Performance Appraisal Systems In Higher Education

197 Pages·2016·2.02 MB·English

UUnniivveerrssiittyy ooff CCeennttrraall FFlloorriiddaa
SSTTAARRSS
Electronic Theses and Dissertations, 2004-2019
2009
PPeerrffoorrmmaannccee AApppprraaiissaall SSyysstteemmss IInn HHiigghheerr EEdduuccaattiioonn:: AAnn
EExxpplloorraattiioonn OOff CChhrriissttiiaann IInnssttiittuuttiioonnss
Forrest Flaniken
University of Central Florida
Part of the Education Commons
Find similar works at: https://stars.library.ucf.edu/etd
University of Central Florida Libraries http://library.ucf.edu
This Doctoral Dissertation (Open Access) is brought to you for free and open access by STARS. It has been accepted
for inclusion in Electronic Theses and Dissertations, 2004-2019 by an authorized administrator of STARS. For more
information, please contact [email protected].
SSTTAARRSS CCiittaattiioonn
Flaniken, Forrest, "Performance Appraisal Systems In Higher Education: An Exploration Of Christian
Institutions" (2009). Electronic Theses and Dissertations, 2004-2019. 3857.
https://stars.library.ucf.edu/etd/3857
PERFORMANCE APPRAISAL SYSTEMS IN HIGHER EDUCATION:
AN EXPLORATION OF CHRISTIAN INSTITUTIONS

by

FORREST W. FLANIKEN
B.A. Davidson College, 1976
M.B.A. Vanderbilt University, 1979

A dissertation submitted in partial fulfillment of the requirements
for the degree of Doctor of Education
in the Department of Educational Research, Technology and Leadership
in the College of Education
at the University of Central Florida
Orlando, FL

Fall Term
2009

Major Professor: Rosa Cintrón
©2009 Forrest W. Flaniken

ii
ABSTRACT

Although there is substantial literature on the use of performance appraisal in the for-
profit world, there is little literature available concerning the appraisal of staff positions
in higher education. More knowledge is needed in this area since there is considerable
research indicating that performance appraisal creates benefits to an organization and its
employees. This study provides a comprehensive review of the development and use of
performance appraisal in the United States, and a detailed look at the purposes, benefits,
and challenges of performance appraisal. The study found a very high usage of staff
performance appraisal in its population of 108 Christian colleges and universities.
However, it also found a significant amount of dissatisfaction with the appraisal process
due to (a) lack of leadership support for the appraisal process, (b) supervisors not being
held accountable for the timely completion of their appraisals, and (c) the lack of training
provided supervisors for doing performance appraisals well.

iii
Dedicated to my wife, Kristen

iv
ACKNOWLEDGEMENTS

I am very appreciative of the help, insight, wisdom, and encouragement I received
from my doctoral advisor, Dr. Rosa Cintrón, and for her incessant drive for excellence
throughout this research. I am grateful as well for the additional members of my
dissertation committee - Dr. George Pawlas, Dr. Tom Owens, and Dr. Tammy Boyd – for
the investment of their time, knowledge, and support to help bring this research to
successful completion.
I am extremely thankful for my wife Kristen, and for my sons Forrest III, Nelson,
and Spencer, who stood with me throughout this doctoral program with their love,
support, and patience, and who encouraged me to complete the task which I had begun.
And finally, I want to express thanks to my employer, Wycliffe Bible Translators,
Inc., who was very supportive of my participation in this program for the past several
years.

