Local Government Staff Performance Management in Tanzania: Experience of Open Performance Review and Appraisal System (OPRAS) in Kinondoni Municipal Council

Размещено на http://www.allbest.ru/

Local Government Staff Performance Management in Tanzania: Experience of Open Performance Review and Appraisal System (OPRAS) in Kinondoni Municipal Council

P. Mtasigazya

Department of Social Studies, TheMwalimuNyerere Memorial Academy- Karume Campus,

Zanzibar, Tanzania

The article presents a study that examined the effectiveness of the implementation of OPRAS on local government staff performance in the Kinondoni Municipal Council (KMC) in Tanzania. The study adopted a case study research design and used questionnaires, in-depth interview and documentary review in data collection. The Sample size was 100 respondents selected through purposive sampling and the content analysis and cross tabulation methods were used in data analysis. The major study findings indicate that there was a weak implementation of OPRAS because there was no communication of the needs for OPRAS to employees, provision of OPRAS related training, and motivations to public servants were inadequately addressed. Furthermore, in local government authorities (LGAs) particularly KMC, there has been very little concern, demonstrated by inadequate funds and mechanisms put in place that ensure its implementation is effective and sustainable. In regard to this, the findings demonstrated an absence of viable efforts in terms of plans and strategies set to establish an effective and sustainable implementation of OPRAS in the KMC. The financial constrains caused by the absence of a specific budget for OPRAS implementation, laxity of the management in monitoring the implementation of OPRAS in the KMC, as well as inadequate funds disbursed by the central government to KMC are the major factors restraining the effective implementation of OPRAS in the KMC. It is therefore concluded that there is a need for the government to strictly adhere to the processes required in the implementation of OPRAS, such as communicating the need for OPRAS to public servants and setting adequate funds for OPRAS tobe conducted.

Keywords: open performance review, performance appraisal, local government staff performance, management.

Управление работой персонала местного самоуправления в Танзании: опыт очных оценок производительности и системы поощрений в муниципальном совете Кинондони

П. Мтэзигэзья

Академия МвалимуНьерере, кампус Каруме, Танзания

Рассматривается эффективность внедрения очных оценок производительности и системы поощрений (OPRAS) в работу сотрудников местных органов власти в муниципальном совете Кинондони(KMC) в Танзании.

Для сбора данных использовались анкеты, глубинные интервью и документальный обзор. Размер выборки составлял 100 респондентов, а при анализе данных использовались методы контент-анализа и перекрестных таблиц. Основные результаты исследования показывают, что внедрение OPRAS было слабым из-за отсутствия информирования сотрудников о потребностях в OPRAS, проведения обучения, связанного с OPRAS, и недостаточного внимания к мотивации государственных служащих. Более того, местное самоуправление, особенно KMC, было очень слабо заинтересовано в том, чтобы его реализация была эффективной и устойчивой, о чем свидетельствует недостаток выделенных средств и установленных механизмов.

Результаты показали отсутствие реальных усилий с точки зрения планов и стратегий, установленных для обеспечения эффективного и устойчивого внедрения OPRAS в КМС. Финансовые ограничения, вызванные отсутствием специального бюджета для внедрения OPRAS, слабость руководства в мониторинге внедрения OPRAS в КМС, а также недостаточные средства, выделяемые центральным правительством в КМС, являются основными факторами, сдерживающими эффективное внедрение OPRAS в КМС. Таким образом, можно сделать вывод о том, что правительство должно информировать государственных служащих о необходимости OPRAS и выделять средства для ее внедрения.

Ключевые слова: открытая оценка производительности, оценка результатов деятельности, эффективность работы персонала местного самоуправления, управление.

Introduction

performance management motivation

Open Performance Review and Appraisal System (OPRAS) originated from the performance management system (PMS) which existed worldwide, after the reforms that took place before 1950s in organizations, being used as a tool of the performance appraisal system which continued to be a subject of importance and interest among human resource specialists. Due to such importance, the research on performance appraisal has been carried out in developed countries, particularly the United States and some parts in Western Europe [1].

