人力资源管理Human Resource Management

教学单位： 经 济 管 理 系 教师姓名： 王 静 华 教学对象： 人力资源管理 2005 级 教学时间：2008 － 2009 学年第一学期

课程说明[课时安排] 4 课时/周×20 周＝80 课时[教学目的] 通过教学，使学生掌握完整的人力资源管理理论体系，

了解人力资源管理的各项工作职能，为今后专业课的学习打好基础，并适当培养学生的实践能力。

[教学重点] 人力资源管理的职能：工作分析(job analysis)、人力资源规划(human resource planning)、招聘录用(recruitment and employment) 、 培 训 开 发(training and development) 、 绩 效 管 理(performance management) 、 薪 酬 管 理(compensation management)

[教学难点] 本门课程比较抽象，学生对人力资源管理的实践工作几乎完全不了解。如何将课本上枯燥的知识点能讲授成易于让学生掌握并且有兴趣继续在专业课程中探寻下去的能力储备，是课程的教学难点。

[教学方法] 双语教学、多媒体辅助教学、案例分析与讨论相结合[教材选择] 1《人力资源管理概论》，董克用、叶向峰编著，中国人民大学出版社 2003 年版2《Human Resource Management》（Ninth Edition）Gary Dessler,2005[教学参考]1 《人力资源管理》第 7 版，【美】劳埃德·拜厄斯、莱斯利·鲁著，李业昆译. 北京：人民邮电出版社，20052 《Human Resource Management》【A】Lloyd L.Byars ,Leslie W. Rue. Posts & Telecom Press , 20053 《 Managing Human Resource, [American]George·Bohlander, Scott·Snell. Thirteen Edition, DaLian：Dongbei University of Finance & Economics Press, 20034 《人力资源管理》（第 9 版）【美】加里·德斯勒（Gary Dessler）（佛罗里达大学）,吴雯芳，刘昕译，北京：中国人民出版社，20055 《人力资源管理基础》【美】雷蒙德·A·诺伊（Raymond A. Noe）,雷丽华译，北京：中国人民大学出版社，20056 《人力资源管理》第 9 版，【美】约翰·M·伊万切维奇（John M. Ivancevich）（休

斯顿大学）,【中】赵曙明（南京大学）著，北京：机械工业出版社，20057 《人力资源管理－高等院校应用型特色规划教材》廖三余主编，北京：清华大学出版社 20068 《人力资源管理实务》徐光华等编著，北京：清华大学、北京交通大学联合出版20059 《人力资源总监》张文贤著，上海：复旦大学出版社，2005

绪论Introduction

I the importance of Human Resource Management 经济发展的角度 economic development——Endogenous Growth Theory

Kuznets: (for his empirically founded interpretation of economic growth which has led to new and deepened insight into the economic and social structure and process of development.)defines economic growth as a sustained increase in output per person or per worker

Romer(1986) and Lucas(1988): The growth process occurs through endogenous factors. They believe that improvements in productivity can be linked to a faster pace of innovation and extra investment in human capital.

The main points of the endogenous growth theory are as follows:1. The rate of technological progress should not be taken as a given in a

growth model – appropriate government policies can permanently raise a country’s growth rate particularly if they lead to a higher level of competition in markets and a higher rate of innovation

2. There are potential increasing returns from higher levels of capital investment

3. Theory emphasizes that private investment in R&D is the central source of technical progress

4. Protection of property rights and patents can provide the incentive to engage in R&D

5. Investment in human capital (education and training of the workforce) is an essential ingredient of growth

Theodore Schultz: （ an economist at the University of Chicago who was awarded the Nobel Prize in economic sciences in 1979. ） produced his ideas of human capital in the early 1960s as a way of explaining the advantages of investing in education to improve agricultural output.

追随管理的实践：

HRM and Organizational Performance

关 注 生 产环 节 的 管理

重 视 市 场销 售 的 管理

偏 向 资 产 运营的管理 强调以发挥人的潜力为

主的人力资源管理

60年代 80年代 90年代以及未来很长一段时间70年代

Personnel Mistakes： Hire the wrong person for the job 雇佣不合适的人来从事某项工作 Experience high turnover 雇员的流动率很高 Have your people not doing their best 发现自己的雇员下属不尽力 Waste time with useless interviews 在无效的面试上浪费很多时间 Have your company in court because of discriminatory actions 由于采取了歧视性行为而被诉诸于法庭

Have some employees think their salaries are unfair and inequitable relative to others in the organization 系数雇员感到自己所得到的薪资与组织中的其他人相比，是不公平的或者不公正的。

Allow a lack of training to undermine your department’s effectiveness 由于对于雇员培训不足而导致本部门的效益受损。

Commit any unfair labor practices 出现任何不公正的劳资行为Human resource managers are somewhat limited in the impact they can have

on the capital, materials, and energy aspects of productivity. However, they can have a great deal of impact on the labor component. Specifically, they can affect the commitment of employees and the management philosophy of the individual managers. Because of this, human resource managers have a unique opportunity to improve productivity and hence organizational performance.

II major research objective of HRM 将人力资源看作推动组织和社会发展，创造物质和精神财富的重要资源。人力资源管理学的研究对象就是人力资源这种特殊的资源，通过研究，在实践中科学的培养人力资源、使用人力资源，使人力资源与其他资源一样，得到最大化的资源使用效率和效益。III the theoretical system of HRM

IV background knowledge管理学、 经济学、心理学、教育学、行为科学等

上篇 人力资源管理基础Part I The Foundation of Human Resource

Management第一章 人力资源概述Chp1 Introduction to Human Resource

[教学目标] A 知识点重点掌握人力资源的概念、理解人力资源与人力资本的区别、理解人力资源的性质和作用

B 技能点

掌握专业词汇、通过人力资本的相关学习端正学习态度[教学重点] 人力资源的含义；人力资源性质和作用；[教学难点] 人力资源与人力资本的区别[教学方法] 讲授，多媒体辅助教学[教学课时] 2 学时

第一节 人力资源及其相关概念Chp1.1 Human Resource and the Relevant Conception

一、人力资源的含义In all the factors of the economic development, human is the most important one.

The human resources in one nation or region are extraordinarily essential in fully and efficiently using material resources and in economic increasing. Peter F. Drucker, the authority in the science of administration, once said:  “Human is the only and true resource in enterprise or institution. Administration is something that can exploit human resources for work.”

Peter Drucker wrote in 1954 about the worker as a resource saying, "We must consider man (person) as a human being. We must, in other words, also put the emphasis on 'human.' This approach focuses on the person as a moral and a social creature, and asks how work should be organized to fit his qualities as a person

The human resource is the one least efficiently used – the one holding the greatest promise for improved economic performance.” – Peter Drucker本书定义：人力资源是指人所具有的对价值创造起贡献作用并且能够被组织所利用的体力和脑力的总和。P6

Human resource vs Human CapitalThe basis of human capital lies in the theories of Theodore Schultz, an economist

at the University of Chicago who was awarded the Nobel Prize in economic sciences in 1979. Schultz, an agricultural economist, produced his ideas of human capital in the early 1960s as a way of explaining the advantages of investing in education to improve agricultural output. He believed human capital was like any other type of capital; it could be invested in through education, training and enhanced benefits that will lead to an improvement in the quality and level of production.

Gary Becker, the 1992 Nobel Prize winner for economics, built on the idea, explains that expenditure on education, training and medical care could all be considered as investments in human capital. "They are called human capital," he wrote, "because people cannot be separated from their knowledge, skills, health or values in the way they can be separated from their financial and physical assets." 与社会财富和社会价值的关系上区别 研究问题的角度和关注的重点不同 计量形式不同

二、人力资源的数量和质量（Quantity and Quality of HR） Quantity

Method of measurement

Influence factors Total populationAge structure

Quality

三、人口资源、人力资源、人才资源

第二节 人力资源的性质和作用

Employment of the right age

Unemployment

Else

Youngperson

The elderly

Handicapped

16 years old

M 60F 55

劳动者素质

体能素质

智能素质

先天的素质

后天的素质经验知识科技知识

普通知识

专业知识

Talent

manpower

population

Chp1.2 The Features and Functions of HR

一、Features of HR The resource must be of value.

People are a source of competitive advantage when they improve the efficiency or effectiveness of the company. Value is increased when employees find ways to decrease costs, provide something unique to customers, or something combination of the two. Empowerment programs, total –quality initiatives, and continuous improvement effort at companies are intentionally designed to increase the value that employees represent on the bottom line. The resource must be rare.

People are a source of competitive advantage when their skills, knowledge, and abilities are not equally available to competitors. Companies invest a great deal to hire and train the best and the brightest employees in order to gain advantage over their competitors.

The resource must be difficult to imitate.People are a source of competitive advantage when employee capabilities and

contributions cannot be copied by others. Disney, Inter, Microsoft are each known for creating unique cultures that get the most from employees(through teamwork) and difficult to imitate. The resource must be organized. People are a source of competitive advantage when their talents can be combined and deployed to work on new assignments at a moment’s notice.

第三节 人力资源的分布和结构Chp1.3 The Distribution and Structure of HR

一、The Distribution and Structure of HR in a nation Industry distribution Age composition/structure二、The Distribution and Structure of HR in company Age composition/structure Education structure Poison distribution Department distribution Diathesis structure

第二章 人力资源管理概述Chp2 Introduction to Human Resource

Management[教学目标] A 知识点

重点掌握人力资源管理的概念、理解人力资源管理的地位和层次、了解人力资源管理的职能与功能

B 技能点 掌握专业词汇、初步明确人力资源管理的工作内容和性质[教学重点] 人力资源管理的含义；人力资源性质和作用；

[教学难点] 人力资源管理的目标；人力资源管理的地位和层次[教学方法] 讲授，多媒体辅助教学[教学课时] 4 学时 第二节 管理及其相关问题（略）

Chp2.1 Management and the Relevant Conception

一、Conception: Human Resource Management彻林顿 Human resource management is responsible for how people are treated

in organizations. It is responsible for bringing people into the organization, helping them perform their work, compensating them for their labors, and solving problems that arise" (Cherrington, 1995, p. 5)加里·德里斯: The policies and practices involved in carrying out the “people” or human resource aspects of a management position, including recruiting, screening, training, rewarding, and appraising.乔治·伯兰德 Successful organizations are particularly adept at bringing together different kinds of people to achieve a common purpose. This is the essence of human resources management.劳埃德 · 拜 厄 斯 Human resource management encompasses those activities designed to provide for and coordinate the human resources of an organization.

HRM vs Personnel administrationPersonnel administration, which emerged as a clearly defined field by the 1920s

(at least in the US), was largely concerned the technical aspects of hiring, evaluating, training, and compensating employees and was very much of "staff" function in most organizations. The field did not normally focus on the relationship of disparate employment practices on overall organizational performance or on the systematic relationships among such practices. The field also lacked a unifying paradigm.

二、HRM的模式米尔科维克和布德罗1997年根据人力资源管理发展历程所提出的四种模式： 工业或产业模式（industrial model）20世纪50年代以前。以劳动关

系的协调为主，关注工作规则的建立、职业晋升阶梯和职业生涯设计、以资历为基础的报酬体系、雇员关系和绩效评估等。

投资模式（investment model）20世纪60－70年代。公平就业，培训和开发，给员工更多的自主权、工作丰富、长期薪酬

参与模式（involvement model）20世纪80－90年代。 高度灵活的模式（high－flex model）20世纪90年代以后。“外脑”

聘请顾问、外包、灵活的雇佣关系、多样的报酬三、功能

Function

Recruitment

Maintain

Develop

Motivate

四、目标 帮助实现组织的目标 有效利用劳动者的技能 提供训练有素和良好动机的员工 提高员工的满意度和自我实现 实现职业生涯的质量 坚持符合伦理规范和社会责任的行为 管理变革 提高应急管理能力和加快循环时间五、人力资源管理的职能和活动 Human Resource Functions

Human Resource Functions (HRF) refers to those tasks and duties performed in both large and small organizations to provide for and coordinate human resource. Human resource functions encompass a variety of activities that significantly influence all areas of an organization.人力资源职能是在各种规模的组织中用以提供和协调人力资源的任务和责任。人力资源职能包括对组织的所有领域具有重大影响的各种活动。

The Society for Human Resource Management （人力资源管理协会）has identified six major functions of human resource management.

Human resource planning, recruitment, and selection Human resource development Compensation and benefits Safety and health Employee and labor relations Human resource researchHuman Resource Wheel was developed by the American Society for Training

and Development (美国培训和开发协会)as part f an effort to define the field of human resource management.

Relationships between HRF

六、人力资源管理的地位和层次七、人力资源管理的作用 HRM and Organizational Performance

Michael A. Sheppeck

HR areas: improve/increased·Quality of life·Productivity·HR satisfaction·HR development·Readiness for change

Organization DevelopmentFocus: Assuring

Organizations/job designFocus: Defining how tasks, authorityand systems will beorganized and integrated acrossorganizational unitsand in individual jobs.

Human Resource PlanningFocus: Determining

Selection& StaffingFocus: Matching people and their career needs and capabilities with

Focus: Assuring healthyinter-and intra-unit relation-ships and helping groupsinitiate and manage change

Personnel research & information Systems

Focus: Assuring a personnelInformation base.

Training& Development

Compensation benefitsFocus: Assuring compensationand benefits fairness and consistency

Employee assistanceFocus: Providing personal problem-solving, counseling toindividual employees.

jobs and career paths

Union/labor relations

Focus: Assuringhealthy union organization relationship.

the organization’s major human resource needs, strategies, and philosophies.

Focus: Identifying, assessingAnd through planned learningHelping develop the key com-potencies that enable

individuals to perform current or future jobs.

