51
INTRODUCTION ................................................................................................................................................... 51
DISCUSSION OF THE FINDINGS........................................................................................................................ 66
CONCLUSION ........................................................................................................................................................ 69
CHAPTER FIVE ................................................................................................................................................... 70
UTILIZATION OF THE APAS IN MAKING HUMAN RESOURCE DECISIONS IN SELECTED
MINISTRIES ......................................................................................................................................................... 70
INTRODUCTION ................................................................................................................................................... 70
DISCUSSION OF FINDINGS ................................................................................................................................ 80
CONCLUSION ........................................................................................................................................................ 83
CHAPTER SIX ...................................................................................................................................................... 84
SUMMARY OF CONCLUSIONS .......................................................................................................................... 84
INTRODUCTION ................................................................................................................................................... 84
IMPLEMENTATION OF THE PERFORMANCE PLANNING AND MONITORING AMONG CIVIL
SERVANTS.. .........................................................................................................................................................84
EVALUATION OF THE EFFECTIVENESS OF APAS ........................................................................................ 86
EXTENT TO WHICH THE APAS IS UTILIZED IN MAKING HUMAN RESOURCE DECISIONS ................ 87
BIBLIOGRAPHY .................................................................................................................................................. 89
APPENDIX A: INTERVIEW GUIDE FOR KEY INFORMANTS........................................................................ 93
APPENDIX B: QUESTIONNAIRE FOR THE RESPONDENTS. ........................................................................ 94
APPENDIX C: APAS FORM ............................................................................................................................... 100

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