Following the continued use of the performance management system worldwide and its introduction in Tanzania in late 1980s, led to implementation of a number of reforms such as the civil Service Reform Programme (CSRP) from 1991-1998 and later the public service reform programme (PSRP) in 2000. The PSRP came with the introduction of OPRAS in 2004 as a new innovation for managing individual performance in the public service institutions. The PSRP incorporated the use of OPRAS as one of the major instruments for implementation of the Performance Improvement Model which was considered as a significant model to the adoption and nurturing of the performance management in the public Service [2].

In the context of public service reforms in Tanzania, the last decade of the 20^th century experienced introduction of public sector reform programmes inclined to the doctrines of the New Public Management (NPM). The Civil Service Reform Programme (CSRP) launched in July, 1991 and implemented at the onset of 1993 up to 1998, focused at cost containment and restructuring of government. With downsizing, rightsizing, retrenchment, and restructuring, the CSRP strived at creating a reasonably smaller, affordable, well-compensated, efficiently and effectively performing civil service for quality service delivery to the public [3].

The CSRP was succeeded by the Public Service Reform Programme (PSRP) which is implemented in a series of overlapping but mutually supporting phases [3]. The PSRP launched in 2000 has up to date been implemented in three distinct phases. The first phase that was implemented from 2000 to 2007 embarked on the installation of Performance Management Systems (PMS) in all MDAs, Regional Secretariats and LGAs. The main objective of this phase was to improve accountability, transparency and resource management for efficient and effective delivery of quality services to the public [4]. The second implementation phase of the PSRP that commenced from 2007 to 2012 targeted at enhancing performance and accountability while the on-going third phase of its implementation commenced from 2012 and lasted in 2017 which is envisioned on quality improvement cycle [3].

Under the theme of improving accountability, transparency and resource management, the government of Tanzania introduced public service reform through the PSRP. According to Issa, the installation of PMS in the public service aims at having a place predictable, effective and efficient system for planning, implementation, monitoring, evaluation and reporting in the public service in Tanzania [3, p. 5]. The overall objectives of these interventions, among other things, include the following: (a) providing quality services to the public, (b) improving performance of the public service institutions. The Open Performance Review and Appraisal System (OPRAS) as an open, formal, and systematic procedure designed to assist both employers and employees in planning, managing, evaluating and realizing performance improvement in the organization with the aim of achieving organizational goals. OPRAS has the following unique features that can be differentiated from the previous confidential appraisal system: openness of OPRAS allows both employee and employer to discuss and agree on the organizational and individual objectives that are to be achieved during the year openly [4].

The introduction of OPRAS in the Tanzania public service in July, 2004 had its roots in the PSRP (I) which installed PMS for the purpose of improving accountability, transparency and human resource management in search for good performance and quality service delivery in the public service. The overall objective of introducing OPRAS was to build an integrated system for creating a shared vision, understanding and agreement about the results to be achieved and the operational framework for continuous performance improvement standards and quality of public service delivery [2].

The installation of OPRAS in Tanzania replaced the traditional Confidential Performance Appraisal System (CPAS) which failed to promote performance improvements and accountability in the public service due to its inherent weakness in providing performance feedback and its inherent inability to identify employees' real strength, weaknesses and opportunities. The CPAS failed to capture a consistent and rationally designed framework for employees' training needs and promotions, thus, contributed to increased employees' complaints and grievances [4].

Furthermore, OPRAS is contended to be so instrumental in determining employees' eligibility for training and development, promotions, demotions, performance-based disciplinary actions and termination [5]. It offers a consistently rational and scientific process of identifying employees' capabilities, opportunities and the magnitude of the gaps for immediate intervention, thus, reducing employees' complaints and grievances as compared to the traditional closed system of appraising employees.

In building a well committed, accountable and result-oriented workforce in the public service, OPRAS was introduced as a performance measurement instrument by the government aiming at installing a performance oriented culture, behavior and attitudes among public servants for the purpose of improving performance in the public service. Such reform would ultimately facilitate a self-motivated and result-oriented performance management philosophy for improved accountability and responsiveness, efficiency and effectiveness in rendering quality services to the public [5].