Job Analysis & Job Appraisal

Human Resource Planning

Employee RelationsManagement

Recruitment PerformanceManagement

CompensationManagement

Selection Training&Development

Human resource manager can have a direct impact on company profits in a number of specific ways Reduce unnecessary overtime expenses by increasing productivity during a

normal days. 通过提高劳动生产率来减少在一个正常工作日期间不必要的超时花费。

Stay on top of absenteeism and institute programs designed to reduce money spent for time not work保持低缺勤率和制定用于减少非工作时间开支的计划

Eliminate wasted time by employees through sound job design通过合理的工作设计消除员工对时间的浪费

Minimize employee turnover and unemployment benefit costs by practicing sound human relations and creating a work atmosphere that promotes job satisfaction通过建立出色的人际关系和创造一种促进工作满意度的工作气氛来使员工流动和失业福利成本最低化

Install and monitor effective safety and health programs to reduce lost-time accidents and keep medical and worker’s compensation costs low.建立和监控有效的安全和健康计划以减少造成时间损失的事故，并降低医疗及报偿成本

Properly train and develop all employees so they can improve their value to the company and do a better job for producing and selling high- quality products and services at the lowest possible cost恰当的培训和开发所有员工以便他们能提高对公司的价值感，并以尽可能低的成本把生产和销售高质量产品和服务的工作做的更好

Decrease costly material waste by eliminating bad work habits and attitudes and poor working conditions that lead to carelessness and mistakes通过消除不良的工作习惯及态度和导致粗心及错误的不良工作条件，来降低对昂贵材料的

Environment Strategy

Practice

Organizational Performance

Support

EmployeeSatisfaction

Customer Satisfaction

Workefficiently

CustomerLoyaltyPerformance

HRMpractice

浪费 Hire he best people available at every level and avoid overstaffing在每个层次上

雇佣可以获得的最好人员和避免人员的冗余 Maintain competitive pay practices and benefit programs to foster a motivational

climate for employees保持有竞争力的报酬给付和福利方案，以形成员工激励氛围

Encourage employees, who probably know more about the nits and bolts of their jobs than anyone else, to submit ideas for increasing productivity and reducing costs鼓励那些可能比其他员工对工作的具体细节知道得等多得员工提出提高生产效率和降低成本得主意

Install human resource information system to streamline and automate many human resource functions建立人力资源信息系统以保证多数人力资源职能通畅和自动化。

HRM and Organizational Strategy

第四章 人力资源管理者和管理部门Chp4 The Manager and Department of HR

[教学目标] A 知识点理解人力资源管理者和管理部门的角色，理解人力资源管理部门的绩效

B 技能点 了解能力模型，了解人力资源管理者应具备的基本素质[教学重点] 人力资源管理者和管理部门的角色；人力资源管理部门的绩效；[教学难点] 人力资源管理部门的绩效[教学方法] 讲授，多媒体辅助教学，案例讨论[教学课时] 6 学时一、人力资源管理者和部门承担的活动和任务 三类活动：

战略性和变革性的活动 业务性活动： 行政性活动：员工工作纪律的监督、档案的管理、手续的办理、信息的保存员工服务以及福利的发放

赖特和麦克马汉的研究：HR管理者和部门所从事的各类活动的投入时间和具有的附加值并不是正相关的。二、人力资源管理者和部门的角色

Dave Ulrich is Professor of Business Administration at the University of Michigan. His teaching and research addresses the question: how to create an organization that adds value to employees, customers, and investors? He studies how organizations change fast, build capabilities, learn, remove boundaries, and leverage human resource activities.密歇根州立大学商学院教授，他致力于研究如何使组织通过人力资源建立快速发展、

学习、协作、责任、智能和领导力等方面的能力，并在此领域享有盛誉。他还在评估策略与人力资源实践和能力的数据库方面做出了突出贡献。

四、HR管理者应具备的素质能力模型：对员工核心能力进行不同层次的定义以及相应层次的行为描述，

确定关键能力和完成特定工作所需求的熟练程度。五、人力资源管理的责任所有的管理者都要承担人力资源管理的责任。人力资源管理决策必须反映本

企业的实际、HRM的政策和制度需要各个部门的支持和配合才能落到实处、人力资源管理工作要贯穿对员工的日常管理之中。

HRM管理者与非HRM管理者的责任有区别，体现在三个对应关系上：制度制定与制度执行的关系、监控审核与执行申报的关系、需求提出和服务提供的关系。六、人力资源管理部门的绩效 评价人力资源管理部门本身的工作

将HRM工作分解成一系列可以量化的指标quantitative analysis、借助定性指标qualitative analysis（不能让评价者只是根据自己的理解来对指标做总

Future/strategy

Process Personnel

the trivial round/ operation

Strategic partner Innovationist

Professional Motivator

体的评价）、将定性的指标划分成不同的等级并且给出每个等级的定义。 衡量HRM部门的工作对企业整体绩效的贡献

工作描述指数法job descriptive indexThe JDI is one of the most popular and widely used measures of job satisfaction.

The JDI measures five factors of employee satisfaction: satisfaction with the work itself; satisfaction with pay; satisfaction with opportunities for promotion; satisfaction with supervision; satisfaction with co-worker.

Satisfaction with workThis factor concerns the employee’s satisfaction with the work itself. The

satisfaction literature has identified various attributes of work that may be related to satisfaction, including opportunities for creativity and task variety, allowing an individual to increase his or her knowledge, and changes in responsibility, amount of work, authority, job enrichment, and job complexity.

Satisfaction with payPay satisfaction addresses attributes toward pay and is based on the perceived

difference between actual pay and expected pay. Pay satisfaction is also influenced by the personal financial situation of the employee, the economy, and the amount of pay on employees has received previously.

Opportunities for promotion: Satisfaction with promotion measures the employee’s satisfaction with the company’s promotion policy and the administration of that policy. Satisfaction with promotion is thought to be a function of the frequency of promotions, the importance of promotions, and the desirability of promotions.

Supervision The supervision facet reflects an employee’s satisfactions with his or her supervisions. In general, the more considerate and employee-centered supervisors are (eg, praising good performance, taking personal interest in employee, providing feedback and listening to subordinates’ opinions), the greater the levels of employee satisfaction with supervision.

Co-workerThis facet assesses the level of employee satisfaction with his or her fellow

employees. The degree of satisfaction with co-workers is thought to be determined by the work-related interaction among co-workers and the mutual liking or admiration of fellow employees.

SAMPLE JDI ITEMS

Think of the work you do at present. How well does each of the following words or phrases describe your job? In the blank beside each word or phrase: below, write:      Y          for "Yes" if it describes your work      N          for "No" if it does NOT describe it      ?            for "?" if you can not decideWORK ON PRESENT JOB                  Fascinating                 Boring                 Can see resultsPRESENT PAY

                 Fair                 Well-paid                 BadOPPORTUNITIES FOR PROMOTION                  Good opportunities for promotion                 Promotion on ability                 Infrequent promotionsSUPERVISION                  Knows job well                 Doesn韙 supervise enough                 Around when neededCOWORKERS                 Stimulating                 Unpleasant                  SmartJOB IN GENERAL                 Pleasant                 Worse than most                 Worthwhile

明尼苏达满意度问卷法（Minnesota satisfaction Questionnaire）The Minnesota Satisfaction Questionnaire (MSQ) is designed to measure an

employee’s satisfaction with their particular job.  The MSQ makes it feasible to obtain an individualized picture of worker job satisfaction, as well as providing an accurate measurement of job satisfaction for groups of individuals on numerous workplace factors. The MSQ is a 100-item, self-report instrument.  The MSQ measures job satisfaction across 20 different dimensions, with five questions on each dimension.  Those dimensions in which job satisfaction is measured are as follows:

ability utilization – the chance to use one’s abilities achievement – feelings of accomplishment activity – being able to stay busy on the job advancement – the opportunity to advance authority – the chance to direct others company – satisfaction with company policies compensation – pay for the work done co-workers – relationships with co-workers creativity – the chance to try own work methods independence – the opportunity to work alone moral values – not having violate conscience at work recognition – praise received from work done responsibility – freedom to use own judgment security – steady employment of the job social service – the chance to do things for others social status – the opportunity to be “somebody” supervision (HR) – way the boss handles employees supervision (technical) – competence of supervisor

variety – the chance to do different things occasionally working conditions – all facets of the work environment

Benefits of the MSQJob satisfaction is directly related to job performance, attitude, motivation,

morale, and productivity.  The value of the MSQ is that it accurately measures job satisfaction, and identifies specific areas (20 dimensions above) that impact performance and human behavior in the workplace.The highly valid and reliable MSQ is:

easy to use, easy to understand valid and reliable applicable to any organization applicable for managers, supervisors, and employees

第五章 人力资源管理的环境Chp5 The Environment of Human Resource

Management[教学目标] A 知识点

了解人力资源管理环境的分类、理解内外部环境因素对 HR活动的影响

B 技能点 能够利用 HRM环境中的新因素、有利因素为组织服务[教学重点] 内部环境因素对 HRM活动的影响；外部环境因素对 HRM活动的影

响；HRM环境的辨认[教学难点] 文化因素的辨认[教学方法] 讲授，多媒体辅助教学，案例讨论[教学课时] 6 学时 第一节 人力资源管理的环境概述

Chp 5.1 Introduction to the Environment of Human Resource Management

一、人力资源管理环境的分类

二、人力资源管理环境的辨认

Cell 1 HRM根据以往的经验和管理做出确定的决策——低度不确定环境Cell 3 HRM关键是确认出到底是哪些因素在起影响作用——中低不确定环境Cell2 需要对影响HRM 的因素的变化做出预测——中高不确定环境Cell4 不仅需要对影响因素进行确认，还要对它们的变化做出预测——高度不确

定环境第二节 人力资源管理的外部环境

Chp 5.2 The Exterior Environment of Human Resource Management

HRMsystem

Interior environment

Exterior

environment

Political factors Economics factors

Diversity in the Work Force 劳动力的多样性

16 24－ 岁25-54岁55岁以上

11. 9% 17. 9%

70. 25%

1990 年和 2010 年的美国劳动力年龄构成The age increase and drop in the young labor pool will have a mixed effect.

The older work force will likely be more experienced, reliable, and stable, but possibly less adaptable to change and retraining. One direct result of this trend is that the retirement age is already increasing.

Bl ack,non-Hi spani cHi spani c

Asi na, andother non-Hi spani cWhi te,non-Hi spani c

Another dimension of diversity is related to the increasing globalization of many companies. As companies become more global, diversity must be defied in global and not just Western terms. Defining diversity in global terms means looking at all people and everything that makes them different from one another, as well as the things that make them similar. Differentiating factors often go beyond race and language and may include such things as values and customs.多样性的另一个方面与许多公司不断增强的全球化相关联。当公司变得更加全球化时，必须从全球而不仅仅是从西方的角度来对多样性进行定义。从全球角度定义多样性意味着要考虑所有的人，并且考虑使他们相互区别的每一件事，以及他们的共性。造成区别的因素通常不仅局限在种族和语言上，而且可能包括象价值观和习俗这样的因素。

Law Equal Employment Opportunity 1964—1991

Title VII the 1964 Civil Rights Act 《民权法》（1964 年）第 7章

2006 美国劳动力的种族民族构成

Title VII states that an employer cannot discriminate based on race, color, religion, sex, or national origin民权法第 7章规定：雇主不能根据种族、肤色、宗教、性别、血统而加以歧视。

EEOC( Equal Employment Opportunity Commission)美国公平就业委员会。被授权调查歧视申诉并代表申诉者进行起诉、

Equal Pay Act of 1963 公平薪资法案 1963EPA1963 made it unlawful to discriminate in pay on the basis of sex when

jobs involve equal work; require equivalent skills, effort, and responsibility; and are performed under similar working conditions.当工作要求同样的劳动作业（同样的技能、努力和责任），并在同样的工作条件下完成时，依性别而付给不同工资属于非法歧视行为。

Age Discrimination in Employment Act of 1967 雇佣年龄歧视法案ADEA made it unlawful to discriminate against employees or applicants for

employment who are between 40 and 65 years of age.禁止任意的年龄歧视，特别保护 40岁以上的人。 Vocational Rehabilitation Act of 1973 职业恢复法案VRA requires employers with federal contracts over $2,500 to take

affirmative action in employing handicapped persons.与联邦政府签订 2500 美元以上合同者的承包商对残疾人就业采取积极的反歧视行动。

Vietnam Era Veteran’s Readjustment Assistance Act of 1974 越战退伍军人退役重新就业援助法案

It requires that employers with government contracts of $10,000 or more take affirmative action to employ and advance disable veterans and qualified veterans of the Vietnam era.

Pregnancy Discrimination Act of 1978 怀孕歧视法案It prohibits using pregnancy, childbirth, or related medical conditions to

discriminate in hiring, promotion, suspension, or discharge, or any term or condition of employment.该法案禁止在雇佣、晋升、停职、解雇、或其他雇佣条款或条件中对怀孕、分娩、或有关的医疗情况的歧视。

Equal Employment Opportunity 1991---present The Civil Right Act of 1991 民权法案 1991The effect was to make it even more important for employers and their

managers to adhere to both the letter and spirit of EEO law. The Americans with Disabilities Act 美国残疾人法案It prohibits employment discrimination against qualified disabled individual. 禁止对素质合格的残疾人施加雇佣歧视。

Culture Competitors

第三节 人力资源管理的内部环境Chp 5.3 The Interior Environment of

Human Resource Management Strategy

Strategy: The company’s long-term plan for how it will balance its internal strengths and weaknesses with its external opportunities and threats to maintain a competitive advantage.

Three basic types of strategy: stability strategy(稳定性战略 ) 、 growth strategy(增长战略)、retrenchment strategy( 紧缩战略)

SWOT Analysis

Organizational Structure Life Cycle of Organization

Organizational Culture

第六章 人力资源管理的理论基础Chp6 The Academic Foundation of Human

Resource Management[教学目标] A 知识点

CorporateGrowth

Strategies

CorporateStability

Strategies

CorporateRetrenchment

Strategies

AbundantEnvironmentalOpportunities

CriticalEnvironmental

Threats

CorporateStability

Strategies

Crit

ical

Wea

kne

sses

Valu

able

Stre

ngth

s

Environmental Status

Firm Status

创业阶段 集体化阶段 正规化阶段 合作阶段

领导危机自主危机

文牍危机再生需求危机

理解激励的基本过程、掌握内容型激励理论、过程型激励理论、行为改造型激励理论和综合型激励理论

B 技能点 能够理论联系实际解决特定的激励问题[教学重点] 内容型激励理论、过程型激励理论、行为改造型激励理论和综合型激

励理论；各种不同的理论对人力资源管理的借鉴意义[教学难点] 不同的激励理论对人力资源管理的借鉴意义[教学方法] 讲授，多媒体辅助教学，案例讨论[教学课时] 8 学时 第一节 人性假设理论

Chp 6.1 Human HypothesisThe job of a manager in the workplace is to get things done through employees.

To do this the manager should be able to motivate employees. But that is easier said than done. There is an old saying you can take a horse to the water but you can’t force it to drink; it will drink only if it is thirsty—so with people. They will do what they want to do or otherwise motivated to do. Motivation is a skill which can and must be learnt.

Human nature can be very simple, yet very complex too. An understanding and appreciation of this is a prerequisite to effective employee motivation in the workplace and therefore effective management and leadership.

一、Theory X—Theory YDouglas McGregor (1906 - 1964) is one of the fore-fathers of management

theory and one of the top business thinkers of all time. He was a social psychologist who became the President of Antioch College. He later became a professor of management at Massachusetts Institute of Technology. His book The Human Side of Enterprise (1960) had a profound influence on the management field, largely due to his Theory X and Theory Y.

Douglas McGregor developed a philosophical view of humankind with his Theory X and Theory Y in 1960. These are two opposing perceptions about how people view human behavior at work and organizational life.

Theory X - With Theory X assumptions, management's role is to coerce and control employees.

People have an inherent dislike for work and will avoid it whenever possible. People must be coerced, controlled, directed, or threatened with punishment in

order to get them to achieve the organizational objectives. People prefer to be directed, do not want responsibility, and have little or no

ambition. People seek security above all else. Theory Y - With Theory Y assumptions, management's role is to develop the

potential in employees and help them to release that potential towards common goals. Work is as natural as play and rest. People will exercise self-direction if they are committed to the objectives (they

are NOT lazy). Commitment to objectives is a function of the rewards associated with their

achievement.

People learn to accept and seek responsibility. Creativity, ingenuity, and imagination are widely distributed among the

population. People are capable of using these abilities to solve an organizational problem.

People have potential

Beyond theory y: Shows how an effective manager assesses his or her environment and accommodates his or her style to it. Emphasize that the best style of leadership fits both the people and the task.二、Hypothesis of human nature

Edgar Schein (1965) ——Four sets of managerial assumptions about employees and the implications for management and job design strategies

Rational-economic man Employees are motivated by economic incentives Employees are passive and can be manipulated Feelings are irrational Organisations should be designed to control people’s feelings and

unpredictability People are inherently lazy and must be motivated by external incentives People’s own goals run counter to those of the organisation, and external

forces are needed to channel efforts towards organisational goals. People are incapable of self-control and self-discipline because of

irrational feelings People can be divided into two groups: those who fit these assumptions,

and those who are self motivated, self controlled and less dominated by their feelings. The second group must manage the others.

