Organization and Personnel Management 组织和人员管理 Robert Burger, Ph.D., CPA Adjunct Professor, Graduate School of Library and Information Science

Purpose of the CPLA Organization and Management Course课程目标 Like the Budget and Finance course, the purpose of this course is presented in a similar manner. Given the following resources are available to the candidate:如财政预算课程，课程目标永祥死的方式表达出来 The library’s long-range plan (vision, mission, strategic plan).图书馆的长期方案（理念、使命和战略规划） Operating budget.运营预算 Staff and board audit.员工和董事会审计 Programs, services, resources audit.项目、服务资源审计

Purpose (continued)目标 The candidate is expected to: Recruit staff.招募员工 Make hiring decisions.做出雇用决定 Supervise staff.管理指导员工 Evaluate staff’s performance.评估员工绩效表现 Identify staff’s training needs.确定员工的培训需求 Implement training.执行培训

Purpose (continued)目标 Fire or terminate staff.解雇员工 Evaluate the effectiveness of the organizational structure.评估组织结构的有效性 Evaluate personnel policies.评估员工政策 Identify resources for staff.确定员工资源 Secure resources for staff.确保员工资源 The candidate may: Develop staff incentives.开发员工激励机制

Purpose (continued)目标 The criteria to judge the adequacy of the performances are: Personnel policies comply with local, state and federal mandates or requirements.员工政策满足地方、州和联邦法律或要求 Hiring, firing and training decisions are based on staffing needs.聘用、解雇和培训决定的做出基于员工需求 Necessary staff resources are available to support delivery of programs and services.必要的员工资源可用于支持项目和服务

Purpose (continued)目标 Organizational structure is effective and efficient.组织结构有效和高效 Staff get timely feedback so they can self-correct or align performance with library goals员工及时得到反馈所以他们可以自我纠正或者让自己的表现向图书馆目标靠齐 Staff has access to tools and information they need to do their jobs.员工能获得他们工作所需的工具和信息 Staff is trained as required.员工有必要时接受培训

Learning Objectives学习目标 Write effective personnel policies.制定有效的员工政策 List the key legal issues involved in hiring and managing staff.列出雇用和管理员工涉及到的主要法律问题 Describe the benefits and steps in conducting a staff study.描述进行员工研究的好处和步骤 Practice basic conflict resolution skills.练习基本的冲突解决技巧 Write a staff development and training plan that includes the introduction of technology.制定包括引进技术的员工发展和培训计划

Case Study案例研究 Case studies are used as a learning and teaching tool in the courses I teach.案例研究在我讲授的课程中是作为学习和教学的工具 Today you will investigate a case study involving a conflict between and employee, Art and his supervisor, Barbara.今天你会研究一个案例涉及到员工和他上司之间的冲突 In CPLA courses, this is not acted out, but is responded to in writing. In on-campus classes, the students will play the role of each character.在课程中，案例研究不用表演出来，而是用书面形式。在学校课堂上，学生会扮演各个角色

Case Study Explanation案例研究解释 You will form groups of 3 or 4. In each group choose who will be Art, who will be Barbara, and who will be Tiffany. If there is a 4th person, this person will be the observer.3或4人组成一组。每组选一个人扮演Art,一人扮Barbara，一个人是Tiffany。如果有第四人，这个人就当观察者 Once you have chosen who will be whom, come to the front and get your “role.”一旦选定角色，上前拿自己的角色 After reading the general description and your role, attempt to resolve this situation.读完案例后，试图解决这个局面

Explanation (continued)解释 The observer should note how Tiffany is trying to resolve the situation and how Barbara and Art try to have things go their way. 观察者应该注意Tiffany如何试图解决问题以及Barbara和Art如何试图让事情按自己的想法发展 After about 25 minutes, we will reconvene as a group and discuss your observations about the exercise. 25分钟后，我们会重新组成小组讨论观察到的事 This will work better if you really pretend to be your character.如果能更进入角色效果会更好

Case Study Discussion案例研究讨论

Evaluation and Discipline 评估和纪律 For the final part of our session we will look at evaluation of employees and how to discipline or correct them when their behavior does not confirm to expected norms. 我们课程的最后一个部分是对员工的绩效评估以及当他们的行为违规时如何纠正他们。