Since July, 2004 the implementation of OPRAS in the Tanzania public service was, and still is, made mandatory for all MDAs, Regional Secretariats and LGAs through an establishment circular No. 2 of 2004 backed up by the Public Service Management and Employment Policy of 1999, Public Service Act No. 8 of 2002 and the Public Service Regulations of 2003 with their amendments [4]. The fact that OPRAS was installed in the public service in reform dimensions, it is therefore imperative to assess the process involving its implementation in the light of performance management, an aspect that has not been considered by other studies. Such a gap has left the problems facing its implementation uncured thus reducing the possibility of attaining its expected outcomes.

In this regard, it is more than a decade since OPRAS was introduced in the Tanzania public service since July, 2004 to 2020. The main purpose of introducing ORAS is to promote performance management that aim at advancing employees' performance towards improved public service delivery. The implementation of OPRAS could have been successful, thus, enabling assessment of its contribution to improved public service delivery in LGAs in Tanzania. However, experience indicates that the implementation of OPRAS in the Tanzania public service is yet to bring desired outcomes in LGAs [6]. More significantly, the assessments done on the implementation of OPRAS in Tanzania acknowledges that there exists a mismatch between the anticipated results and actual implementation of OPRAS in the course of service delivery in the public in LGAs. In that regard, the main focus of this paper is therefore to examine why is the implementation of OPRAS in the Tanzania public service not effective? Following the adoption of this tool in the performance management, this study attempted to explore the above stated gap by assessing the implementation techniques employed and exploring the challenges encountered in its implementation in public service at KMC. This paper therefore sets out to deal with the following research objectives:-i.to examine the rationale for ineffective implementation of OPRAS in the public service delivery in KMC in Tanzania, ii.to explore the challenges hindering implementation of OPRAS in KMC in Tanzania. The research questions thought to be answered are: Why is the implementation of the OPRAS in local government Authorities in Tanzania particularly KMC not effective as well as what are the challenges constraining an effective implementation of OPRAS in the public service?

Empirical literature review

Effective OPRAS implementation means the degree to which objectives of OPRAS are achieved and targeted problems related to OPRAS are resolved. Around 1980s to date, the public sector in many countries around the world has been experiencing public sector related reforms inclined to the NPM doctrines. Most of the reforms undertaken targeted at building a result-oriented management system that would facilitate performance improvement to improve public service delivery. In particular, Tanzania started undertaking reform initiatives to improve service delivery in the public sector since the last decade of the 20^th century. This period is marked by CSRP and PSRP launched in 1991 and 2000 respectively. In the context of these reforms with specific inference to the PSRP, the most remarkable reform undertaken in Tanzania is the introduction of OPRAS in July, 2004. This paper presents a detailed review of related literature on the discourse of performance management and deeper understanding on how OPRAS ought to be managed effectively and sustainably implemented. Nevertheless, a comparative experience with implementation of OPRAS is also discussed in this study.

OPRAS forms' components and filling process

OPRAS is an acronym for the words “Open Performance Review and Appraisal System”. It is an open, formal and systematic procedure designed to assist both employers and employees in planning, managing, evaluating and realizing performance improvements in organizations with the aim of achieving organizational goals [4]. OPRAS requires supervisors and employees to critically develop commonly agreed performance objectives, targets as well as performance criteria.

Generally, OPRAS form is a document composed of eight (8) sections. Section one captures the general information of employees and their institutions. Section two is about performance agreement which is to be filled by the appraisee in consultation with the supervisor. The main parts of this section are the agreed objectives, agreed performance targets, agreed performance criteria and the agreed resources. Section three focuses on the mid-year review (dealt in December) aiming at seeing the progress toward meeting the targets and identifying the factors affecting performance. On the other hand, section four focuses on revising objectives if there is a need while section five focuses on annual performance review which is done in June.

Section six of the OPRAS forms contains attributes of good performance that are used in assessing employees. These attributes include working relationships, communication and listening, management and leadership, quality performance, responsibility and judgment, customer focus, loyalty, and integrity. Section seven shows the performance grades while section eight presents the relevant rewards, developmental measures and/or sanctions that an employee deserves from the grades he/she gets after being assessed.