Social man People are motivated by social needs and achieve a sense of identity

through relationships with others. The rationalisation of work pressures has removed the meaning from

work, and meaning must thus be sought from social relationships while doing the job

The peer group with its social pressures elicits more response from the employee that the incentives and controls of management

For people to respond to management the supervisor must meet the individual’s social needs and needs for acceptance

Self-actualizing man People are not inherently lazy or resistant to organisational goals People seek to be mature on the job exercising some autonomy,

independence and responsibility, and developing skills and adaptability People are primarily self-motivated and self-controlled and do not need

external incentives and controls to make them work There is no inherent conflict between self-actualization and effective

organisation performance. Given the opportunity, people will voluntarily integrate their own goals with those of the organisation, achieving the former through working towards the latter

Complex man People are complex and variable People can adopt new motives as a result of their experiences and hence

individual’s pattern of motivation and relationship with the organisation

result from a complex interaction between individual needs and organisational experiences

People’s motives may vary in different organizational settings People’s work involvement may stem from a variety of motives and the

outcome in terms of their performance and satisfaction is only partly dependent on their motivation. The nature of the task, relations with others, abilities and experience all interact to produce particular outcomes

People respond to different management strategies in ways dependent on their own motives and abilities and the nature of the task

第二节 激励理论Chp 6.1 Stimulant Theories

一、激励的基本过程Motivation is the willingness of a person to exert high levels of effort to satisfy

some individual need or want.The effort is a measure of intensity.Need – Some internal state that makes certain outcomes appear attractive.

二、内容型激励理论（Content theories）These theories suggest that people have certain needs and/or desires which have

been internalised . (This means that as we have grown up we have learned that these are things that we want and need and we come to believe it so strongly that we think that it is a natural thing to want these things.) These theories look at what it is about certain people that make them want the things that they do and what things in their

need effort behavior satisfaction

New need

environment will make them do or not do certain things. For example why would a person who was getting a lot of money for a job still be unhappy? Maybe there are other things which they consider to be more or equally important such as the work environment or the friendship and support of the people that they work with. We will look briefly at four content theories of motivation. Maslow's Hierarchy of Needs Theory

Abraham Maslow (1908 - 1970) developed a theory of motivation based on a hierarchy of needs. This is probably the most popular theory of management although the theory does have its critics..

Maslow believed that each person has five categories of needs: Physiological needs - Basic needs for the body, such as food shelter drink

rest etc. Safety needs - Where the basic needs are reasonably satisfied we turn to

thinking about protection from danger, security and order so that we feel safe. These safety needs can be a concern for physical safety but also covers psychological safety needs such as job security etc.

Social needs - Once the first two needs are reasonably satisfied, social needs such as needing acceptance, giving and receiving affection and "belonging" become things that people want.

Ego needs - Next comes people's need for achievement, self esteem, self confidence, respect and status.

Self Actualisation needs - finally at the top of the hierarchy once all of the other levels have been reasonably satisfied is the need to become the person that we feel that we are capable of becoming. This means that we have achieved what we consider to be our very best.  Maslow believed that the lower needs (physiology and safety etc) needed to be at least partially covered before the higher needs (such as ego and self actualisation) could be activated (In fact Maslow believed that these two higher needs are very rarely satisfied in anyone). He believed that once one set of needs was at least partly satisfied people would begin to be motivated by needs from the next category. An example which might be used here is a shift in the emphasis of the union movement in Australia from wages and working hours to now emphasising issues such as job security, industrial health and other security issues. There is also a move away from unsatisfying specialisation to a team or group work system which gives workers more responsibility and hence more satisfaction. Informal groups such as sporting or friendship groups are also often encouraged in the work environment. Can you see what needs this is addressing?

Maslow also believed that people were often motivated by more than one set of needs at a time and that they place varying importance on different needs. This means that someone could be motivated by their basic need for food, shelter and comfort but may override these needs by refusing to do a job which contradicts their personal values. Their self-esteem (which is an ego need) was the dominant one. As our circumstances change the needs that we consider to be the most important to us can change too. If the physiological needs are neglected for too long we may starve or become ill. These needs may then become the dominant ones and the job taken even though it conflicts with a person's values.

In Australia as an affluent or wealthy country, most peoples lower needs are satisfied and so we are not really motivated by them because we already have them. We are fairly safe and have enough to eat so we are more often motivated by higher needs. Maslow suggests that once we have activated these higher needs we often view

them as more important than the lower needs. as an example of this an employer might wonder why a job which is secure and has a good superannuation package as its main attraction does not attract applicants. It may be that the sort of person that the employer wants for the job is more attracted by the ego needs such as independence and sense of achievement in a job and considers that it is worth the risk of an insecure job environment

ERG theoryThe ERG theory is an extension of Maslow's hierarchy of needs. Alderfer

suggested that needs could be classified into three categories, rather than five. These three types of needs are existence, relatedness, and growth. Existence needs are similar to Maslow's physiological and safety need categories. Relatedness needs involve interpersonal relationships and are comparable to aspects of Maslow's belongingness and esteem needs. Growth needs are those related to the attainment of one's potential and are associated with Maslow's esteem and self-actualization needs.

The ERG theory differs from the hierarchy of needs in that it does not suggest that lower-level needs must be completely satisfied before upper-level needs become motivational. ERG theory also suggests that if an individual is continually unable to meet upper-level needs that the person will regress and lower-level needs become the major determinants of their motivation. ERG theory's implications for managers are similar to those for the needs hierarchy: managers should focus on meeting employees' existence, relatedness, and growth needs, though without necessarily applying the proviso that, say, job-safety concerns necessarily take precedence over challenging and fulfilling job requirements.

Two Factor TheoryHertzberg believed that people had higher and lower levels of needs. Unlike

Maslow who had five levels of needs Hertzberg has divided human needs into two categories.

Hygiene factors - "environmental factors" such as salary, inter-personal relationships, working conditions, style of leadership and types of supervision, security, type of work, working hours, status. Hygiene factors are so called because they are seen to work like preventative medicine. They stop you from getting sick but do not really do anything to make you the healthiest that you can be, or better than you were. In a management context this means that hygiene factors don't motivate people to do their very best but they are needed to stop people becoming dissatisfied with their jobs.

Motivating factors - factors within a job which allow for such things as achievement, responsibility, recognition, advancement, challenge. Hertzberg suggests that these factors are the ones which encourage people to strive to do well, in other words to motivate them to do their best.

Based on his research, Herzberg argued that meeting the lower-level needs (hygiene factors) of individuals would not motivate them to exert effort, but would only prevent them from being dissatisfied. Only if higher-level needs (motivators) were met would individuals be motivated.

The implication for managers of the motivator-hygiene theory is that meeting employees lower-level needs by improving pay, benefits, safety, and other job-contextual factors will prevent employees from becoming actively dissatisfied but will not motivate them to exert additional effort toward better performance. To motivate workers, according to the theory, managers must focus on changing the intrinsic nature and content of jobs themselves by "enriching" them to increase employees'

autonomy and their opportunities to take on additional responsibility, gain recognition, and develop their skills and careers.

MCCLELLAND'S Learned Needs TheoryMcClelland's theory suggests that individuals learn needs from their culture.

Three of the primary needs in this theory are the need for affiliation (n Aff), the need for power (n Pow), and the need for achievement (n Ach). The need for affiliation is a desire to establish social relationships with others. The need for power reflects a desire to control one's environment and influence others. The need for achievement is a desire to take responsibility, set challenging goals, and obtain performance feedback. The main point of the learned needs theory is that when one of these needs is strong in a person, it has the potential to motivate behavior that leads to its satisfaction. Thus, managers should attempt to develop an understanding of whether and to what degree their employees have one or more of these needs, and the extent to which their jobs can be structured to satisfy them.三、过程型激励理论 MAJOR PROCESS THEORIES

Process (or cognitive) theories of motivation focus on conscious human decision processes as an explanation of motivation. The process theories are concerned with determining how individual behavior is energized, directed, and maintained in the specifically willed and self-directed human cognitive processes. Process theories of motivation are based on early cognitive theories, which posit that behavior is the result of conscious decision-making processes. The major process theories of motivation are expectancy theory, equity theory, goal-setting theory.

EXPECTANCY THEORY.In the early 1960s, Victor Vroom applied concepts of behavioral research

conducted in the 1930s by Kurt Lewin and Edward Tolman directly to work motivation. Basically, Vroom suggested that individuals choose work behaviors that they believe lead to outcomes they value. In deciding how much effort to put into a work behavior, individuals are likely to consider:

Their expectancy, meaning the degree to which they believe that putting forth effort will lead to a given level of performance.

Their instrumentality, or the degree to which they believe that a given level of performance will result in certain outcomes or rewards.

Their valence, which is the extent to which the expected outcomes are attractive or unattractive.

All three of these factors are expected to influence motivation in a multiplicative fashion, so that for an individual to be highly motivated, all three of the components of the expectancy model must be high. And, if even one of these is zero (e.g., instrumentality and valence are high, but expectancy is completely absent), the person will have not motivation for the task. Thus, managers should attempt, to the extent possible, to ensure that their employees believe that increased effort will improve performance and that performance will lead to valued rewards.

In the late 1960s, Porter and Lawler published an extension of the Vroom expectancy model, which is known as the Porter-Lawler expectancy model or simply the Porter-Lawler model. Although the basic premise of the Porter-Lawler model is the same as for Vroom's model, the Porter-Lawler model is more complex in a number of ways. It suggests that increased effort does not automatically lead to improved performance because individuals may not possess the necessary abilities needed to achieve high levels of performance, or because they may have an inadequate or vague perception of how to perform necessary tasks. Without an

understanding of how to direct effort effectively, individuals may exert considerable effort without a corresponding increase in performance.

EQUITY THEORY.Equity theory suggests that individuals engage in social comparison by

comparing their efforts and rewards with those of relevant others. The perception of individuals about the fairness of their rewards relative to others influences their level of motivation. Equity exists when individuals perceive that the ratio of efforts to rewards is the same for them as it is for others to whom they compare themselves. Inequity exists when individuals perceive that the ratio of efforts to rewards is different (usually negatively so) for them than it is for others to whom they compare themselves. There are two types of inequity—under-reward and over-reward. Under-reward occurs when a person believes that she is either puts in more efforts than another, yet receives the same reward, or puts in the same effort as another for a lesser reward. For instance, if an employee works longer hours than her coworker, yet they receive the same salary, the employee would perceive inequity in the form of under-reward. Conversely, with over-reward, a person will feel that his efforts to rewards ratio is higher than another person's, such that he is getting more for putting in the same effort, or getting the same reward even with less effort. While research suggests that under-reward motivates individuals to resolve the inequity, research also indicates that the same is not true for over-reward. Individuals who are over-rewarded often engage in cognitive dissonance, convincing themselves that their efforts and rewards are equal to another's.According to the equity theory, individuals are motivated to reduce perceived inequity. Individuals may attempt to reduce inequity in various ways. A person may change his or her level of effort; an employee who feels under-rewarded is likely to work less hard. A person may also try to change his or her rewards, such as by asking for a raise. Another option is to change the behavior of the reference person, perhaps by encouraging that person to put forth more effort. Finally, a person experiencing inequity may change the reference person and compare him or herself to a different person to assess equity. For managers, equity theory emphasizes the importance of a reward system that is perceived as fair by employees.

GOAL-SETTING THEORY.The goal-setting theory posits that goals are the most important factors affecting

the motivation and behavior of employees. This motivation theory was developed primarily by Edwin Locke and Gary Latham. Goal-setting theory emphasizes the importance of specific and challenging goals in achieving motivated behavior. Specific goals often involve quantitative targets for improvement in a behavior of interest. Research indicates that specific performance goals are much more effective than those in which a person is told to "do your best." Challenging goals are difficult but not impossible to attain. Empirical research supports the proposition that goals that are both specific and challenging are more motivational than vague goals or goals that are relatively easy to achieve.

Several factors may moderate the relationship between specific and challenging goals and high levels of motivation. The first of these factors is goal commitment, which simply means that the more dedicated the individual is to achieving the goal, the more they will be motivated to exert effort toward goal accomplishment. Some research suggests that having employees participate in goal setting will increase their level of goal commitment. A second factor relevant to goal-setting theory is self-efficacy, which is the individual's belief that he or she can successfully complete a

particular task. If individuals have a high degree of self-efficacy, they are likely to respond more positively to specific and challenging goals than if they have a low degree of self-efficacy.

四、行为改造型激励理论 REINFORCEMENT THEORY.This theory can be traced to the work of the pioneering behaviorist B.F. Skinner.

It is considered a motivation theory as well as a learning theory. Reinforcement theory posits that motivated behavior occurs as a result of reinforcers, which are outcomes resulting from the behavior that makes it more likely the behavior will occur again.

This theory suggests that it is not necessary to study needs or cognitive processes to understand motivation, but that it is only necessary to examine the consequences of behavior. Behavior that is reinforced is likely to continue, but behavior that is not rewarded or behavior that is punished is not likely to be repeated. Reinforcement theory suggests to managers that they can improve employees' performance by a process of behavior modification in which they reinforce desired behaviors and punish undesired behaviors.

五、综合型激励理论 Integrative motivation theory Lewin’s Field Theory

Lewin viewed the social environment as a dynamic field which impacted in an interactive way with human consciousness.  Adjust elements of the social environment and particular types of psychological experience predictably ensue.  In turn, the person's psychological state influences the social field or milieu.

Lewin was well known for his terms "life space" and "field theory".  He was perhaps even better known for practical use of his theories in studying group dynamics, solving social problems related to prejudice, and group therapy (t-groups).  Lewin sought to not only describe group life, but to investigate the conditions and forces which bring about change or resist change in groups. 

Person

The life space

Force 3

Force 4

Force 1

Force 2

Goal 1 Goal 2

In the field (or 'matrix') approach, Lewin believed that for change to take place, the total situation has to be taken into account.  If only part of the situation is considered, a misrepresented picture is likely to develop.

For Kurt Lewin behaviour was determined by totality of an individual’s situation. In his field theory, a ‘field’ is defined as ‘the totality of coexisting facts which are conceived of as mutually interdependent’ (Lewin 1951: 240). Individuals were seen to behave differently according to the way in which tensions between perceptions of the self and of the environment were worked through. The whole psychological field, or ‘lifespace’, within which people acted had to be viewed, in order to understand behaviour. Within this individuals and groups could be seen in topological terms (using map-like representations). Individuals participate in a series of life spaces (such as the family, work, school and church), and these were constructed under the influence of various force vectors (Lewin 1952).

Lewin is most renown for his development of the field theory. The field theory is the "proposition that human behavior is the function of both the person and the environment: expressed in symbolic terms, B = f (P, E)." (Deaux 9) This means that one’s behavior is related both to one’s personal characteristics and to the social situation in which one finds oneself.

The field theory may seem obvious to us now, but most early psychologist did not believe in behaviorism. Many psychologists at the time believed in the psychoanalytic theory that held human motives to be blind pushes from within. Lewin thought of motives as goal- directed forces. He believed "that our behavior is purposeful; we live in a psychological reality or life space that includes not only those parts of our physical and social environment that are important to us but also imagined states that do not currently exist" (Tesser 340).

Lewin’s field theory lead to the development of actual field research on human behavior. With boldness, Lewin manipulated complex situational variables in natural settings. His approach has guided experiments in the field of social cognition, social motivation, and group processes. Most importantly Lewin helped develop action research. Action research uses empirical social research, social action, and controlled evaluation.

