Journal of Education and Learning; Vol. 10, No. 6; 2021
ISSN 1927-5250 E-ISSN 1927-5269
Published by Canadian Center of Science and Education
82
Creating Core Competencies and Workload-Based Key Outcome
Indicators of University Lecturers’ Performance Assessment:
Functional Analysis
Chatchawan Nongna
1
, Putcharee Junpeng
1
, Jongrak Hong-ngam
2
, Chalunda Podjana
1
& Keow Ngang Tang
3
1
Faculty of Education, Khon Kaen University, Khon Kaen, Thailand
2
Faculty of Economics, Khon Kaen University, Khon Kaen, Thailand
3
Institute for Research and Development in Teaching Profession for ASEAN, Khon Kaen University, Khon
Kaen, Thailand
Correspondence: Putcharee Junpeng, Faculty of Education, Khon Kaen University, Khon Kaen 40002, Thailand.
Received: August 22, 2021 Accepted: September 26, 2021 Online Published: October 24, 2021
doi:10.5539/jel.v10n6p82 URL: https://doi.org/10.5539/jel.v10n6p82
Abstract
This research aims to create and validate the quality of performance assessment using functional analysis. The
researchers employed a design-based research method to create core competencies and their workload-based key
outcome indicators as a preliminary study encompassing two phases, before formulating a standards-setting
appraisal model to assess university lecturers in a public university, Thailand. The researchers began with
documentary research to identify core competencies of university lecturers from three clusters of educational
programs, namely science and technology, health science, and humanities and social sciences. An innovative
prototype of university lecturers’ core competencies was developed based on the obtained results from the first
phase. A total of five experts and 17 users participated to validate the quality of the innovative prototype. The
preliminary results reveal that there are four core competencies of university lecturers, namely teaching, research,
academic service, and preserving arts and culture. Moreover, there are 13 workload-based key outcome
indicators and 27 elements that resulted from the four core competencies related to the specific research
university in the Thai context. Moreover, the quantitative results of the content validity index from the rating
scales of the five experts indicate that the conformity index is 0.78 or higher. However, the qualitative interview
results regarding the 17 users from four focus groups imply that there is a gap regarding the accuracy of current
performance appraisal between lecturers’ core competencies and their actual workload. Therefore, the dean
should make the necessary adjustments based on the context.
Keywords: core competencies, functional analysis, performance assessment, workload-based key outcome
indicators
1. Introduction
The role of the university lecturer has a great impact on knowledge and cognitive development for society and
the nation (Blašková, Blaško, & Kucharþíková, 2014). Therefore, it is a highly demanding job that requires core
competencies and continual enhancement of professional knowledge and social competencies. This enables
university lecturers to conduct scientific research and transfer the scientific results to students for their future
development (Blašková, Blaško, Jankalová, & Jankal, 2014). University lecturers’ work performance can not
only have a significant impact on higher education implementation but also support the dynamic and
effectiveness of the education process (Akbar Ali & Si, 2015). The usefulness of performance assessment, in
general, can be categorized as the main contributor to the quest for reward and publishment, as a standard to
authorize the assessment, provide feedback to the university to serve as individual career development,
determine the purpose of the training program, and support the detection of organizational problems (Akbar Ali
& Si, 2015).
Key outcome indicators should be the following: specific, measurable, achievable and attributable, relevant and
realistic, and time-bound, as emphasized by past researchers (Allen, Fenemor, & Wood, 2012; Hocking,
Jacobson, & Carter, 2008; Leagnavar, Bours, & McGinn, 2015). This is because good indicators need to be
easily understood and eloquent to those who seek to use the information they provide. Therefore, Leagnavar et al.
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define the specific characteristic of the key outcome indicators as capturing the essence of the desired result,
specifically related to the achievement of university lecturers’ performance assessment. Furthermore, the key
outcome indicators must be measurable, considering the repeatability of assessment, the precision required for
measurement, and the resources needed for measurement (Allen et al., 2012). Next, the achievable and
attributable characteristics refer to the performance assessment system to identify what changes are anticipated
as a result of the involvement and whether the results are realistic. In other words, attribution requires that
changes in the targeted developmental issue can be linked to the involvement (Hocking et al., 2008). The key
outcome indicators must be relevant and realistic to establish levels of performance that are likely to be achieved
practically and, thus, reflect the expectations of stakeholders (Allen et al., 2012). Finally, the time-bound
characteristic refers to the progress of work performance to be traced cost-effectively at the desired occurrence
for a set period (Leagnavar et al., 2015).