According to the Standing Orders for the Public Service (2009), employees are required to fill OPRAS forms every 1^st July of each year. The guidelines purport that, the process of filling OPRAS forms requires employees and their respective supervisors to commonly agree on the performance objectives, targets and criteria in order to attain the desired goals. After filling the OPRAS forms on 1^st July, a mid-year review is done in December to check the level of progress in accomplishing the commonly agreed objectives. Finally, an annual review is done in June to assess the implementation status of the agreed objectives and other individual attributes as directed by the guidelines. The final performance assessment grades that are subject to rewards, developmental measures or sanction as described in the OPRAS guidelines are, however, rated within five indicators of performance. The first grade implies an outstanding performance while the second-grade stands for performance above average, and the third grade indicates average performance. Nevertheless, grade four stands for poor performance while grade five implies very poor performance.

Performance management practices

In pursuit of performance improvement for quality service delivery in the public sectors, New Public Management (NPM) emphasizes on the adoption of private sector practices in public institutions (Furthermore, academics and practitioners continue to arrive at conclusions about performance management based on erroneous or obsolete information [7]. The NPM model shifts the emphasis from traditional public administration to public management and entrepreneurship, pushing public sectors towards managerialism for public service improvements in the public sector [7].

Many countries in Africa as contended by Waal, have been implementing PMS with varied level of success [8]. A study by Mothusi, on the installation of PMS in Botswana for example provides a clear background on the reform management practices in African countries. Mothusi adopted Kurt Lewin's Field Force Analysis in assessing the implementation of PMS in Botswana in a change perspective. The study adopted a case study design focusing on four government departments in Botswana: two from the Ministry of Local Government and two from the Ministry of Lands and Housing [9].

Findings from that study reveal reform management in Botswana through installation of PMS is not effective. One of the most challenges highlighted by Mothusi in the study is that the adoption of top-down approach has been a challenge towards effective implementation of PMS in Botswana. Also, findings confer that an ineffective implementation of PMS in Botswana was caused by inadequate training among staff and negative attitude as there are staff who simply do not want to embrace PMS as it is not important as articulated. Nevertheless, lack of commitment of the management in the implementation of such PMS has been contributing to inadequate attainment of the desired change in Botswana.

However, the gap that exists between this study and that by Mothusi lies in the context at which the two studies are conducted and the type of PMS adopted in analyzing change. It is beyond reasonable doubt that Tanzania and Botswana are two different countries thus the findings obtained in Botswana cannot be generalized in Africa and Tanzania in particular. In that regard therefore, this study remains significant in exploring and assessing the rationale for ineffective implementation of OPRAS in Tanzania public service and the challenges facing it.

In Tanzania public service, a strategic effort for performance management dates as far back to the year 2000 when performance management systems were introduced under the PSRP (I). A more pronounced effort towards effective performance management anchored upon NPM and change initiatives was undertaken through an introduction of OPRAS in July, 2004 for enhancing performance in the public sector [6; 10]. OPRAS was introduced through an establishment of circular No. 2 of 2004 and made mandatory to all MDAs, Regional Secretariats and LGAs. It is further noted by Issa, that the implementation of OPRAS in the Tanzania public service is anchored upon policy and legal framework [6]. The rationale for introducing OPRAS in the Tanzania public service was to cultivate a performance by developing a result-oriented management philosophy among employees that could transform employees' performance behavior and attitudes for quality service delivery [11].

Since OPRAS was introduced in the public service in Tanzania, the government has been struggling to ensure that there is an effective implementation of OPRAS to meet the targeted objectives which is changed performance-culture for public service improvements. However, experience reveals that the implementation of OPRAS in the Tanzania public service is yet to be sustainably effective [10; 12]. As Waal noted, many Countries have experienced performance management initiatives but most of these were limited to the introduction of performance-oriented staff appraisal systems. These have not been very successful because in these systems, promotions are linked to performance while in many developing countries promotion is still linked to seniority or relations [8]. Furthermore, Mishra adds that performance appraisal is perceived by employees as more accurate and more reflective of their performance. They are thus considered as quite effective in providing comprehensive information [1].