波特和劳勒的综合激励理论

Value of reward

Effort-reward link

Effort

Abilities and traits

Roleperceptions

Performance

内在报酬

Extrinsicrewards

Perceivedequity

Satisfaction

下篇 人力资源管理的职能PartII The Activities of Human Resource

Management

第七章 工作分析Chp7 Job Analysis

[教学目标] A 知识点掌握工作分析的相关概念、工作说明书的编写、工作分析的方法；

了解工作分析的步骤；了解工作分析中出现的新趋势 B 技能点 掌握如何获取工作分析所需要的信息；会编写工作说明书和工作规范；

能够总结最近在工作分析中出现的新趋势[教学重点] 工作分析的含义；工作分析的步骤；工作分析的方法；工作说明书

和工作规范编写[教学难点] 工作分析的方法；工作说明书和工作规范的编写；实践能力的培养[教学方法] 讲授，多媒体辅助教学，案例讨论[教学课时] 8 学时 The nature of Job Analysis

Concepts: Job Analysis: The procedure for determining the duties and skills

requirements of a job and the kind of person who should be hired for.工作分析就是确定职位的职责以及这些职位任职资格人特征的过程。 Job description: (a list of what the job entails) concentrates on describing

the job as it is currently being performed.有关工作性质和工作要求的书面材料 。What the job is called, what is to be done, where it is to be done and how it is to be done.

Job specification:( what kind of people to hire for the job) concentrates on the characteristics needed to perform the job.工作承担者完成工作所必须具有的能 力 、 教育和经验方面 的 资格。 It describes the competency, education, and experience qualifications the incumbent must possess to perform the job.

主管人员或人力资源专家通常收集以下某一类或几类信息：

Work activities: information about the job’s actual work activities, also including how, why, and when the worker performs each activity.

Human behaviors: Machines, tools, equipment, and work aids. Performance standards Job context: Human requirements

Basic terminology 基本术语 Action: Tasks: Responsibility: Position Headship Job Occupation Profession Career

Uses of Job Analysis information Recruitment and selection: job analysis provides information about

what the job entails and what human characteristics are required to perform these activities. This information, in the form of job descriptions and specifications, helps management decide what sort of people to recruit and hire.

Compensation: Job analysis is crucial for estimating the value of each job and its appropriate compensation. Compensation usually depends on the job’s required skill and education level, safety hazards, degree of responsibility, and so on—all factors you can assess through job analysis. Job analysis provides the information to determine the relative worth of each job- and thus its appropriate class.

Performance appraisal: JA can determine the job’s specific activities and performance standards.

Training: The job analysis should show the activities and skills-and therefore the training- that the job requires.

Discovering Unassigned Duties: Steps in job analysis: Decide how you’ll use the information: this will determine the data you

collect and how you collect them. Review relevant background information.(organization chart; process chart) Select representative positions. Actually analyze the job: by collecting data on job activities, required

employee behaviors, working conditions ,and human traits and abilities needed to performance the job.

Verify the job analysis information with the worker performing the job and with his or her immediate supervisor.

Develop a job description and job specification

Methods of collecting job analysis information The interview Information sources

Individual employees Groups of employees: Supervisors with knowledge of the job

Whichever kind of interview you see, you need to be sure the interviewee fully understands the reason for the interview.

Advantages Quick, direct way to find overlooked information. Get an opportunity to explain the need for and functions of the job

analysis. Disadvantages

Distorted informationInterview can be either structured or unstructured. Unstructured interview have

no definite checklist or preplanned format; the format develops as the interview unfolds. A structured interview follows a predesigned formant. Structured interview have the advantage of ensuring that all pertinent aspects of the job are covered. Also, they make it easier to compare information obtained from different people holding the same job.非结构化的访谈没有确定的提问清单或事先计划好的程序，随着访谈的展开而逐步呈现。结构化访谈遵守一个事先安排好的程序，它具有确保访谈涵盖工作的所有相关方面的优点，也使得对从做相同工作的不同人中得到的信息进行比较更加容易。

Interview Guidelines: The job analyst and supervisor should work together to identify the

workers who know the job best. Quickly establish rapport with the interviewee. Follow a structured guide or checklist, one that lists open-ended

questions and provides space for answers. Ask the worker to list his or her duties in order of importance and

frequency of occurrence. After completing the interview, review and verify the data.

Questionnaires Information source

Have employees fill out questionnaires to describe their job-related duties and responsibilities.

Questionnaire formats Structured checklists: Opened-ended questions: state your main duties

Advantages Quick and efficient way to gather information from large numbers of

employees Disadvantages

Expense and time consumed in preparing and testing the questionnaire

Observation Information source

Observing and noting the physical activities of employees as they go about their jobs.

Advantages Provides first-hand information Reduces distortion of information

Disadvantages Time consuming

Difficulty in capturing entire job cycle Of little use if job involves a high level of mental activity.

Managers often use direct observation and interviewing together: to observe the worker on the job during a complete work cycle; after accumulating as much information as possible, then interview the worker.

Participant Diary/Logs Information source

Workers keep a chronological diary/ log of what they do and the time spent in each activity

Advantages Produces a more complete picture of the job Employee participation

Disadvantages Distortion of information Depends upon employees to accurately recall their activities

Quantitative Job Analysis Techniques The position analysis questionnaire (PAQ)

A structured questionnaire used to collect quantifiable data concerning the duties and responsibilities of various jobs.

The Position Analysis Questionnaire (PAQ) developed by McCormick, Jeanneret, and Mecham (1972) is a structured job analysis instrument to measure job characteristics and relate them to human characteristics. It consists of 194 job elements that represent in a comprehensive manner the domain of human behavior involved in work activities. The items that fall into six categories:

1. Information input (where and how the worker gets information), 2. Mental processes (reasoning and other processes that workers use), 3. Work output (physical activities and tools used on the job), 4. Relationships with other persons, and 5. Job context (the physical and social contexts of work).6. other job characteristics (such as pace and structure) Each job element is rated on six scales: extent of use, importance, time,

possibility of occurrence, applicability, and a special code for certain jobs.Job analysts or supervisors usually complete the position analysis questionnaire.

In some instances managerial, professional, or other white-collar job incumbents fill out the instrument. The reason for such limitations is that the reading requirements of this questionnaire is at the college-graduate level. 著名的“职位分析问卷由美国普渡（Purdue）大学的工业心理学家麦考密克等人设计。该方法无需修改就可用于不同的组织和不同的工作。问卷共计六个部分、194个问题，这 194个问题也称为工作元素，对每一

工作元素用以下六个标准之一进行衡量： 使用程度；对工作的重要程度；工作所需的时间；发生的概率；适用性；其它对每一标准主要采用五分刻度描述。    对这六个方面的 194个工作元素的定量化描述，来决定一职务在五个方面的性质：沟通、决策、社会责任、熟练工作的绩效、体能活动及相关条件。这五个基本领域是：是否负有决策、沟通、社会方面的责任；是否执行熟练的技能性活动是否伴随有相应的身体活动；是否操纵设备；是否需要对信息进行加工。

PAQ法工作元素的分类

问卷的六个部分 核心内容 举例 工作元素信息输入 工作中何处得到信息 文字信息 35个思考过程（中间过程）

工作如何处理信息并决策 推理难度 14个工作产出 设备使用、体力活动 使用工具 49个人际关系活动 沟通、联系、监督、协调 指导他人、与公众接

触36个

工作状态和工作内容

物质、生理和社会方面的条件

是否在与他人冲突的环境下工作

19个其它方面 工作的安排、要求、责任等时间安排、职务要求 41个职位分析问卷法的优点在于：它对工作按照六个基本领域进行了等级划分。可以根据决策、熟练性活动、身体活动、设备操纵以及信息加工等特点对于每一项工作分配一个量化的等级分数。然后，可以依据这一信息来确定每一种工作等级或工资等级。职位分析问卷的问题在于：对工作活动的描述过于抽象，对具体工作的安排缺乏指导意义。

The Department of Labor (DOL) procedureA standardized method by which different jobs can be quantitatively

rated, classified, and compared.A set of basic activities called worker function describes what a worker

can do with respect to data, people, and things.

Note also that each worker function gets an importance level. In practice, you would analyze each task that the worker performed in terms of data, people, and things. The highest combination would be used to identify the job. You can group together all jobs with similar scores, even for very different jobs like job dough mixer and mechanic’s helper.

Functional job analysisDifferent from DOL in two ways: FJA rates the job not just on data, people, and things, but also on four more

dimension: The extent to which specific instructions are necessary to perform the

Data People Things0 Synthesizing 0 Mentoring 0 Setting up1 Coordinating 1 Negotiating 1 Precision working2 Analyzing 2 Instructing 2 Operating/controlling3 Compiling 3 Supervising 3 Driving/operating

Basic 4 Computing 4 Diverting 4 ManipulatingActivities 5 Copying 5 Persuading 5 Tending

6 Comparing 6 Speaking/signaling 6 Feeding/offbearing7 Serving 7 Handling8 Taking instruction/helping

task The extent to which reasoning and judgment are required to perform the

task The mathematical ability required to perform the task The verbal and language facilities required to perform the task.

FJA also identifies performance standards and training requirements.

Fleishman Job Analysis Survey(F-JAS) is a widely researched and recognized multi-rater approach to job

analysis that provides the information needed to make scientifically sound and legally defensible personnel decisions. It brings together a broad range of job abilities that have been identified through extensive research on human performance capabilities and cover the cognitive, psychomotor, physical, sensory-perceptual, and social-interpersonal requirements of work.

The F-JAS consists of a series of “behaviorally anchored” 7-point rating scales that allow those familiar with the job’s tasks to rate the level of each ability required to perform it. Completed by a panel of Subject Matter Experts, each survey can accommodate up to 25 raters. The special features of these rating scales include the precise nature of the ability definitions and examples of job tasks that require different levels of that ability.核心：专门分析工作对人的能力提出的要求该方法把能力定义为引起个体绩效差异的持久性的个人特征。通过建立 52

种能力分类， 充分代表与工作有关的各种能力，包括认知能力、精神运动能力、身体能力及感觉能力等。对 52个能力因素采用 7 分刻度衡量，由专家指出每一个尺度图中的哪一个点数能够最恰当地代表某一特定工作所需要的能力水平。

Critical Incidents TechniqueCritical incident technique is a method of gathering facts (incidents) from domain

experts or less experienced users of the existing system to gain knowledge of how to improve the performance of the individuals involved.

The critical incident technique (CIT) is used to look for the cause of human-system (or product) problems to minimize loss to person, property, money or data. The investigator looks for information on the performance of activities (e.g. tasks in the workplace) and the user-system interface. Both operators and records (e.g. documented events or recorded telephone calls) can provide such information. The investigator may focus on a particular incident or set of incidents which caused serious loss. Critical events are recorded and stored in a database or on a spreadsheet. Analysis may show how clusters of difficulties are related to a certain aspect of the system or human practice. Investigators then develop possible explanations for the source of the difficulty.

Outcomes and Deliverables The method generates a list of good and bad behaviors which can then be used

for performance appraisal. Benefits, Advantages and Disadvantages

Benefits CIT identifies possible sources of serious user-system or product difficulties. The

recommendations for improvement try to eliminate the potential for the same situation to result in similar loss. However only actual use demonstrating that the product no longer induces the problem ensures that it is currently safe.

Advantages Flexible method that can be used to improve multi-user systems. Focuses on important issues e.g. safety critical events, so may bring major

benefits. The CIT is useful for identifying rare events that might not be picked up by

other methods that focus on common or everyday events. Can be applied using questionnaires or interviews. Useful when problems occur but the cause and severity are not known.

Disadvantages It focuses on critical incidents therefore:

routine incidents may not be reported it is poor as a tool for general task analysis

The method can be used in situations where you cannot observe behavior because of hazards, security, or privacy

Since critical incidents often rely on memory, incidents may be distorted or even forgotten if the incident is collected long after an event.

Write Job DescriptionsA job description is a written statement of what the worker actually does, how he

or she does it, and what the job’s working conditions are.There is no standard format for writing a job description. However, most

descriptions contain sections that cover: Job identification: Job identification contains several types of information

The job title specifies the name of the job The FLSA status section permits quick identification of the job as exempt

or nonexempt. Data is the data the job description was actually written Prepared by indicates who wrote the job description. Approved by indicates who approved the description. The location of the job Immediate supervisor’ title Information regarding salary and/or pay scale. Grade/level of the job

Job summary: the job summary should describe the general nature of the job, and includes only its major function or activities.

Include general statement like “perform other assignment as required” with care.

Relationship: shows the jobholder’s relationship with others inside and outside the organization

Responsibilities and duties: This list each of the job’s duties separately, and describe it in a few sentences

Authority of incumbent: This section should also define the limits of the jobholder’s authority, including his or her decision-making authority, direct supervision of other personnel, and budgetary limitations.

Standards of performance: This lists the standards the employee is expected to achieve under each of the job description’s main duties and responsibilities.

Working conditions: These might include things like noise level, hazardous conditions, or heat.

Job specifications

Writing Job Specification

The job specification takes the job description and answers the question, “What human traits and experience are required to do this job well?” It shows what kind of person to recruit and for what qualities that person should be tested. The job specification may be a section of the job description or a separate document entirely.

Specifications for trained personnelFocus on traits like length of previous service, quality of relevant training, and

previous job performance.Specifications for untrained personnelFocus on physical traits, personality, interests, or sensory skills that imply some

potential for performing or for being trained to do the job.Specifications Based on Judgment

Self-created judgments (common sense) List of competencies in Web-based job descriptions O*NET online Standard Occupational Classification

Specifications Based on Statistical AnalysisAttempts to determine statistically the relationship between a predictor or human

trait and an indicator or criterion of job effectiveness.The procedure has five steps:

Analyze the job and decide how to measure job performance Select personal traits that you believe should predict successful

performance Test candidates for these traits Measure these candidates’ subsequent job performance Statistically analyze the relationship between the human trait and job

performance Your objective is to determine whether the former predicts the latter.

第八章 人力资源规划CHP8 Human resource planning

人力资源是组织发展中须合理配置和有效利用的宝贵资源。人力资源的合理配置和有效利用依靠科学的人力资源规划。在人力资源管理中，科学的人力资源规划，能使组织对未来的人力资源供求关系做出预测，有利于充分利用现有人力资源，进而促进组织发展目标的实现。[教学目标] A 知识点

重点掌握人力资源规划的含义、人力资源需求和供给的预测及方法、以及人力资源供需的平衡；理解人力资源规划与人力资源管理其他职能的关系、了解人力资源规划的分类和人力资源规划的程序

B 技能点 掌握专业词汇、能针对人力资源供给与需求的不平衡制定相应的解决

方案

[教学重点] 人力资源规划的含义、内容、作用和程序；人力资源的需求、供给预测及方法；

[教学难点] 人力资源规划的基本方法[教学方法] 双语教学，多媒体辅助教学[教学课时] 8 学时

第一节 人力资源规划概述 Chp8.1 Introduction to Human Resource Planning一、人力资源规划的含义

加里·德斯勒：The process of deciding what positions the firm will have to fill, and how to fill them。确定企业将要为哪些职位补充人员以及如何为他们补充人员的过程。

斯科特·斯内尔 Human resource planning (HRP) is the process of anticipating and making provision for the movement of people into, within, and out of an organization.概念要点： The first challenge of HRP is to translate the organization’s plans and objectives

into a timed schedule of employee requirements. HRP is the system of matching the supply of people-internally-and externally-

with the openings the organization expects to have over a given time frame. HRP is the process of getting the right number of qualified people into the right

job at the right time.