Performance Evaluation and Discipline in the Workplace绩效评估和工作纪律 Why conduct personnel evaluations为什么要进行员工评估 Prerequisites for optimal personnel evaluations最好的员工评估的先决条件 Factors affecting the personnel evaluation影响员工评估的因素 Central Elements of effective personnel evaluations有效的员工评估的中心要素 Evaluation Methods that can be used可用的评估方法 Questions to be asked about evaluation systems关于评估系统的问题

Outline (continued)大纲 What we have learned about motivation (Dan Pink)关于动力我们学到了什么 How to deal with marginal performance如何应对不佳表现 Types of marginal performance不佳表现的种类 Who is responsible for marginal performance谁要为不佳表现负责 Two approaches to employee discipline员工纪律两种方式 Classic Progressive discipline, process and assumptions经典渐进性惩处，过程和假设 A new approach, e.g. Performance Partnership Program and assumptions新方法，例如绩效合作项目和假设

Why conduct personnel evaluations? 为什么要进行员工评估 Employee: 员工 Understands level of performance necessary to meet job requirements了解符合工作要求的表现水平 Informs him/her about quality of work currently being performed告知员工当前工作的工作质量 Helps employee identify areas of performance that need improvement, and provides guidance on how to improve帮助员工确定需要改进的方面并提供如何改进的指导 Provides opportunity to communicate problems and issues of concern to employer提供与雇主交流问题和关心的问题的机会 Provides recognition for outstanding performance认可优秀的工作表现

Evaluations (continued)评估 Employer: 雇主 Identifies excellent performers确定优秀员工 Identifies poor performers确定表现不佳的员工 Provides documentation in case of challenges to employment decisions资料存档以防员工不满决定 Identifies institutional deficiencies确定制度不足之处 e.g. poor hiring practices, poor supervision, poor training, poor working conditions.例如不好的雇佣，不好的指导，不好的培训，不好的工作条件

Prerequisites for optimal personnel evaluations最好员工评估的先决条件 Written policies and procedures, including how an evaluation can be appealed. This insures consistency and competence in performance of evaluations.书面政策和程序，包括如何对评估进行申诉。这保证了绩效评估的一致性和胜任力。 Written job descriptions – both employer and employee must have a clear idea what activities are pertinent in the rating process.书面职务描述—雇主和雇员都应该对评级过程中相关的行为有清晰的概念

Prerequisites (continued)先决条件 Performance evaluation forms – you can conduct them orally but have a written record that is consistent across the organization绩效评估表格—你可以口头进行评估，但必须有个与组织一致的书面纪录 Training programs for supervisors对主管的培训项目

Factors affecting the personnel evaluation影响员工评估的因素 Credibility of the supervisor: s/he must understand the job being evaluated主管的可信度 Ability of the employee to participate (is it a threat?) or an exchange of views –  developing a sense of ownership员工能否参与（是否是威胁）或者是交流意见和观点—培养主人翁意识 Need mutual setting of performance targets – makes it more effective when this is part of the process需要共同设定工作表现目标—当这是程序的一部分是使其更有效

Factors (continued)因素 Timeliness and frequency depends on purpose – for recording overall performance, then semi-annual or annual are OK, but if counseling for improved performance is demanded, then more frequently时机和频率由目标决定—为纪录整体表现，半年或一年可以，但是如果有咨询提高绩效的需要，可以更频繁 Perceived importance of the review – they must be treated as important by the library for the employee to see them as important.感知到的评价的重要性—图书馆应该重视它们

Central Elements of effective personnel evaluations 有效员工评估的中心要素 Validity – measure what they are intended to measure, so responsibilities must be clearly established so they can be measured.有效性—衡量他们 想要测量的东西，因此必须明确确立职责以供测量 Reliability – ensuring that they are consistent (3 types of consistency) same level over one period evaluated similarly over another period; same level for two individuals should be measured for each; different evaluators should rate similar performances in a similar way可靠度– 保证它们在相似时期评估的一致水平（3种一致性）；每个个人的评估测量必须在相同水平；不同评估人必须以相同方式给相同表现评分