The selected research university is a public university in Khon Kaen province, Thailand. Since it is an
established university, the human resource department has a performance assessment system that consists of two
main components: 70 percent of the performance assessment system is used for measuring university lecturers’
work achievement, while the other 30 percent is used for measuring university lecturers’ behavioral performance
(Khon Kaen University, 2015). The core competencies have been identified in accordance with the guidelines
provided by the Civil Service Commission and have been used by the research university since 2011 (Office of
the Higher Education Commission, 2018). Five core competencies are assessed in the performance assessment
system, namely (i) Service Mind, (ii) accumulation of their careers (Expertise), (iii) focus on achievement
(Achievement Motivation), (iv) Teamwork, and (v) adherence to integrity and ethics (Integrity). As a result, the
main aim of this research is to create core competencies and workload-based key outcome indicators for
performance assessment of university lecturers in this public university using functional analysis. This is
followed by examining the quality of the created core competencies and workload-based key outcome indicators
for assessing the university lecturers’ work performance.
2. Method
2.1 Research Design
The researchers chose the documentary research design during the first phase so that they could use the official
documents as sources of material (Ahmed, 2010) to identify core competency expectations from three different
clusters of educational programs. The documentary research design was deemed suitable because it could be
used to assess a set of documents for historical and social value to create a larger narrative through the
investigation of multiple documents surrounding the university lecturers’ work performance. Using this type of
material in the research entails that the documents are recorded as secondary data sources because they contain
material “not specifically gathered for the research question at hand” (Steward, 1984, p. 11).
The expert reviews research design was used in the second phase as a usability-inspection method. As a result,
the five experts examined the developed innovative prototype of university lecturers’ core competencies and
workload-based key outcome indicators with the goal of identifying usability problems and strengths (Harley,
2018). The researchers emphasized the experts’ past experience and knowledge of usability principles. Moreover,
focus group interviews were conducted for four groups of real users to review a set of specifications or more
abstract versions of the users might interface. The focus group interviews were performed via planned discussion
with a small group of real users to obtain their considerations and ideas on the quality of the developed
innovative prototype of university lecturers’ core competencies and workload-based key outcome indicators. The
focus group interviews were practicable for illuminating the variation of viewpoints held by members of the four
groups of real users. Moreover, these focus group interviews were feasible for methodological triangulation with
the five experts’ evaluation.
2.2 Research Procedure and Research Participants
The research involved a preliminary study prior to formulation of a standards-setting appraisal model utilizing a
design research method (Reeves, 2006; Vongvanich, 2020). The preliminary study, composed of two phases,
was employed to determine the core competencies and workload-based key outcome indicators for assessing the
university lecturers’ work performance. In the first phase, researchers conducted documentary research to
investigate the roles, duties, workloads, and working conditions of university lecturers from three different
clusters of educational programs, namely science and technology, health science, and humanities and social
sciences, of a public university in Thailand.
The obtained results from the first phase were used to design and develop an innovative prototype of university
lecturers’ core competencies in the second phase. There were two groups of participants involved in the second
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phase to validate the quality audit performance of the innovative prototype, to examine whether the created core
competencies matched the workload-based key outcome indicators. The first group comprised five experts,
namely three experts from the areas of teaching, research, and academic services in higher education, one expert
specializing in educational measurement and evaluation, and one who is a key individual involved in assessing
university lecturers’ work performance. These five experts were required to rate the innovative prototype in
terms of content validity.
The second group consisted of four focus groups as users of the innovative prototype. The researchers employed
a purposive sampling technique to select the four focus groups. The first focus group consisted of three
informants who are the faculty’s performance appraisal practitioners. The second focus group consisted of nine
university lecturers, three from each respective cluster, namely science and technology, health science, and
humanities and social sciences. The third focus group was the dean or associate dean from each cluster, totaling
three informants. The final focus group included the rector and vice-rector of the human resource division, a total
of two informants. A total of 17 informants participated in user groups for four cycles of the interview, using the
user experience research method.
2.3 Data Analysis
Sources of data from the documentary research and focus group interviews were analyzed using content analysis.
Researchers coded or broke down the text into manageable code categories for analysis. Once the text was coded
into categories, the codes could then be further categorized into themes to summarize data even further. The
documentary data were analyzed using conceptual content analysis, whereby the concept of university lecturers’
core competencies was chosen for examination of the occurrence of selected terms in the data. Terms can be
indicated in the documents implicitly or explicitly. The researchers needed to decide the level of implication and
base judgments on subjectivity for reliability and validity issues for implicit terms.