Linking the Processes of HRP and Strategic Planning

Ensuring the Fit between HR and Strategy External Fit (or External Alignment)

Clarify performance expectations and future management methods:

values, guiding principles business mission objectives and priorities resource allocations

Identify people-related

business issues

Define HR strategies,objectives, and

action plans

Implement HRprocesses, policies

and practices

Implement processes toachieve desired results:

business goals company strengths/weaknesses external opportunities/threats source of competitive advantage

Establish the context:

business goals company strengths/weaknesses external opportunities/threats source of competitive advantage

Strategic Analysis

StrategyFormulation

Strategy Implementatio

n

Focuses on the connection between the business objectives and the major initiatives in HR.

Internal Fit (or Internal Alignment) Aligning HR practices with one another to establish a configuration that is mutually reinforcing.

Purpose of HRP HRP’s purpose is the effective deployment of human resources through:

Anticipating organizational labor supply and demand. Providing expanded employment opportunities Guiding the development and training the workforce.

第二节 人力资源需求预测CHP8.2 Forecasting demand of employees

Managers follow a systematic process, or model, when undertaking HRP, as shown in Figure 8.3.The three key elements of the process are forecasting the demand for labor, performing a supply analysis, and balancing supply and demand consideration. Careful attention to each factor will help top managers and supervisors meet their staffing requirements.

人力资源需求的预测（Forecasting demand of employees）A key component of HRP is forecasting the number and type of people needed to

meet organizational objectives. A variety of organizational factors, including competitive strategy, technology, structure, and productivity, can influence the

FORECASTING DEMANDFORECASTING DEMAND

ConsiderationsConsiderations Product/service demandProduct/service demand TechnologyTechnology Financial resourcesFinancial resources Absenteeism/turnoverAbsenteeism/turnover Organizational growthOrganizational growth Management philosophManagement philosophyy

TechniquesTechniques Trend analysisTrend analysis Managerial estimatesManagerial estimates Delphi techniqueDelphi technique

TechniquesTechniques Staffing tablesStaffing tables Markov analysisMarkov analysis Skills inventoriesSkills inventories Management inventoriesManagement inventories Replacement chartsReplacement charts Succession PlanningSuccession Planning

External ConsiderationsExternal Considerations Demographic changesDemographic changes Education of the workforceEducation of the workforce Labor MobilityLabor Mobility Government policiesGovernment policies Unemployment rateUnemployment rate

FORECASTING SUPPLYFORECASTING SUPPLY

(Shortage) (Shortage) RecruitmentRecruitment

Full-timeFull-time Part-timePart-time RecallsRecalls

(Surplus) (Surplus) ReductionsReductions

LayoffsLayoffs TerminationsTerminations DemotionsDemotions RetirementsRetirements

BALANCING BALANCING SUPPLY AND DEMANDSUPPLY AND DEMAND

demand人力资源规划的一个基本组成部分是预测符合组织目标需要的人员数量和人员类型。许多影响组织的因素，包括竞争战略、技术发展、组织结构和生产效率都会影响人力资源的需求。

There are two approaches to HR forecasting: quantitative and qualitative. When concentrating on human resources needs, forecasting is primarily quantitative in nature, large organizations and is accomplished by highly trained specialist. Quantitative approaches to forecasting can employ sophisticated analytical models, although forecasting may be informal as having one person who knows the organization anticipate future HR requirements. Organizational demands will ultimately determine which technique is used. Regardless of the method, however, forecasting should not be neglected, even in relatively small organization.有两种人力资源预测的方法：定量分析法和定性分析法。当企业注重人力资源需求时，在正式的和大规模企业中，预测主要是通过训练有素的专家来完成的。定量分析还可以使用已经成熟的分析模型来进行。组织的需求最终决定哪种技术应该被采用。不论哪种方法，实际上，预测方法都不应被忽视，特别实在规模相对小的企业中。

（一） 定量分析方法 Quantitative ApproachesQuantitative approaches to forecasting involve the use of statistical or

mathematical technique; they are the approaches used by theoreticians and professional planners. 定量分析的预测方法需要使用统计和数学技术，主要由精通理论和专业的计划者来进行。

趋势预测法。（Trend analysis）“With the past, we can see trajectories into the future - both catastrophic and

creative projections." -----John Ralston Saul

The Trend Analysis module allows you to plot aggregated response data over time. This is especially valuable, if you are conducting a long running survey and would like to measure differences in perception and responses over time.

预测步骤：①收集企业在过去几年内人员数量的数据 ②根据这些数据做图，用数学方法进行修正，使其成为平滑曲线 ③将这条曲线延长就可以看出未来的变化趋势本教材采用的是最小平方法所建立的直线方程模型。

『例题』某企业过去 8 年人员的数据如下表，预测今后第二年和第四年人力资源的需求是多少。

年度 1 2 3 4 5 6 7 8

人数 450 455 465 480 485 490 510 525

假设人数变量是 Y，年度变量是 X，

其中，根据最小平方法的要求,

表示：每过 1 年，企业的人力资源需求数要增加 10.476, 取整数 11

则，8某公司过去 年的人员数量

1 23

4 5 6

78

年度1

23

4

67

5

400

420

440

460

480

500

520

540

560

580

600

年度

人数

趋势图

（二）定性分析法（Qualitative analysis）In contrast to quantitative approaches, qualitative approaches to forecasting are

less statistical, attempting to reconcile the interests, abilities, and aspirations of individual employees with the current and future staffing need of an organization.与定量化分析法相比，定性的预测分析较少使用统计数据，而是试图将组织目前和未来员工需要与员工的兴趣、能力和热情进行协调。

1 主观判断法。（Management forecasts）Management forecasts are the opinions (judgments) of supervisors, department

managers, experts, or others knowledgeable about the organization’s future employment needs.主观判断法是由主管、直线经理、专家或其它了解组织未来雇佣需要的人提出意见或判断的一种方法。

2 德尔菲法。（Delphi technique）

PURPOSEThe purpose of the Delphi technique is to elicit information and judgments

from participants to facilitate problem-solving, planning, and decision-making. It does so without physically assembling the contributors. Instead, information is exchanged via mail, FAX, or email. This technique is designed to take advantage of participants’ creativity as well as the facilitating effects of group involvement and interaction. It is structured to capitalize on the merits of group problem-solving and minimize the liabilities of group problem-solving.

REQUIREMENTSThe Delphi technique requires a Coordinator to organize requests for

information, information received, and to be responsible for communication with the participants. The Delphi technique requires an efficient communication channel to link the Coordinator with each of the participants. It is common to use the U.S. mail for this purpose, but FAXes and email can decrease the time required for completing a Delphi technique. Elapsed time from beginning to end of the process averages 44 days using the U.S. mail and as little as five days using email. Nevertheless, the Coordinator’s job can take substantial time. Recent experience suggests that coordination of the Delphi technique using email with 20 participants and the processing of three questionnaires could utilize 30-40 hours of the Coordinator’s time.

PROCESS

1. Identify the issue and solicit ideas. For example: What action could be taken to provide faster response to patient

inquiries between visits?Prepare and send the first questionnaire, which asks each participant to

engage in individual brainstorming so as to generate as many ideas as possible for dealing with the issue.

2. Response to first questionnaire.

提交提交 反馈反馈 修改修改 提交提交 反馈反馈 修改修改 提交提交 反馈反馈 批准批准

第一轮第一轮第二轮第二轮 第三轮第三轮

通 过 反 复 的 反 馈 与 修改 缩 短 经 营 计 划 与 公司 总 体 财 务 预 算 的 差距。

提交：经营计划、编制、人力成本提交：经营计划、编制、人力成本反馈：优／缺点、建议、意见反馈：优／缺点、建议、意见修改：经营计划、财务预算修改：经营计划、财务预算

Each participant lists his/her ideas (Questionnaire #1) in a brief, concise manner and returns the list anonymously to the Coordinator. These ideas need not be fully developed. In fact, it is preferable to have each idea expressed in one brief sentence or phrase. No attempt should be made to evaluate or justify these ideas at this point in time.

3. Create and send Questionnaire #2. The Coordinator prepares and sends a second questionnaire to participants that contains all of the ideas sent in response to the first questionnaire and provides space for participants to refine each idea, to comment on each idea’s strengths and weaknesses for addressing the issue, and to identify new ideas.

4. Response to second questionnaire. Participants anonymously record their responses to Questionnaire #2 and return them to the Coordinator.

5. Create and send Questionnaire #3. The Coordinator creates and

sends a third questionnaire that summarizes the input from the previous step and asks for additional clarifications, strengths, weaknesses, and new ideas.

6. Continuation of the process. If desired, the Coordinator performs

iterations of the preceding process until it becomes clear that no new ideas are emerging and that all strengths, weakness, and opinions have been identified.

7. Resolution. Resolution may occur in one of two ways. • If dominant, highly evaluated ideas emerge via consensus, the exercise is declared finished. The end product is a list of ideas with their concomitant strengths and weaknesses.

• The Coordinator conducts a formal assessment of the group’s opinions of the merits of the ideas. There are a number of ways to conduct a formal evaluation. In one method, the Coordinator prepares a questionnaire that lists all the ideas and asks participants to rate each one on a scale. For example, a 7-point scale could be used that ranges from 0 (no potential for dealing with the issue) through 7 (very high potential for dealing with the issue). If this approach is used, participants send the rating forms to the Coordinator, who compiles the results and rank-orders the ideas based on the evaluations. A second approach for evaluating the ideas is that which is used in the Nominal Group Technique for "voting." With this approach, the Coordinator asks each member to identify the top five ideas and assign five points to the most promising idea, 4 points to the next most promising, and 3, 2, and 1 points to the third, fourth, and fifth-best ideas. These votes are returned to the Coordinator, who tallies the results and prepares a report. The report notes the rank order of the ideas based on the total number of points received and indicates the number of people who voted for each idea.

二、人力资源供给的预测 Factors impacting the supply of outside candidates

General economic conditions Labor Markets Expected unemployment rate attraction of enterprise

Attitude toward job

人力资源的供给预测就是指对在未来某一特定时期内能够供给企业的人力资源的数量、质量以及结构进行估计。人力资源的供给包括内部供给和外部供给两个来源。

（一） 人力资源供给的分析相对内部供给来说，企业对外部人力资源供给的可控性是比较差的，因此

人力资源供给的预测主要是侧重于内部的供给。1 外部供给的分析对影响供给的因素进行判断，从而对外部供给的有效性和变化趋势作出预

测。影响外部供给的因素主要有：外部劳动力市场状况、 人们的就业意识 企业的吸引力2内部供给分析主要是对现有人力资源的存量及其在未来的变化情况做出判断。

（1） 现有人力资源的分析人力资源自身的自然变化（退休、生育），主要是对年龄、性别、身体状况等

等进行分析。（2） 人员流动的分析（重要前提假定：人员的质量不发生变化）

①人员由企业流出：由企业流出的人员数量就形成了内部人力资源供给减少的数量

② 人员在企业内部流动：有可能对内部供给结构造成影响；除分析实际的流动外，还要分析可能的流动

主要的依据：绩效考核对员工工作业绩、工作能力的评价结果 ③人员的质量分析（重要假定： 人员没有发生流动） 生产率高、内部的人力资源供给相应增加

质量的变动主要表现为生产效率的变化。 生产率低、内部的人力资源供给

相应减少显性原因： 隐形原因：如工资的增加 加班加点技能的培训 工作分享、缩短工作时间

如果多个因素同时作用，产生的结果可能会有所不同。（三）人力资源供给预测的方法1 Skill Inventories

Files of personnel education, experience, interests, skills, etc., that allow

managers to quickly match job openings with employee backgrounds

2 人员替换对企业现有人员的状况做出评价，然后对他们晋升或者调动的可能性做出

判断，以此来预测企业潜在的内部供给，这样档某一职位出现空缺时，就可以及时进行补充。要对人员的替换信息进行及时更新。

Personnel replacement charts Company records showing present performance and promotability of inside

candidates for the most important positions.Listings of current jobholders and persons who are potential replacements if an

opening occurs.

3 人力资源水池模型人力资源水池模型是在预测企业内部人员流动的基础上来预测人力资源的

内部供给，它从职位出发进行分析，预测的是未来某一时间现实的供给。与人员替换中，从员工出发来预测潜在供给是不同的。

（1）分析每一层次职位的人员流动情况未来供给量＝现有的人员数量＋流入人员的数量—流出人员的数量

(2) 分析所有层次职位的人员流动，并合并在一张图中。

现有员工 30 人 流出 15

人流入 9人

未来的内部供给24 人

某部门的人员替换

4 马尔科夫（Markov）模型马尔科夫模型是用来预测等时间间隔点上（一般为 1 年）各类人员分布状

况的一种动态预测技术。Markov analysis shows the percentage(and actual number) of employees who

remain in each job from one year to the next, as well as the proportions of those who are promoted, demoted, transferred, or exit the organization.模型要求：在给定时期内，各类人员都有规律的由低一级向高一级职位转移，转移率是一个固定的比率，或者可以根据组织职位转移变化的历史分析推算。

基本思想：找出过去人力资源流动的规律来预测未来人力资源供给的情况。基本表达式

式中：k――职位类数； ――t 时刻 i类人员数

――人员从 j类向 i类的转移率――在时间（t-1，t）内 i类所补充的人员数

人员转移率可以根据下列公式计算出来，并可用转移矩阵给出或列表给出：

人员转移率的转移矩阵如下所示：

例题 1：假设某企业有四类职位，从高到低依次是 A,B,C,D,各类人员的分布情

调 入 6人

现有30人 调出和离职10人 未来供给28人

调入10人 现有40人 调出和离职5人 未来供给47人

调 入 6人 现有50人 调出和离职12人 未来供给40人

晋升5人

降职3人

降职3人

降职4人

内 部供 给总 量115人晋

升8人

某类人员的转移率（ p ）=

本类人员原有数量转移出本类人员数量

况如下表，请预测一下未来人员的分布。职位 A B C D

人数 40 80 100 150

确定转移率：T 年 A B C D 离职率合计

A 0．9 0．1B 0．1 0．7 0．2C 0．1 0．75 0．05 0．1D 0．2 0．6 0．2

第二年的职位供给量：T＋1 年 期初人数 A B C D 离职率合计

A 40 36 4B 80 8 56 16C 100 10 75 5 10D 150 30 90 30预测的供给 44 66 105 95 60

例题 2：已知三类人员的转移矩阵和现在三类人员分布状况，如果每年向第一类补充 80 人，求未来人力资源供给分布状况。

现在三类人员分布状况（2000 年）类别 总数

A B Ct =0,2006 年 140 100 60 300

三类人员的转移矩阵为：解：（1）已知人员转移率 p，t＝0 时人员分布情况，每年向 A类补充人数

80 人 （2）根据马尔可夫计算公式： 可知，某类人员在 t 时刻的供给量 N＝该类人员总数×留存率＋补充人数.