Central Elements (continued) 中心要素 Discrimination – be able to discriminate good performers from poor ones, so must be designed to identify essential functions of a job and measure the adequacy of performance – common defect is central tendency. Propensity of raters to select values on a rating scale near the center. Groups employees artificially near the average. – related defect is to give all employees artificially high scores.区别– 有能力把表现好的员工与表现差的区分开来，因此必须设计为确定一个工作的关键职责以衡量表现的良好与否--常见的缺陷是集中趋势。评分者倾向于选择评定量表靠近中心的价值。雇员集体评分人为地靠近平均值。--相关的不足在于人为地给所有员工高分

Central Elements (continued) 中心要素 Freedom from Bias -- tendency of an evaluator to rank individuals lower than deserved, or to overrate employees because of a personal relationship. 没有偏见的自由—评估者倾向于将个人的排名比起应得 的排的更低，或者因为个人关系过高评价员工 Relevance – deal with job in its entirety and not just part of the job, do not drag in irrelevant factors, e.g., undue weight assigned to relatively minor issues. 关联性– 将工作作为整体而非工作的一部分，不要硬扯进无关因素，比如过度重视相对不重要的问题 Practicality – employee must be able to understand the purpose and procedures of the system. 实用性– 员工必须能够理解系统的目标和程序 Beware of gender bias. 注意性别偏见

Evaluation Methods that can be used 可使用的评估方法 Trait based systems – general characteristics including quality of work, quantity of work, knowledge of the job, attendance and punctuality, dependability, adaptability, initiative, judgment, cooperativeness, and personal qualities such as leadership, honesty, and appearance. These are most likely to be challenged in court, e.g. what does 4 out of 7 in honesty mean? 基于特征的方法– 一般特征包括工作质量，工作量，工作知识，出勤和准时率，可靠性和适应能力，主动性，判断、合作能力、个人品质例如领导能力、诚实正直、外表。这些特征就是最可能被挑战，比如诚实正值中7分得4分意味着什么？

Methods (continued)方法 Trait Based Systems (continued)基于特征的方法 They are quickly administered, but often have rater bias and focus more on characteristics of the employees, rather than characteristics of the job performance so it doesn’t encourage a concentrated discussion on the tasks of the jobs themselves or future goals for the employee.它们能很快管理，但是经常会有评估偏差并且更侧重雇员的特征，而非工作绩效的特征，因此它并不鼓励对工作本身或雇员未来目标的集中讨论。

Methods (continued)方法 Goals or Effectiveness-based systems: better than traits, focuses on performance goals rather than inherent characteristics of the employee. Employees prefer this over trait based. Goals have to be consistent with goals of the organization, so employees must know thed goals of the organization. This system is very time consuming, may not work well in all situations; some may wish goals to be set for them.目标或者基于有效性的系统：比特征好，注重绩效目标而非员工的固有特征。比起基于特征的方法，雇员更喜欢这个。目标必须与组织目标一致，所以雇员必须知道组织的目标。这个系统非常耗时，不能所以情况下都适用良好； 一些人可能希望别人给他们把目标定好了。

Methods (continued)方法 Behaviorially based rating systems基于行为的评估系统 Focus on behavior rather than goals or traits. Supervisor records positive and negative incidents. Negative incidents tend to have greater weight in supervisor’s mind, time consuming. Another method is to identify a set of desired behaviors for the job evaluated (cataloged volumes per week, e.g.) This is clearly job related.比起目标或特征，更注重行为。主管纪录正面和负面的事件。负面事件在主管心中的影响更大，耗时。另一个方法是确认一系列被评估的工作的期望的行为（比如每星期编目的数量）。这很明显是与工作相关的。

Methods (continued)方法 More sophisticated version is BARS (Behaviorially Anchored Rating Scales) Job broken down into essential dimensions. For each dimension specific examples of performance behavior ranging from very poor to outstanding are identified based on job description. Evaluator selects level of behavior that matches employee and assigns designated number of points. Each dimension can also be weighted. Very expensive to develop and carry out. 基于行为的评分更成熟的版本：工作分解为重要的方面。每个方面的绩效行为基于工作描述确定了从差到优秀的细化表现和分数。评估者选择符合员工表现的行为并给出定好的分数。还可以衡量每个方面的比重。是一个开发和执行很昂贵的方法。