v
TABLE OF CONTENTS

LIST OF FIGURES ........................................................................................................... ix 
LIST OF TABLES .............................................................................................................. x 
CASE STUDY ................................................................................................................... xi 
CHAPTER 1: INTRODUCTION ....................................................................................... 1 
General Background .................................................................................................... 2 
Purposes of Performance Appraisal ..................................................................... 4 
Benefits of Performance Appraisal ...................................................................... 5 
Difficulties with Performance Appraisal .............................................................. 6 
Impact of Organizational Structure and Culture on Performance Appraisal........ 8 
Accountability in Higher Education ..................................................................... 9 
Performance Appraisal in Higher Education ........................................................ 9 
Statement of the Problem ........................................................................................... 10 
Conceptual Framework .............................................................................................. 13 
Research Questions .................................................................................................... 20 
Limitations and Delimitations ................................................................................... 20 
Definition of Terms ................................................................................................... 21 
Significance of the Study ........................................................................................... 23 
Summary .................................................................................................................... 24 
CHAPTER 2: LITERATURE REVIEW .......................................................................... 25 
Historical Development of Performance Appraisal ................................................... 25 
Early Beginnings ................................................................................................ 25 
Development of Performance Appraisal in the United States ............................ 25 
Trends in Performance Appraisal .............................................................................. 28 
Evaluation Methods ............................................................................................ 28 
Rating Scale Format ........................................................................................... 35 
Performance Appraisal and the Legal System .................................................... 39 
Guidelines for a Successful Performance Appraisal System ..................................... 42 
Challenges of Performance Appraisal ....................................................................... 47 
Development of Performance Appraisal within Higher Education ........................... 52 
Administration of Higher Education .................................................................. 52 
vi
Changing Expectations and Roles of Academic Administrators ....................... 58 
Faculty Performance Appraisal in Higher Education ................................................ 60 
The Work of Faculty .......................................................................................... 62 
Goals of Faculty Appraisal ................................................................................. 65 
Organizational Governance and Performance Appraisal in Higher Education ......... 68 
Distinctive Characteristics .................................................................................. 68 
Organizational Governance ................................................................................ 72 
Organizational Culture and Performance Appraisal .................................................. 78 
Collegial Culture ................................................................................................ 79 
Managerial Culture ............................................................................................. 80 
Developmental Culture ....................................................................................... 81 
Advocacy Culture ............................................................................................... 82 
Virtual Culture .................................................................................................... 83 
Tangible Culture ................................................................................................. 84 
Relevance of Culture to Performance Appraisal ................................................ 85 
Religiously Affiliated Colleges and Universities ...................................................... 87 
Challenges Facing Religiously Affiliated Institutions ....................................... 88 
Distinctives of Christian Colleges and Universities ........................................... 90 
Additional Characteristics of Christian Colleges and Universities .................... 94 
History of the Council for Christian Colleges and Universities ......................... 95 
Governance, Freedom, and Accountability in Christian Institutions ................. 97 
Summary .................................................................................................................... 98 
CHAPTER 3: METHODOLOGY .................................................................................. 100 
Introduction .............................................................................................................. 100 
Population and Setting ............................................................................................. 100 
Research Design and Rationale for Design ............................................................. 101 
Instrument Development ......................................................................................... 103 
Pilot Study ............................................................................................................... 104 
Data Analysis ........................................................................................................... 107 
Authorization to Conduct the Study ........................................................................ 108 
Originality Score ...................................................................................................... 109 
CHAPTER 4: ANALYSIS OF DATA ........................................................................... 110 
Introduction .............................................................................................................. 110 
vii
Population ................................................................................................................ 110 
Research Question 1 ................................................................................................ 110 
Research Question 2 ................................................................................................ 115 
Research Question 3 ................................................................................................ 116 
Responses to Open-Ended Question ........................................................................ 121 
Summary .................................................................................................................. 124 
CHAPTER 5: SUMMARY, IMPLICATIONS, AND RECOMMENDATIONS .......... 125 
Statement of the Problem ......................................................................................... 125 
Methodology ............................................................................................................ 126 
Summary and Discussion of the Findings ............................................................... 126 
Introduction ...................................................................................................... 126 
Research Question 1 ......................................................................................... 127 
Research Question 2 ......................................................................................... 132 
Research Question 3 ......................................................................................... 134 
Implications for Practice .......................................................................................... 137 
Implications for Future Research ............................................................................. 144 
CASE STUDY REVISITED .......................................................................................... 148 
APPENDIX A: CHRONOLOGY OF EMPLOYEE PERFORMANCE MANAGEMENT
IN THE FEDERAL GOVERNMENT ............................................................................ 149 
APPENDIX B: COPYRIGHT PERMISSION LETTERS ............................................. 154 
APPENDIX C: INSTITUTIONS THAT ARE MEMBERS OF THE COUNCIL FOR
CHRISTIAN COLLEGES AND UNIVERSITIES ........................................................ 157 
APPENDIX D: RELIGIOUS AFFILIATION OF THE MEMBERS OF THE COUNCIL
FOR CHRISTIAN COLLEGES AND UNIVERSITIES ............................................... 161 
APPENDIX E: EXAMPLES OF EMAILS SENT TO RECIPIENTS OF SURVEY
QUESTIONNAIRE ........................................................................................................ 163 
APPENDIX F: SURVEY OF USE OF PERFORMANCE APPRAISAL FOR STAFF
POSITIONS .................................................................................................................... 169 
APPENDIX G: IRB APPROVAL LETTER .................................................................. 174 
REFERENCES ............................................................................................................... 177 

viii
LIST OF FIGURES
Figure 1 Context of Student Affairs Staffing Practices .................................................... 14 
Figure 2 Components of Staffing in Student Affairs ........................................................ 17 
Figure 3 A Systems Approach to Effective Appraisals .................................................... 43 

ix