其中，补充人数=下类人员总数×晋升率＋该类招聘人数＋上类人员总数×降职率

（3）列表预测 2007－2010 年三类人员供给情况：时间 类别 总数A B C补充＋存留 晋升＋存留 晋升＋存留t =0, 140 100 60 300t =1, 80+140×0.6=164 140×0.3+100×0.4=82 100×0.3+60×0.6=66 312t =2, 80+164×0.6=178 164×0.3+82×0.4=82 82×0.3+66×0.6=64 324t =3, 80+178×0.6=187 178×0.3+82×0.4=86 82×0.3+64×0.6=63 336t =4, 80+187×0.6=192 187×0.3+86×0.4=91 86×0.3+63×0.6=64 347

三、人力资源供需的平衡企业人力资源供给和需求预测的比较，一般会有以下几种结果：

①供给和需求在数量、质量以及结构上都基本相等。 ②供给和需求在总量上平衡，但是结构上不匹配。 ③供给大于需求 ④供给小于需求（一）供给和需求总量平衡，结构不匹配

1 进行人员内部的重新配置，包括晋升、调动、降职等2 对人员进行有针对性的培训，使他们能够从事空缺职位的工作3 进行人员置换，释放那些企业不需要的人员，补充企业需要的人员

（二）供给大于需求 Freeze hiring冻结雇佣 Restrict overtime限制超时 Retrain/redeploy重新培训/调动 Switch to part-time employees转成兼职员工 Use unpaid vacations采用无薪休假 Use a shorter workweek采用缩短的工作周 Use pay reductions采用减少工资 Use sabbaticals采用周期性休息 Encourage early retirements鼓励提前退休

（三）供给小于需求 Hire additional workers 雇佣另外的工人 Improve productivity through training 通过培训提高生产力 Use overtime采用超时 Add additional shifts增加另外的班次 Reassign jobs重新分配工作 Use temporary workers 使用短期工人 Improve retention改善留置率 第九章 招聘录用

CHP9 Recruiting and Selecting Employees

[教学目的]After studying this chapter, students should be able to : 1. Define recruitment. 2. Explain the purpose of a personnel requisition form. 3. Describe the advantage and disadvantage of using internal and external methods of recruitment. 4. Explain organization inducements. 5. Outline the steps in the selection process. 6. Describe aptitude, phychomotor, job knowledge, proficiency, interest, personality test and polygraph test. 7. Describe structured and unstructured interviews. 8. Define validity and reliability. 9. Explain predictive validity, concurrent validity, content and construct validity.[教学重点] 1．The meaning of recruitment and selecting 2. Relationship between job analysis, human resource planning and recruitment 3. Process of recruitment and selecting. 4. Effective methods of recruitment and selecting. 5. Validity and reliability.[教学难点]

1． Process of recruitment and selecting.2． Effective methods of recruitment and selecting.

[教学方法] 1 多媒体辅助教学 2 双语教学 3 案例分析与情景模拟[课时安排] 8

CHP9.1 Recruiting Employees一、 招聘的含义

Recruitment involves seeking and attracting a pool of people from which qualified candidates for job vacancies can be chosen.

1 招聘活动的目的是为了吸引人员，而不包括从应聘者中挑选合适的人员。2 招聘活动所要吸引的人员应当是企业需要的人员。3 招聘活动吸引人员的数量应当是适当的。良好的招聘活动必须达到 6R 的基本目标：right time, right source, right cost,

right people, right area, right information.二、 招聘工作的目标 Achieve cost efficiency 实现成本效率 Attract highly qualified candidates 吸引高度符合标准的候选人 Help ensure employee retention 帮助保证员工留置率 Comply with nondiscrimination laws 遵守无歧视法律 Create a more diverse workforce产生更多的多样劳动力

三、招聘与其他人力资源职能的关系

四、招聘工作的程序

(一)确定职位空缺 Identify the job opening企业填补职位空缺的方法有很多，招聘录用只是其中的一种。 Alternatives to Filling Job Openings：

（一） 选择招聘渠道An organization may fill a particular job either with someone already employed

by the organization or with someone from outside. Each of these sources has advantages and disadvantages.

1 Internal recruitmentIf an organization has been effective in recruiting and selecting employees in

the past, one of the best sourcese of talent is its own employees. This has several advantages.

(1) advantages of internal recruitment① The organization should have a good idea of the strengths and weakness of

its employees.组织对自己员工的优缺点比较了解 ② The employees know more about the organization and how it operates. The

likelihood of the employee having inaccurate expectations and /or becoming dissatisfied with the organization is reduced.内部员工更了解组织情况以及组织如何运转。员工对组织抱有不恰当的看

Job analysis Human resource planning

Job description

Recruitment

Selection

Nature and requirements of specific jobs

Number of specific jobs to be filled

Pool of qualified applicants

Sources?How are qualified candidates to be recruitedRecruiters?Inducements?

选择招聘渠道

制定招聘计划

回收应聘资料

评估招聘效果

选择招聘来源和方法

确定职位空缺

Overtime 加班Job elimination 废除职位Job redesign 重新分配工作

法或者不满意组织的几率就会大大降低。③ Internal recruitment can have a significant, positive effect on employee

motivation and morale when it creates promotion opportunities or prevents layoffs.内部招募可以创造晋升的机会和防止解雇，从而对员工的工作动机和士气产生重大的、积极的影响。

④ Full use of the abilities of the organization’s employees improve the organization’s return on its investment.充分利用现有员工的能力可以提高组织的投资回报。

⑤Performance evaluations of employees are available.员工的绩效评价是可得的。(2) disadvantages of internal recruitment① Infighting for promotions can become overly intense and have a negative

effect on the morale and performance of people who are not promoted.内部提升将会引起异常激烈的明争暗斗，并对员工的士气和未被晋升员工的工作表现产生消极的影响。

② Another danger involves the inbreeding of ideas.另一个危险涉及到思想的近亲繁殖。2 External recruitment(1) advantages of external recruitment①One inherent advantage is that the pool of talent is much larger than that

available from internal recruitment.外部招募的一个根本优点是能找到的人才比内部招募多得多。② Another advantage is that employees hired from outside can bring new

insights and perspectives to the organization.另一个优点是从外部雇佣的员工会给组织带来新的见解和观念。③It is often cheaper and easier to hire technical, skilled, or managerial people

from the outside rather than training and developing them internally.从外部雇佣有技术的、熟练的、有管理才能的人，往往要比在内部培训和开发这些人员更便宜并且简单容易。

(2) disadvantages of external recruitment① One disadvantages of external recruitment is that attracting, contacting, and

evaluating potential employees is more difficult.外部招募的一个缺点是吸引、联系和评价一个潜在的雇员是比较困难的。②A second potential disadvantage is that employees hired from the outside

need a longer adjustment or orientation period.外部招募的另一个缺点是外聘员工需要一个比较长的适应期或定位期。③A final problem is that recruitment from outside may cause morale problem

among people within the organization who feel qualified to do the job.外部招募的最后一个缺点是它可能影响内部那些自认为适合该项工作的员工的士气。

（二） 制定招募计划1 招聘的规模招聘的规模就是指企业准备通过招募活动吸引多少数量的应聘者。企业是通

过招聘录用金字塔模型来确定招聘规模的。（阶段、比例）

2 招聘的范围招聘的范围是指企业要在多大的地域范围内进行招聘活动。需要考虑招聘成

本。总原则是在与待聘人员直接相关的劳动力市场上进行招聘。确定范围需要考虑以下两个因素：一是空缺岗位的类型；二是企业当地劳动力市场状况。

3 招聘时间时间流失数据法。（time lapse data, TLD）确定关键决策点的平均时间间隔

需要考虑阶段和每个阶段所用时间。4 招聘预算

（1） 人工费用：公司招聘人员的工资、福利、差旅费、生活补助及加班费（2） 业务费用：通讯费、专业咨询与服务费、广告费、资料费及办公用品费（3） 其他费用：设备折旧费、水电费和物业管理费。

（三） 选择招聘来源和方法1 internal source2 internal recruitment methods(1)Job posting and bidding 工作职位与申请公告

Job posting and bidding is an internal method of recruitment in which notices of available jobs are posted in central locations throughout the organization and employees are given a specified length of time to apply for the available jobs.工作职位与申请公告是一种内部招募方法，它把关于工作空缺的通知在组织的中心地点进行公告，并让员工在给定的时间内申请这些工作。

Normally the job notice specifies the job title, rate of pay, and necessary qualifications.通常工作公告会详细列出工作的名称、工资报酬和必要的任职资格条件。

（2）档案记录法3 external source学校、竞争者和其他公司、失业者、 老年群体、军人、自我雇佣者

4 external recruitment methods（1） job advertisingHelp-wanted ads are commonly placed in daily newspaper and in trade and

professional publications. Other, less frequently used media for advertising include radio, television, and billboards.出在现在的日报、流行或专业出版物及广播电视上的招募广告。

AIDA原则。(2) 外出招聘

（3）Employment agenciesHeadhunter(executive search firm)seeks candidates for high-level poison. The fees of employment agencies are paid by the individual or the employing

organization.（4） reference recruitment5 招聘信息的发布广泛、及时、层次、真实、全面Realistic job previews(RJPs) provide complete job information, both positive

and negative, to the job applicant.（四） 回收应聘资料初步筛选，建立备选信息库。（五） 评估招聘效果1 招聘时间2 招聘成本：实际的与预算的比较；招聘单价3 应聘比率4 录用比率

第二节 选拔录用CHP9.2 Selecting employees

一、 选拔录用的含义选拔录用也叫甄选，是指通过运用一定的工具和手段对已经招募到的求职

者、进行鉴别和考察，区分他们的人格特点与知识技能水平、预测他们的未来工作绩效，从而最终挑选出企业所需要的、恰当的职位空缺填补者。

The objective of the selection process is to choose the individual who can successfully perform the job from the pool of qualified candidates.

1 选拔录用应包括两方面的工作，一是评价应聘者的知识、能力和个性；二是预测应聘者未来在企业中的绩效。

2 选拔录用要以空缺职位所要求的任职资格条件为依据来进行。3 选拔录用由人力资源部门和直线部门共同完成。

The importance of selecting the right employees选拔合适员工的重要性Organizational performance always depends in part on subordinates having the

right skills and attributes.你自己的工作绩效总是部分取决于你下属人员的工作绩效

Recruiting and hiring employees is costly.招聘和雇佣需要支付较大的成本代价

The legal implications of incompetent hiring 如果雇佣了不合适的人，还可能带来法律问题（一）选拔测试 1 知识测试 Job knowledge tests

Job knowledge tests measure the job-related knowledge possessed by a job applicant. These tests can be either written or oral. The applicant must answer questions that differentiate experience and skilled workers from less experience and less skilled workers.

2 能力测试 Aptitude tests Aptitude tests measure a person’s capacity or potential ability to learn and

perform a job.（1）智力测试Tests of general intellectual abilities that measure a range of abilities, including

应聘者

评价工 作申请表和简历

选拔测试

面试

审核材料的真实性

体检

试用期考察

正式录用

不符合要求

测试结果不合格

面试不合格

材料不真实

体检不合格

考察不合格

不录取

memory, vocabulary, verbal fluency, and numerical ability韦克斯勒成人智力测验量表：分语言量表（6个分测试）和操作量表（5个分测试）瑞文测试： 非文字测验，试题是一系列彩色或黑白的图形，右下角缺一块

要求被测试者从这些图形的变化中找出规律，然后在下面提供的 6种或 8种小块图形中挑选一块最合适的填补上去，使图形完整。

(2)特殊能力测试 明尼苏达办事 员测试 （ Minnesota clerical test ） 、西肖音乐能 力测试

（Seashore measures of musical）、梅尔美术判断能力测试（Meier art tests）（3）多重能力倾向测试Tests that measure specific mental abilities, such as inductive and deductive

reasoning, verbal comprehension, memory, and numerical ability能力倾向是一种潜在的能力素质，并非已经具有的现实智能水平，它表现韦一个人在一定环境中经过适当学习训练，能够做什么的潜力。主要包括GABT 测试（普通能力成套测试）、PMA测试（基本心理能力测试）和DAT测试（鉴别能力倾向测试）

（4）行政职业能力倾向测试（AAT）（5）创造力测试3 性格和兴趣测试（1）性格测试 personality testPersonality test attempts to measure personality characteristics. These tests are

generally characterized by questionable validity and low reliability and presently have limited use for selection purpose.

①自陈式测试明尼苏达多项人格量表（MMPL）MMPL由 566题组成，其中 16题重复出现，以检测测试者反应的一致性和

做题的态度。加州心理调查表（CPL）、卡特 16种人格因素量表（16PF）、②投射式测试Two of the better-know personality tests are Rorschach inkblot test (罗夏克墨迹

测验)and the Thematic Apperception Test (TAT)（主题统觉测验）。In the Rorschach test, the applicant is shown a series of cards that contain

inkblots of varying sizes and shapes. The applicant is asked to tell what the inkblot look like to him or her. With the TAT, the applicant is shown pictures of real-life situations for interpretation. With both of these methods, the individual is encouraged to report whatever immediately comes to mind.

(2) 兴趣测试 interest testsInterest tests are designed to determine how a person’s interests compare with

interests of successful people in a specific job. These tests indicate the occupations or areas of work in which the person is most interested. The basic assumption in the use of interest tests is that people are more likely to be successful in jobs they like. The

primary problem with using interest tests for selection purpose is that responses to the questions are not always sincere.斯通－坎贝尔测试。

4 工作样本测试 proficiency testsProficiency tests measure how well the applicant can do a sample of the work to

be performed.5评价中心测试通过情景模拟的方法来对应聘者做出评价。

• The in-basket 文件筐处理• Leaderless group discussion 无领导小组讨论• Management games 管理竞赛• Individual presentations个人演讲• Objective tests客观测试6测试中注意的问题（1） 测试的条件标准。（2） 测试的过程客观。（3） 测试的环境合适。（4） 测试的方法可靠。

（二）面试A procedure designed to obtain information from a person through oral responses

to oral inquiries1 面试的类型：

Types of interviews• Selection interview选拔面试• Appraisal interview评价面试• Exit interview离职面试

Interviews formats • Structured• Unstructured

2 面试的过程五 选拔测试的信度和效度

1 信度 Reliability信度是指测试方法不受随机误差干扰的程度，也就是测试方法得到的测试

结果的稳定性和一致性的程度。The consistency of scores obtained by the same person when retested with the

identical or equivalent tests.

信度的检测方法：再测检验法、平行检验法、半分检验法2 效度效度是指测试方法测量出的所要测量内容的程度。The accuracy with which a test, interview, and so on measures what it purports to

measure or fulfills the function it was designed to fill. Criterion validity 效标效度

• A type of validity based on showing that scores on the test (predictors) are related to job performance (criterion).

Content validity内容效度• A test that is content valid is one that contains a fair sample of the tasks

and skills actually needed for the job in question效度的检测方法：预测检验法、同步检验法、内容检验法。

第十章 培训开发Chp 10 Training and developing employees

[教学目的]After studying this chapter, students should be able to : 1. Define training 2. Describe the needs of assessment. 3. Outline three categories of training objectives.[教学重点] 1.The meaning of training. 2. Relationship between job analysis, human resource planning and training 3. Process of training. 4. Effective methods of training.[教学难点]

3． Process of training.4． Effective methods of training.

[教学方法] 1 多媒体辅助教学 2 双语教学 3 案例分析与情景模拟[课时安排]8

第一节 培训开发概述一 培训开发的含义： The process of teaching new employees the basic skills they need to perform their jobs. 二 培训开发的意义（为什么培训越来越流行？）

Training is more inclusive than it used to be.培训比其以往的内涵更为丰富 Remedial education is necessary.补救性教育是必须的

三 Training and Learning Make the Learning Meaningful使学习变得富有意义

At the start of training, provide a bird’s-eye view of the material to be presented to facilitates learning.在培训开始的时候，给受训者提供一份资料概观。

Use a variety of familiar examples.运用各种熟悉的实例 Organize the information so you can present it logically, and in meaningful

units.将信息组织条理化，以便能按照逻辑顺序和分单元进行介绍 Use terms and concepts that are already familiar to trainees.使用受训者已经熟悉的术语和概念 Use as many visual aids as possible.尽可能运用直观教学

Make Skills Transfer Easy使技能转化变得容易 Maximize the similarity between the training situation and the work situation.