Content analysis was used to analyze the focus group interview data. The researchers determined the presence of
certain words, themes, and concepts within the given qualitative data. This helped the researchers to quantify and
analyze the presence, meanings, and relationships of such words, themes, and concepts. They then could make
inferences about the messages within the texts of the four groups of real users.
Functional analysis was employed to validate the identified core competencies by the five experts. First, the five
experts selected the main functions and objectives of work according to both the workload and positioning
standards. They began by overviewing, drawing conclusions, and summarizing the core competencies along with
their operational roles. This was followed by breaking down each core competency into its indicators and
elements. All identified core competencies together with their workload-based key outcome indicators were
examined to formulate an innovative prototype, the so-called core competencies measurement model.
The quality audit of the core competencies measurement model was validated using the item content validity
index (I-CVI). A good I-CVI should be 0.78 or higher. The I-CVI was calculated using the formula below (Polit,
Beck, & Hungler, 2006):
I-CVI = Nc / N (1)
Nc identifies a number of experts assessing items at a consistent level
N identifies the total number of experts
I-CVI identifies content validity index for each item
Calculation of item—I-CVI, let experts consider the conformity assessment measure into four levels:
1 means not relevant
2 means partially consistent
3 means quite relevant
4 means very consistent
Moreover, researchers found the scale level content validity index (S-CVI), calculated based on the definition of
CVI, for example, the proportion of items that all experts agreed on regarding whether the item was highly
relevant or relevant to measure:
S-CVI = I-CVI / UA (2)
I-CVI represents item content
UA represents the total number of courses
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S-CVI represents scale level content validity index
3. Results
The results of this research are presented according to the research aim stated previously. The preliminary results
comprise the workload-based key outcome indicators and elements based on the conceptualization of university
lecturers’ core competencies. These results are followed by examination of the quality of the identified core
competencies and their workload-based key outcome indicators, as well as related elements, to assess university
lecturers’ work performance.
3.1 Results of Documentary Analysis
The first phase of the documentary research results provides a list of core competencies that were hypothesized
as the measurement for the work performance of university lecturers. The results reveal that university lecturers’
core competencies comprise four categories, namely teaching, research, academic service, and preserving arts
and culture. The comparative results of the three different clusters of educational programs, namely science and
technology, health science, and humanities and social sciences, indicate that there are differences in core
competencies, except for preserving arts and culture.
On the one hand, the teaching competency of university lecturers from the cluster of science and technology is
focused on improving teaching documents. On the other hand, the teaching competency of university lecturers
from the health science cluster emphasizes using teaching material with advanced technology to interact with
their students. Moreover, the university lecturers also practice specific professional practices in their teaching.
However, the teaching proficiency of university lecturers from the humanities and social sciences cluster reveals
that they are more concerned about supervision of student performance and consultation of students’ classroom
research.
The majority of university lecturers from the science and technology cluster possess research skills as they are
research project leaders. Moreover, they have published their research results in international database journals
with the impact factor, which indexed at Quartile 1 to 2, and have been first authors or corresponding authors.
The documentary results reveal that university lecturers from the health science cluster also possess research
competency and publish their research results in international journals with the impact factor. Moreover, they
utilize these research results to benefit communities and society as well. However, the results reveal that the
research competency of university lecturers from the humanities and social sciences cluster is lacking compared
to the other two clusters because these lecturers only publish in national journals or certain international journals
recognized within their specific field of study.
The results reveal that the three clusters are performing in academic service competency differently. For example,
the majority of university lecturers from the science and technology cluster are receiving scholarship from either
external or international agencies to support them to become project leaders in providing academic services.
Meanwhile, university lecturers from the health science cluster are mainly providing academic services that have
a high impact on communities and society. Finally, university lecturers from the humanities and social sciences
cluster boast educational innovation as their prior academic service to society.
3.2 University Lecturers’ Core Competencies and Their Key Outcome Indicators
The researchers utilized Wyborn et al.’s (2018) suggestions to synthesize the documents related to core
competencies of university lecturers to create an innovative prototype. This was followed by using the user
experience research method for quality audit performance of the innovative prototype of university lecturers’
core competencies. Finally, researchers employed functional analysis to determine the workload-based key
outcome indicators and elements derived from the identified core competencies. The preliminary results reveal
that there are four core competencies of university lecturers, namely teaching, research, academic service, and
preserving arts and culture. Furthermore, there are 13 workload-based key outcome indicators and 27 elements
that resulted from the four core competencies with regard to the specific research university in the Thai context.
Table 1 details the core competencies, their workload-based key outcome indicators, and their elements, while
Figure 1 demonstrates the distribution of core performance mode using the functional analysis method.