Most of the studies conducted to evaluate the implementation of OPRAS in the Tanzania public service reveal that its implementation has not been in a desirable state thus the outcomes expected may not be attained. Laanyuni, for example conducted a study to assess the extent by which OPRAS is effectively been implemented in Mainland

Tanzania specifically in the four ministries namely the Ministry of Finance and Economic Affairs (MoFEA), Ministry of Health and Social Welfare (MHSW), Ministry of Agriculture and Cooperative (MOAC) and the Ministry of Infrastructure Developments (MID) [13]. The findings from this study indicate that OPRAS has not been effectively implemented and that its implementation was not understood with sufficient clarity and consistency among these Ministries. The gap underlying the above findings in relation to this study lies within the setting under which the two studies are conducted and the theoretical perspective guiding them. Unlike the fore mentioned, this study was conducted in the local government authority and it employed the performance management in assessing the implementation of OPRAS. Furthermore, in Kenya, research by Muli sought to determine the impact of performance appraisal on secondary school teacher professional development in Kitui West District [14]. Apparently, none of the studies have been done to investigate the implementation of OPRAS to Local government staff performance. Therefore this study sought to fill the gap using KMC as a case in point.

Research methods

This study employed both qualitative and quantitative research methodologies in collecting and analyzing information to illuminate coherence in discussion and conclusion. However, this study holds that, the best research is that which involves a combination of these methodologies.

The study area for this study was KMC which was purposefully selected among 169 LGAs in Tanzania. The reason behind this selection was based on the following reason: The assessment reports on OPRAS implementation status in the Tanzania LGAs by the Tanzania Public Service Commission (TPSC) reveals that KMC is one of those councils that were not performing well [5]. This has attracted attention to the researcher to investigate ineffectiveness of OPRAS implementation in KMC in Tanzania.

The target population for this study through which data were collected was basically the KMC staff. The data were collected from a total number of 100 respondents of whom 10 respondents constituted the Heads of Departments (HODs) whose responsibilities is to ensure OPRAS is effectively implemented in their respective departments and 90 respondents constituted ordinary staff. The 10 heads of departments were purposefully selected given the number of employees they supervise. Table 1 below presents the sample size and its composition.

This study employed purposive sampling technique in selection of respondents who were ordinary staff and heads of departments. This was done mainly to enable the study have a good and reasonable number of respondents to represent the whole council.

The methods of data collection were an in-depth interview was employed to collect data from 10 heads of departments at KMC who were picked from 10 purposively selected departments in order to obtain detailed information for the study. An in-depth interview was adopted to HODs for the purpose of collecting adequate information from them as they are the one responsible for ensuring that OPRAS is effectively implemented in their respective offices. Furthermore, questionnaires were administered to collect data from 90 ordinary staff respondents selected purposively from 10 departments as listed in Table 1 and explained above. The application of this method in collection of data was important in reaching a large number of respondents in a short period of time. On the other hand, the usage of questionnaires helped in collecting the quantifiable data for this study. Similarly, various documents were reviewed to facilitate a deeper understanding to the matter in question. Documents reviewed include but not limited to the following: government reports, guidelines on the implementation of OPRAS and other relevant information obtained from the council related to the topic under the study.

Table 1. Sample distribution and sample size

Source: Field data (April, 2020).

In analyzing the data collected from the field, this study employed both qualitative and quantitative analysis. Content analysis was adopted in analyzing the data obtained from documentary review, in-depth interviews and cross tabulation was used in data collected through questionnaires. Under Content analysis technique, data were systematically classified into defined categories comprising patterns of related information sub-themes. For instance, rationale for ineffective implementation of OPRAS was classified into their sub-categories such as abysmal communication of OPRAS to the employees. This method of data analysis facilitated the making of inferences from the qualitative data. On the other hand, with the aid the Statistical Package for Social Sciences (SPSS), descriptive statistics (tabulation) technique and cross-tabulation were used to analyze the quantitative data that were mainly obtained from questionnaires.

Presentation and discussion of the findings

Respondents' socio-economic characteristics