尽量使学习环境与工作环境相似 Provide adequate practice.提供适当的实践机会 Label or identify each feature of the machine and/or step in the process.标明或确定培训过程中所使用的机器或步骤的每一个特征 Direct the trainees’ attention to important aspects of the job.引导受训者注意工作的重要方面 Provide “heads-up” preparatory information that lets trainees know they might

happen back on the job.提供睿智的预备性信息 Motivate the Learner 激发学习者 People learn best by doing.人们在实践中学习效果最好 Trainees learn best when the trainers immediately reinforce correct responses

在培训师及时肯定正确回答时受训者学得最好。 Trainees learn best at their own pace.受训者按其自己确定得时间进度学习时，学习效果最好 Create a perceived training need in the trainees’ minds.创造一种受训者心中感受到的培训需求 The schedule is important too: The learning curve goes down late in the day,

less than full day training is most effective 学习日程安排也很重要

第二节 培训开发的具体实施一 培训前的准备要完成两个方面的准备工作：培训的需求分析（needs assessment）和确保受

训人员做好培训准备。（一） 培训需求分析Needs assessment is a systematic analysis of the specific training activities the

organization requires to achieve its objectives.各种情况都会促使企业做出培训需求分析。培训需要分析的结果是一系列有关决策，目的是解决那些引起培训需要分析的问题，这些决策不一定包括培训项目，因为有些问题应该通过培训之外的方法解决。例子：

1 培训需求分析的思路：寻找压力点麦吉和塞耶模型：通过组织分析、任务分析和人员分析来确定培训的需求。（1）The Organization level  

Business Goals & Objectives & Five year plan

Manpower & succession plans Skills pool inventory for whole organization Turnover, Absentee rates, Attitude surveys, Labor costs, Waste,

Customer complaints （2）The Job Level Job descriptions & specifications Objectives Targets Observation & work sampling Performance Appraisals Questionnaire approaches

(3) The Individual level At this level the aim is to assess actual performance against that

required for the job. 2 培训需求分析的方法：In general, five methods can be used to gather needs assessment information:

interviews, surveys/questionnaires, observations, focus groups, and document examination.

(二) 确保受训人员做好准备。如果员工的学习动力强，他们真正想学习培训项目的内容时，他们能够从

培训项目中学到更多的东西。如果员工相信他们有能力学习，看到从培训项目中获得的潜在受益，明白

自己的培训需要，看到培训和他们的职业目标相适应，并且具备参加该项目的必备基本技能的时候，他们就感到有动力学习。

注意的问题：员工需要与条件限制和社会支持的矛盾。 二、培训的实施

（一）培训项目的规划1 项目目标正式确定培训目标的好处： 建立在明确目标基础之上的培训更有针对性，而且更有可能成功。 当培训人员了解目标之后，他们能够就这些目标与参加培训的员工进行沟通，当雇员了解了培训所要达到的目标后，他们的学习效果更好。

随着项目的进展，明确的目标为衡量培训项目是否成功奠定了基础。有效的培训项目的目标由三个部分组成： 关于雇员要做什么的陈述（绩效和成果） 关于可接受的质量或绩效水平的陈述 关于受训人员应用其所学的条件的陈述（身体条件、精神压力、设

备故障等） 可以衡量的绩效标准 需要哪些资源才能实现想要的绩效或成果

（二） 培训的内容和培训的对象（三） 培训者

内部培训还是外包培训管理（training administration）：与员工沟通、招收员工参加课程和项

目、在课程开始之前准备加工要进行的预备测验或要阅读的材料、安排培训设施测试在教学过程中要使用的设备、在教学过程中提供支持、分发对课程进行评估的材料、 为培训人员和受训者之间的沟通做准备、保存课程完成的记录

（四） 培训的时间及时的满足培训需求并有助于受训人员安心地接受培训，从而保证培训效果。（五） 培训的地点和设施（六） 培训的方法和费用1 培训的方法选择：

（1）在职培训：（OJT）OJT is normally given by a senior employee or a manager. The employee is

shown how to perform the job and allowed to do it under the trainer’s supervision. 学徒培训：（Apprenticeship training） Apprenticeship training provides beginning workers with comprehensive training in the practical and theoretical aspects of work required in a highly skilled occupation. 工作轮换：（Job rotation, or cross training） In job rotation, an individual learns several different jobs within a work unit or department and performs each job for a specified time period.（2）脱产培训（OFFJT） 传授法（classroom training）Classroom training is probably the most familiar training method. It is an

effective means of imparting information quickly to large groups with limited or no knowledge of the subject begin presented.

商业游戏和案例分析Managers are presented with a description of an organizational problem to

diagnose and solve. 情景模拟（simulation）与虚拟现实（virtual reality）Simulated training is a method in which trainees learn on the actual or simulated

equipment they will use on the job, but are actually trained off the job 行为塑造（behavior modeling）

Modeling: showing trainees the right (or “model”) way of doing something.

Role playing: having trainees practice that way Social reinforcement: giving feedback on the trainees’ performance. Transfer of learning: Encouraging trainees apply their skills on the job.

拓展训练（experiential programs） 团队培训（team training）:交叉培训和协调培训 行动学习（action learning）

2 培训费用三 培训成果的转化

1 培训成果转化的三种理论： 同因素理论：培训环境与工作环境完全相同

推广理论：一般原则运用于多种不同的工作环境 认知转化理论：有意义的材料可以增强培训内容的存储和回忆2 培训成果转化的基本条件： 良好的氛围 上级的支持 同事的支持

四 培训的评估和反馈（一）培训评估的标准：柯克帕特里克的四层次评估模型：

Training effects to measure Reaction of trainees to the program

评价受训者对培训计划的反应如何 Learning that actually took place

评价受训者是否学到了预期应当了解的知识 Behavior that changed on the job

评价受训者的工作行为是否由于培训而发生了变化 Results that were achieved as a result of the training

评价培训是否达到了预期的目标（二）培训评估的设计：

1 评估的方法：2 评估的方式： 培训后测试 对受训人员进行培训前后的对比测试

将受训人员与控制组进行培训前后的对比测试

第十一章 绩效管理Chp 11 Performance Management

[教学目的]After studying this chapter, students should be able to : 1. Define performance and performance appraisal. 2. Describe the process of performance management. 3. Outline the means of assessing performance.[教学重点] 1.The meaning of performance and performance appraisal. 2. Potential errors in performance appraisals 3. Process of performance management. 4. Effective methods of performance appraisal[教学难点]

5． Process of performance management.6． Performance appraisal methods.

[教学方法] 1 多媒体辅助教学 2 双语教学 3 案例分析与情景模拟[课时安排] 8

第二节 绩效管理概述一 绩效的含义： （一）绩效的含义

员工在工作过程中所表现出来的与组织目标相关的并且能够被评价的工作业绩、工作能力和工作态度，其中工作业绩就是指工作的结果，工作能力和工作态度则是指工作的行为。

Performance refers to the degree of accomplishment of the tasks that make up an employee’s job. It reflects how well an employee is fulfilling the requirements of a job. Job performance is the net effect of an employee’s effort as modified by abilities and role perceptions.

1 绩效是基于工作而产生的2 绩效要与组织的目标有关3 绩效应该是能够被评价的工作行为和工作结果4 绩效是表现出来的工作行为和工作结果

Determinats of Performance 绩效的决定因素 Effort: the amount of energy an individual uses in performing a task努力是完

成任务时运用的力量 Abilities: personal characteristics used in performing a job 能力是工作时的个性特征

Role perception: the direction in which individuals believe they should channel their efforts on their job 角色认知是个人认为在工作中应努力的方向

（二）绩效的特点1 多因性 knowledge, ability, motivation, environment2 多维性3 变动性

二 绩效管理的含义绩效管理是指制定员工的绩效目标并手机与绩效有关的信息，定期对员工

的绩效目标完成情况做出评价和反馈，以改善员工工作绩效并最终提高企业整体绩效的制度化的过程。

The process employers use to make sure employees are working toward organizational goals

1 绩效管理的内容

绩效考核/绩效评估(performance evaluation/performance appraisal)/绩效评价Performance appraisal is the process of determining and communication to an employee how he or she is performing on the job and, ideally, establishing a plan of improvement.

2 绩效管理的目的：为了改善员工的工作绩效并最终提高企业的整体绩效。3 绩效管理的作用：（1）绩效管理有助于提升企业的绩效。（2）绩效管理有助于保证员工行为和企业目标的一致。

（3）绩效管理有助于提高员工的满意度。（4）绩效管理有助于实现人力资源管理的其他决策的科学合理。Performance management can make administrative decisions relating to

promotions, firings, layoffs, and merit pay increases.4 绩效管理的责任 绩效管理时所有管理者的责任，只是分工不同而已。Performance Appraisal Roles

Supervisors Usually do the actual appraising. Must be familiar with basic appraisal techniques. Must understand and avoid problems that can cripple appraisals. Must know how to conduct appraisals fairly.

HR department Serves a policy-making and advisory role. Provides advice and assistance regarding the appraisal tool to use. Prepares forms and procedures and insists that all departments use

them. Responsible for training supervisors to improve their appraisal skills. Responsible for monitoring the system

绩效计划 绩效沟通

绩效考核绩效反馈

企业绩效大幅度提高

企业绩效有所提高

企业绩效降 低

企业绩效无明显变化

高 低员工工作努力程度

高

低

努力方向与企业目标的一致性

绩效与员工努力程度的关系

5 绩效管理的实施 绩效管理的实施应当贯穿管理者的整个管理过程，在绩效周期结束时对员

工的绩效做出评价只是这一过程的一个总结。三 绩效管理与人力资源管理其他职能的关系

1 与工作分析的关系工作说明书 绩效目标 绩效考核的依据2 与人力资源规划的关系借助绩效管理系统，能够对员工目前的知识和技能水平做出准确的评价，

这不仅可以为人力资源供给质量的预测而且还可以为人力资源需求质量的预测提供有效的信息。

3 与招聘录用的关系4 与培训开发的关系5 与薪酬管理的关系6 与人员调配的关系

第三节 绩效管理的实施过程

一、 准备阶段完成绩效计划的任务，也就是说通过上级和员工的共同讨论，确定出员工

的绩效考核目标和绩效考核周期。（一） 绩效考核目标绩效考核目标是对员工在绩效考核期间的工作任务和工作要求所做的既，

由绩效内容和绩效标准组成。1 绩效内容：界定员工在绩效考核期间应当做什么样的事情（1）绩效项目：绩效的维度，既要从哪些方面来对员工的绩效进行考核。（2）绩效指标：绩效项目的具体内容

绩效指标应当有效：不能缺失和溢出

准备阶段 实施阶段 反馈阶段 运用阶段

绩效指标应该具体 绩效指标应当明确 绩效指标应当具有差异性 绩效指标应当具有变动性

2 绩效标准 绩效标准应当明确

量化的绩效标准应该有三种类型

对于不能量化或者量化成本太高的能力和态度指标，可以给出具体描述

绩效标准应该适度 绩效标准应当可变绩效目标的设计原则：SMART（specific measurable attainable relevant time-based）(二) 绩效考核周期绩效考核周期的确定，要考虑以下几个因素： 职位的性质 指标的性质 标准的性质

二、实施阶段（一） 绩效沟通：

绩效沟通是指在整个考核期内，上级就绩效问题持续不断地与员工进行交流和沟通，给予员工必要的指导和建议，帮助员工实现确定的绩效目标。（二） 绩效考核

绩效考核就是指在考核周期结束时，选择相应的考核主体和考核方法，收集相关的信息，对员工完成的绩效目标的情况做出考核。

1 考核主体的选择——多方评价者评价法（360°反馈法）One currently popular method of performance appraisal is called multi-rater

有效的绩效指标

实际工作内容绩效指标

数值型标准百分比型标准时间型标准

assessment, or 360-degree feedback. With this method, managers, peers, customers, suppliers, or colleagues are asked to complete questionnaires on the employee being assessed. The person assessed also completes a questionnaire. The questionnaires are generally lengthy. Typical questions are: “Are you crisp, clear, and articulate? Abrasive? Spreading yourself too thin?” The human resources department provides the results to the employee, who in turn gets to see how his or her opinion differs from those of the group doing the assessment.应当根据考核指标的性质来选择考核主体。

2 考核方法 比较法Ranking Methods(排序法)When it becomes necessary to compare the performance of two or more

employees, ranking methods can be used. Three of the more commonly used ranking methods are alternation（交替排序法）, paired comparison（成对比较排序法）, and forced distribution（强制分布法）.

Alternation Raking个体排序法 P246

The alternation raking methods lists the names of the employees to be rated on the left side of a sheet of paper. The rater chooses the most valuable employee on the list, cross that name off the left-hand list, and puts it at the top of the column on the right-hand side of the paper. The appraiser then selects and crosses off the name of the least valuable employee from the left-hand column and moves it to the bottom of the right-hand column. The rater repeats this process for all of the names on the left-hand side of the paper. The resulting list of names in the right-hand column gives a raking of the employees from most to least valuable.

Paired Comparison Ranking 配对比较法Paired comparison ranking is best illustrated with an example. Suppose a rater is

to evaluate six employees. The names of these individuals are listed on the left side of a sheet of paper. The evaluator then compares the first employee with the second employee on a chosen performance criterion, such as quantity of work. If he or she believes the first employee has produced more work than the second employee, a check mark is placed by the first employee’s name. The rater then compares the first employee to the third, fourth, fifth, and sixth employee on the same performance criterion, placing a check mark by the name of the employee who produced the most work in each paired comparison. The process is repeated until each employee has been compared to every other employee on all of the chosen performance criteria. The employee with the most check marks is considered to be the best performer. Likewise, the employee with the fewest check marks is the lowest performer. One major problem with the paired comparison method is that it becomes unwieldy when comparing more than five or six employees.

Forced DistributionThe forced-distribution method requires the rater to compare the performance of

employees and place a certain percentage of employees at various performance levels. It assumes the performance level in a group of employees will be distributed according to a bell-shaped, or “normal” curve.

描述法 Essay AppraisalThe essay appraisal method requires that the evaluation describe an employee’s

performance in written narrative form.

关键事件评价法 Critical-Incident AppraisalThe critical-incident appraisal method requires the evaluator to keep a written

record of incidents as they occur. The incidents recorded should involve job behaviors that illustrate both satisfactory and unsatisfactory performance of the employee being rated. As they are recorded over time, the incidents provide a basis for evaluating performance and providing feedback to the employee.关键事件评价法要求评价者对发生的事件作出书面记录。所记录的事件应该是有关说明被评价员工令人满意和令人不满意绩效的工作行为。记录的事件成为评估绩效和员工提供反馈的依据。

量表法 评价量表法：在量表中列出需要考核的绩效指标，将每个指标的标准

区分成不同的等级，每个等级都对应一个分数，根据员工的表现，给每个指标选择一个等级，汇总所有等级的分数，就可以得出员工考核的结果。

行为锚定评价法 Behavioral anchored rating scale method, BARS美国学者史密斯和肯德尔于 1963 年研究提出的一种考核方法。这种方法利

用特定行为锚定量表上不同的点的图形测评方法，在传统的平级量表法的基础上演变而来，是评级量表法与关键事件法的结合。

A behaviorally anchored rating scale consists of a series of five to ten vertical scales—one for each important dimension of performance identified through job analysis.（1）确定行为锚定评价法的步骤：

确定关键事件 初步建立绩效考核要素 重新分配关键事件，确定相应的绩效考核要素 确定各关键事件的考核等级 建立最终的行为锚定评价表Developing a BARS:

Generate critical incidents Develop performance dimensions Reallocate incidents Scale the incidents Develop a final instrument（2）行为锚定评价法的优点 Advantages of using a BARS

考核指标之间的独立性较高 Independent dimensions 考核尺度更加精确A more accurate gauge 具有良好的反馈功能 Feedback（3）行为锚定评价法的缺点 使用的工作类型有限 对正在执行任务的员工进行评价而不是对预期的工作目标进行评价，这在实际操作中往往造成一定的困扰

考核者在尝试从量表中选择一种代表某员工绩效水平的行为时往往会

有困难 行为观察量表 Behavioral observation scale, BOS在考核各个具体的项目时给出一系列有关的有效行为，考核者通过指出员

工表现各种行为的频率来评价他的工作绩效。BOS is similar to a BARS in that they are both based on critical incidents.