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Table 1. Identification of core competencies and their workload-based key outcome indicators
Core Competencies Key Outcome Indicators Elements
Teaching Knowledge development (T1) Attending training for new knowledge in their field (T1.1)
Attending academic meetings in their scientific field (T1.2)
Participating in academic presentations in their field (T1.3)
Knowledge transfer (T2) Systematic teaching planning (T2.1)
Teaching media (T2.2)
Students’ satisfaction (T2.3)
Use of digital technology in
teaching (T3)
Using digital technology in online teaching (T3.1)
Digital interaction media (T3.2)
Online lessons (T3.3)
Compiling essence of subject
matter (T4)
Summarizing the contents of subject matter (T4.1)
Preparing teaching documents according to the course contents (T4.2)
Writing textbooks/books of subject matter (T4.3)
Research Research output (R1) Number of research results that have been conducted (R1.1)
Number of publications in the national or international database (R1.2)
Research awards (R1.3)
International research
recognitions (R2)
Number of publications in the international database (R2.1)
Number of research results with researchers from foreign institutions (R2.2)
Number of research papers presented at the international level (R2.3)
Research funding acquisition
(R3)
Receiving research funding from internal funding sources (R3.1)
Receiving research funding from external funding sources in Thailand
(R3.2)
Receiving research funding from external funding sources in foreign
institutions (R3.3)
Academic service Integration with teaching (AS1) Designing academic services for teaching use (AS1.1)
Integration with research (AS2) Designing academic services for research use (AS2.1)
High impact academic services
(AS3)
Providing academic services that have high impact on the social community
(AS3.1)
Matching the expertise (AS4) Providing academic services that match their expertise (AS4.1)
Preserving arts and
culture
Activity participation (PAC1) Participating in arts and culture preservation activities (PAC1.1)
Creation of activities (PAC2) Creation of activities to preserve arts and culture (PAC2.1)
jel.ccsenet.
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Table 2. Results of content validity index
Core competencies Expert No. of an expert
agreed
I-CVI
(Item)
Result
1 2 3 4 5
T1 4 4 4 4 4 5 1.00 Relevant
T2 4 4 4 4 4 5 1.00 Relevant
T3 4 4 3 4 4 5 1.00 Relevant
T4 4 4 4 4 4 5 1.00 Relevant
R1 4 4 4 4 4 5 1.00 Relevant
R2 4 4 4 4 4 5 1.00 Relevant
R3 4 4 4 4 4 5 1.00 Relevant
AS1 4 4 4 4 4 5 1.00 Relevant
AS2 4 4 4 4 4 5 1.00 Relevant
AS3 4 4 3 4 4 5 1.00 Relevant
AS4 4 4 4 4 4 5 1.00 Relevant
PAC1 4 4 4 4 4 5 1.00 Relevant
PAC2 4 4 4 4 4 5 1.00 Relevant
3.3.2 Quality Audit Performance Results Through User Experience Method
The researchers employed the user experience method to conduct four cycles of focus group interviews with four
key groups of informants who were involved directly in assessing university lecturers’ work performance. These
four key groups consisted of practitioners, university lecturers, the dean or associate dean, and the rector or
vice-rector of the human resource division of the research university. These persons are currently using the
guidelines provided by the Office of the Civil Service Commission (Office of the Higher Education Commission,
2018). The researchers intended to obtain wide-ranging views from users’ perspectives to determine the quality
of the performance results of core competencies and workload-based key outcome indicators in terms of their
appropriateness and consistency.
The researchers practiced triangulation of interview data from four perspectives to enhance the validity of the
collected data (Gay, Mills, & Airasian, 2011). According to Gay et al., the compelling viewpoints of qualitative
research remain in the triangulation of numerous methods, data collection, and data sources to obtain a more
detailed illustration of the idea under research and also to enable researchers to cross-check information. Content
analysis was utilized to analyze the obtained interview data by identifying, analyzing, and reporting the themes
within the data (Braun & Clarke, 2006).
The following verbatim interview records from the group of practitioners are responsible for performance
appraisal commented about the gap of the current performance appraisal to measure accurately between
university lecturers’ core competencies and their actual workload. Moreover, they suggested that the
standard-setting appraisal system should be a reference only, the dean of each faculty has to make necessary
adjustments based on their context.
The following verbatim interview records from the group of practitioners are responsible for performance
appraisal, and mention the failure of the current performance appraisal to measure accurately the difference
between university lecturers’ core competencies and their actual workload. Moreover, they suggested that the
standard-setting appraisal system should be a reference only and that the dean of each faculty should make
necessary adjustments based on their context:
“The indicators for assessing performance are quite abstract. The empirical evidence used to support the
assessment was not clearly stated. As a result, the assessors used their discretion to assess, and allowed
their subordinates (university lecturers) to have full scores for all categories, including core competencies
and behavioral outcomes.”