However, rather than asking the evaluator to choose the most representative behavioral anchor, a BOS is designed to measure how frequently each of behaviors has been observed.行为观察量表的优缺点：

只适用于行为比较稳定、不太复杂的工作 不同的考核者对量化的维度理解有差异，绩效考核的稳定性可能下降 开发成本高 混合标准测评法Mixed-Standard Scales测评量表中随机排列着包含许多组概念上相容的描述句，用来描述同一考

核项目的高、中、低三个层次，考核者只需指出被考核者的表现是“好于”、“相当于”、还是“劣于”描述句中所叙述的行为即可。

The mixed-standard scale method is a modification of the basic rating-scale method. Rather than evaluating traits according to a single scale, the rater is given three specific descriptions of each trait. These descriptions reflect three levels of performance: superior, average, and inferior. After the three descriptions for each trait are written, they are randomly sequenced to form the mix-standard scale. Supervisors evaluate employee by indicating whether their performance is better than, equal to or worse than the standard for each behavior.它的优点是能鉴别出那些没有逻辑性的考核者。（三） 绩效考核中的误区 Potential errors in performance appraisals

1 halo effect 晕轮效应This occurs when a rater allows a single prominent characteristic of an employee

to influence his or her judgment on each separate item in the performance appraisal. This often results in the employee receiving approximately the same rating on every item.

2 leniency tendency 宽大化倾向Leniency is the grouping of ratings at the positive end instead of spreading them

throughout the performance scale.3 central tendency 居中倾向Central tendency occurs when appraisal statistics indicate that most employees

are appraised as being near the middle of the performance scale.4 recency error 近期效应Recency occurs when evaluations are based on work performed most recently-

generally work performed one to two months prior to evaluation.5 contrast error 对比效应Contrast error occurs when an employee’s evaluation is biased either upward or

downward because of comparison with another employee just previously.evaluated.

6 similar-to-me error 相似性效应Similar-to-me error occurs when appraisers inflate the evaluations of people with

whom they have something in common. 7 Initial impression error 首因效应A rater effect in which an assessor or an evaluator tends to base judgments and

evaluations on early opinions rather than on a complete picture and tends to distort subsequent information to fit the initial opinion

8 logic error－ Non Sequitur逻辑错误－没有推理The first part of the idea does not relate to the other. 9 spill over effect 溢出效应Spill over effect: Allowing past performance appraisal ratings to

unjustly influence current ratings.

  减少或者避免这些错误的措施： approach to overcoming these errors make refinements in the design of appraisal methods improve the skills of raters select proper rater establish perfect performance objective system 三 反馈阶段（feedback）1 绩效反馈应注意的问题（watchful） in time specific problem reason skill of interview should not be dead against employee himself or herself2 factors influencing the appraisal interviews: The more employees are allowed to participate in the appraisal process, the ,more

satisfied they will be with the appraisal interview and with the manager, and the more likely performance improvement objectives are to be accepted and met.

The more a manager uses positive motivational techniques, the more satisfied the employee is likely to be with the appraisal interview and with the manager.

The mutual setting by the manager and employee of specific performance improvement objectives results in more improvement in performance than does a general discussion or criticism.

Discussing and solving problems that may be hampering the employee’s current job performance improve the employee’s performance.

The more thought and preparation both the manager and the employee devote before the appraisal interview, the greater the benefits of the interview.

The more the employee perceives that performance appraisal results are tied to organizational rewards, the more beneficial the interview will be.

四 运用阶段绩效考核结果的运用包括两个层次的内容： 直接根据绩效考核结果做出相关的奖惩决策（工作业绩和工作态度所占的权重应当相对较高）

对绩效考核的结果进行分析，从而为人力资源管理其他职能的实施提

供指导或依据。（工作业绩和工作能力所占的比重相对较高）第十二章 薪酬管理

Chp 12 Compensation Management

[教学目的]After studying this chapter, students should be able to : 1. Define compensation and compensation management

2. Name and briefly discuss the four basic conventional methods of job evaluation. 3. Explain the purpose of wage and salary surveys. 4. Discuss wage and salary curves.[教学重点] 1.The meaning of compensation and compensation managementl. 2. four basic conventional methods of job evaluation 3. wage and salary surveys. 4. wage and salary curves[教学难点]

1.Name and briefly discuss the four basic conventional methods of job evaluation..2.Discuss wage and salary curves..

[教学方法] 1 多媒体辅助教学 2 双语教学 3 案例分析与情景模拟[课时安排] 8

一、薪酬管理的含义1 报酬（rewards）与薪酬（compensation）报酬是员工从企业那里得到的作为个人贡献回报的他认为有价值的各种东

西。Organizational rewards include all types of rewards, both intrinsic and extrinsic,

that are received as a result of employment by the organization.薪酬是员工从企业那里得到的各种直接的和间接的经济收入。Compensation refers to all the extrinsic rewards employees receive in exchange

for their work.

薪酬通常包括基本工资或薪金，奖励薪酬， 福利。Compensation is composed of the base wage or salary, any incentives or

bonuses, and any benefit.The basic wage or salary is the hourly, weekly, or monthly pay employees

receive for their wokIncentives are rewards offered in addition to the base wage or salary and are

usually directly related to performance.Benefits are rewards employees receive as a result of their employment and

position with the organization.2 薪酬管理企业在经营战略和发展规划的指导下，综合考虑内外部各种因素的影响，

确定自身的薪酬水平、薪酬结构和薪酬形式，并进行薪酬调查和薪酬控制的整个过程。

报酬Rewards

内在报酬Intrubsic reward

外在报酬extrubsic reward

财务报酬非财务报酬

直接报酬

间接报酬

（1）Corporate Policies, Competitive Strategy, and Compensation公司政策、竞争战略与薪酬

Aligned reward strategy 整体性薪酬战略The employer’s basic task is to create a bundle of rewards—a total reward

package—specifically aimed at eliciting the employee behaviors the firm needs to support and achieve its competitive strategy.组织的根本任务是创建一揽子的报酬方案——如何利用报酬计划引发雇员作出组织所需要的行为

（2）Compensation Policy Issues Pay for performance Pay for seniority The pay cycle Salary increases and promotions Overtime and shift pay Probationary pay Paid and unpaid leaves Paid holidays Salary compression Geographic costs of living differences

企业外部因素

企业内部因素

员工个人因素

国家的法律法规物价水平

劳动力市场的状况其他企业的薪酬状况企业的经营战略企业的发展阶段员工所处的职位员工的绩效表现员工的工作年限

二、影响薪酬管理的主要因素

四、基本薪酬设计的程序

1.Job evaluation 工作评价A systematic comparison done in order to determine the worth of one job relative

to another对各种职位进行正式的、系统的相互比较的过程，通过这一过程可以确定一种职位相当于其他职位的价值，从而最终以此来确定工资或薪资的结构等级。

（1）要素记点法 Point method A quantitative technique that involves:

Identifying the degree to which each compensable factors are present in the job.

Awarding points for each degree of each factor.

发展战略 企业发展阶段 薪酬策略 薪酬水平 薪酬结构类型

性质 薪酬结构以投资促进

发展 合并或迅速发展阶段

以业绩为主 高 于平均水平的

薪酬与高、中等个人绩效奖结合

高弹性 以绩效为导向

保持利润与保护市场

正常发展至成熟阶段

薪酬管理技巧

平均水平的 薪 酬与中等个人、班组或企业 绩 效奖相结合

高弹性 以绩效为导向高稳定 年功工资折衷 以能力为导向、以

工作为导向、组合薪酬

收获利润并向别处投资

无发展阶段或衰退阶段

着重成本控制

低于平均水平水平的 薪 酬 与刺激成 本控制的 适 当奖励相结合

高弹性 以能力为导向、折衷 以工作为导向、组

合薪酬

确定薪酬战略

进行岗位评价 薪酬调

查设计薪资结构

分级、定薪

控制与管理

行业分析企业状况分析

竞争对手分析

评估现行薪资状况

行业薪酬状况

绘制薪酬曲线

确定公司薪酬曲线

人力成本分析

员工满意度分析

工作绩效分析

评价时的参照系 方法的性质非量化的方法 量化的方法

其他的职位既定的尺度

排序法 ranking method

要素比较法 factor comparison

归类法job classification 记点法point method

Calculating a total point value for the job by adding up the corresponding points for each factor.

（2）归类法 Job classification Raters categorize jobs into groups or classes of jobs that are of roughly the

same value for pay purposes. 职位分类法是评价者将工作划分成一个个具有类似薪酬目标的职位群或

职位类。 Classes contain similar jobs.职级中包括类似的工作 Grades are jobs that are similar in difficulty but otherwise different.职

等中包括的工作在完成的困难程度上是类似的，但在其他方面却不同。

1.确定报酬要素

2.确定要素等级

工作责任、工作技能、努力程度、工作条件等

对报酬要素和各个等级的含义作出清晰界定。

3.确定各要素及各要素等级

的点值

1 ）要素点值 = 总 点值 × 本要素权重， 如 500 ×25%=125点2）各等级点值级差=要素点值÷级别，然后等差分成个级别点值。如125 ÷5级=25点，则分别为

10%

20%

25%

权重

技术身体要求

125100755025心理5级4级3级2级1级

4.进行评价

（3）要素比较法 Factor comparison Each job is ranked several times—once for each of several compensable

factors. The rankings for each job are combined into an overall numerical rating for

the job. 要素比较法是比较精确和复杂的岗位评价方法之一。它通过依据不同的

薪酬要素多次对岗位排序，然后再综合考虑每一个岗位的序列等级，并得出一个加权的序列值，最终确定岗位序列。

2 薪酬调查 Salary survey Aimed at determining prevailing wage rates.

A good salary survey provides specific wage rates for specific jobs. Formal written questionnaire surveys are the most comprehensive, but telephone surveys and newspaper ads are also sources of information.

确定岗位类别的数目

定义岗位级别

确定各岗位级别

设定薪酬等级

可分为管理工作类、事务工作类、技术工作类及营销工作类等

对各岗位类别的各个级别进行明确定义。形成标准

将被评价岗位与所设定的等级标准进行比较，将它们定位在合适的岗位类别中合适的级别上

岗位等级对应薪酬等级

确定薪酬要素

选择关键基准岗位

将关键岗位排序

确定岗位工资率

按工资率排序

剔除非关键岗位

确定岗位薪酬等级

使用岗位比较等级

Benchmark job: A job that is used to anchor the employer’s pay scale and around which other jobs are arranged in order of relative worth.（1）

（2）薪酬曲线的建立

确定调查目的整体薪酬水平的调整薪酬差距的调整薪酬晋升政策的调整具体岗位薪酬水平的调整

统计分析调查数据数据排列频率分析回归分析制图

确定调查范围确定调查的企业确定调查的岗位确定调查的数据确定调查的时间段

选择调查方式企业之间相互委托调查委托调查调查公开的信息问卷调查

薪酬市场调查工作程序

3 薪酬等级

100 300 800700600500400200 岗位评价分数

薪酬 市场薪酬趋势线

企业薪酬趋势线

五、薪酬发展的趋势 Compensation trendCompetency-based payWhere the company pays for the employee’s range, depth, and types of skills and

knowledge, rather than for the job title he or she holds. CompetenciesDemonstrable characteristics of a person, including knowledge, skills, and

behaviors, that enable performance. Broadbanding

Consolidating salary grades and ranges into just a few wide levels or “bands,” each of which contains a relatively wide range of jobs and salary levels.

Wide bands provide for more flexibility in assigning workers to different job grades.

Lack of permanence in job responsibilities can be unsettling to new employees.

六、激励薪酬1 个体激励薪酬 Individual Incentive Plans

Piecework Plans– The worker is paid a sum (called a piece rate) for each unit he or she

produces.• Straight piecework: A fixed sum is paid for each unit the

worker produces under an established piece rate standard. An incentive may be paid for exceeding the piece rate standard.

• Standard hour plan: The worker gets a premium equal to the percent by which his or her work performance exceeds the established standard.

2 群体激励薪酬 Organizationwide Variable Pay Plans

1 3 876542 薪酬等级

薪酬

顶薪点

起薪点

顶薪点 =平均薪酬 × （ 1+ 薪幅百分率÷2 ）

起薪点 =平均薪酬 ÷ （ 1+ 薪幅百分率÷2 ）

（1）Profit-sharing plans 利润分享计划– Cash plans

• Employees receive cash shares of the firm’s profits at regular intervals.

– The Lincoln incentive system• Profits are distributed to employees based on their individual

merit rating. – Deferred profit-sharing plans

• A predetermined portion of profits is placed in each employee’s account under a trustee’s supervision.（2）Employee stock ownership plan (ESOP)员工持股

– A corporation annually contributes its own stock—or cash (with a limit of 15% of compensation) to be used to purchase the stock—to a trust established for the employees.

– The trust holds the stock in individual employee accounts and distributes it to employees upon separation from the firm if the employee has worked long enough to earn ownership of the stock.（3）Scanlon plan (Joseph Scanlon, 1937) 斯坎龙计划

– Philosophy of cooperation • No “us” and “them” attitudes that inhibit employees from

developing a sense of ownership in the company.– Identity

• Employees understand the business’s mission and how it operates in terms of customers, prices, and costs.

– Competence• The plan depends a high level of competence from employees

at all levels.– Sharing of benefits formula

• Employees share in 75% of the savings (reduction in payroll expenses divided by total sales).七、福利 benefit

1 福利管理的优点: 对企业：

1获取较好的社会声望2增强企业的凝聚力3 合理避税4 适当缩小薪酬差距

对员工：1获得恒定、可靠的收入2 为养老、疾病等提供可靠保障

2 弹性福利计划 Flexible Benefits Programs（1）The cafeteria (flexible benefits) approach 自助式福利

– Each employee is given a benefits fund budget to spend on the benefits he or she prefers.

• The fund limits the total cost for each benefits package.• Core plus option plans establish a core set of benefits which

are mandatory for all employees.（2）Flexible spending accounts弹性支出帐户– Enable employees to pay for medical and other expenses with pretax

dollars by depositing funds in their accounts from payroll deductions.

福利项目

社会保险福利 用人单位集体福利

基本养老保险

基本医疗保险

工伤保险 住

房性福利

企业补充保险

失业保险 交

通性福利

饮食性福利

教育培训性福利

医疗保健性福利

有薪节假

文化旅游性福利

金融性福利

其他生活性福利

津贴和补贴

经济性福利非经济性福利

咨询性服务

保护性服务

工作环境保护

高差异，高刚性

低差异，高刚性

有的高差异，低刚性有的低差异，高刚性

低差异，高刚性