“There should be a standard-setting performance appraisal system that is the central standard of the
university, and each faculty can adjust using additional and appropriate details depending on the context of
the faculty.”
The second group comprised the university lecturers who revealed that the empirical evidence to support the
core competencies was not defined clearly as a standard. They complained that the level attained in the
performance appraisal should indicate clearly how university lecturers can improve in future to obtain a higher
level of performance assessment results. The verbatim interview records are presented according to the related
issue as follows:
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“Empirical evidence requires such as performance reports to assess core competencies is not clearly
defined as a standard.”
“The level of performance assessment results in each assessment cycle did not show clearly what kinds of
improvements we had to make for the next round to have a higher level of performance assessment
results.”
The third focus group comprised of deans or associate deans who have the role of assessors. They commented on
the core competencies used to assess the university lecturers’ work performance, stating that the broad
characteristics, such as good service (Service Mind), do not make clear how they can be measured based on
lecturers’ workload. They suggested that the core competencies in the current work performance appraisal
should be used as the central standard of the university and established based on the practical workload.
Moreover, faculties should be allowed to further adjust in accordance with their context. The following verbatim
interview records reflect the deans’ or associate deans’ views regarding the current work performance
assessment system:
“Core competencies that assess the performance of university lecturers in the present have broad
characteristics such as good service (Service Mind), etc. It does not specify how it is measured by their
workload.”
“The core competencies used in the university lecturers’ work performance assessment should be
established based on the practical workload. It should be the central standard of the university and the
faculties can further adjust according to their context.”
The final focus group consisted of the rector and vice-rector of the human resource division. Their interview
results indicated that the current performance appraisal should reflect the areas that need further development.
For example, if a university lecturer has achieved the highest rating of expectation, the assessment criteria should
be adjusted accordingly. Furthermore, they recommended that all parties should be encouraged to be involved
because mutual recognition based on actual practices, clear indicators, and criteria is important for every
individual to accept and understand. Finally, they agreed that performance assessment results must reflect the
strengths and their indicators that need to be developed individually. This is expected to substantially benefit
future personnel management of the organization. These themes are derived from the following verbatim
interview records:
“Performance assessment itself should be an assessment to reflect the areas that need further development.
If the university lecturers being assessed have achieved the highest rating, expectations and assessment
criteria should be adjusted accordingly.”
“Determining the core competencies used in the assessment system should emphasize the participation
from all parties involved and mutual recognition based on actual practices. There are clear indicators and
criteria that can make everyone accept and understand.”
“Performance assessment results must be able to reflect strengths and points that need to be developed
individually. This is for the benefit of further use in personnel management of the organization.”
4. Discussion
This is a preliminary study mainly aimed at creating and validating the university lecturers’ core competencies
and workload-based key outcome indicators before researchers develop a standards-setting appraisal
measurement model for a public university in Thailand. Therefore, rating the performance assessment tool is a
fundamental technique to ensure that the job analysis can support consistency for university lecturers’ work
performance. For this work, the major concern was to offer reliable and valid means of collecting data and to
focus on the critical core competencies to create an innovative prototype. The results of this preliminary study
have successfully approved the quality of this innovative prototype with validation from five experts and 17
users.
It can be concluded that such a robust appraisal measurement model can provide university lecturers with
meaningful and quality feedback and generate consistent use of performance appraisal data for administrative
decisions such as merit pay, promotion, and tenure (Akbar Ali & Si, 2015; Lohman, 2021). Since past
researchers (Cordoso, Tavares, & Sin, 2015; Herdlein, Kukemelk, & Türk, 2008) have raised questions about the
quality of performance appraisal practices and noted poor alignment with institutional missions, the researchers
would like to recommend the ideas of Allen et al. (2012), Hocking et al. (2008), and Leagnavar et al. (2015) to
confirm the key outcome indicators so that they are specific, measurable, achievable and attributable, relevant
and realistic, and time-bound, to solve the problems of poor alignment. Finally, a key suggestion for improving
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university lecturers’ work performance is to enhance their core competencies through professional training so
that they can conduct better scientific research and transfer the scientific results to their students (Blašková et al.,
2014)
Acknowledgments
The authors gratefully acknowledge the use of service and facilities of the Faculty of Education, Khon Kaen
University, Khon Kaen 40002, Thailand. The contents of this manuscript are derived from the first author’s
doctoral dissertation thus fulfilling the Ph.D. requirement of Khon Kaen University.
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