Methods (continued)方法 Contingency approach to evaluation systems: 评估系统的应变方法 Evaluation systems should vary according to situation. 评估系统应根据不同情况而变

Questions to be asked about evaluation systems 关于评估系统的问题 Who should conduct them?为什么要实施它们？ What standards and evaluation instruments should be used?为什么要使用到标准和评估工具？ What methods should be used?应该用什么方法？ How should reviews be conducted?为什么要评审？ How should library director be evaluated?如何对馆长进行评估？ How should review process be monitored?如何对评审过程进行监控？

What we have learned about motivation (Dan Pink)关于动力我们学到了什么 Although we believe external rewards (e.g. money) are the prime motivators, this is not the case, according to research.尽管我们相信外部奖励（比如钱）是主要激励因素，但根据研究，实际情况不是这样的。 The three main factors are: autonomy, mastery and purpose.三个主要因素是：自主、掌控和目标 Autonomy – ability to make choices how the job will be done and not necessarily to follow the work process given by the boss.自主– 做出如何进行工作而不一定要遵循上司给出的工作流程的能力。

Motivation (continued)动力 Mastery – Jobs become intrinsically interesting and motivating when the employee can master a specific job, and get better at it.掌控– 当员工掌握一个工作并且更加胜任时，工作本质上会变得有趣和有动力。 Purpose – motivation increases when the purpose of the job is something to be admired. 目标– 当工作目标是让人赞赏的时，工作动力增加了 Examples: Wikipedia, open source software例子：维基百科，开放资源软件

Objections to Classic Model 对经典模式的异议 There are several objections to the preceding classical understanding of evaluations. 对前述的绩效评估的经典理解存在一些异议。 The objections begin with assessing the assumptions underlying the purpose and method of the evaluation.这些异议开始于评价绩效评估方法和目标的基础假设。

Objections异议 Example of classic assumption and new thinking assumption:经典假设的例子和新假设 Conventional assumption: “Improving individuals’ performance improves organizational performance. “常规假设：改善个人绩效表现提高组织的表现 Alternative assumptions: “Improving systems and processes improves the performance of the organization. Individual improvement initiatives are most effective when they are combined with serious efforts toward improving the work climate, systems, and processes.”替代假设：改良系统和流程改善组织的表现。个人进步在和改善工作氛围、系统和流程的努力相结合是最有效。

Questions问题 What types of personnel evaluation do you use in your library?在你的图书馆用的是哪种类型的员工评估？ How often is it carried out?多长时间进行一次评估？

How to deal with marginal performance如何处理不佳表现 Not every worker always performs as well as the employer expects.不是每个员工都能像雇主期待的那样表现。 This sub-optimal work behavior has to be addressed.次佳工作表现必须列出。

Types of marginal performance 不佳表现种类 Absenteeism or tardiness旷工或迟到 Substandard work不合格的工作 Intoxication or drug induced behavior醉酒或嗑药的行为 Insubordination不服从 Dishonesty不诚实 Violence (bullying, sexual harassment, other physical violence)暴力（恃强欺弱，性骚扰，其它肢体暴力）

Who is responsible for marginal performance谁对不佳表现负责 Who is responsible? External谁负责？外部？ Poor disciplinary or reward system不佳纪律或奖励系统 Poor supervision不佳管理指导 Poor job assignment不佳工作分配 Poor equipment不佳设备

Responsibility (continued)责任 Lack of training缺乏培训 Unclear job responsibilities不清楚的工作责任 Union contracts and governmental regulations工会合约和政府规定 Inappropriately low standards不恰当的低标准 Tension with coworkers与同事的紧张关系 Cultural or ethical pressures文化或道德压力

Two approaches to employee discipline员工纪律的两种方法 Classic Progressive discipline, process and assumptions经典渐进性惩处，过程和假设 A new approach, e.g. Performance Partnership Program and assumptions新方法，例如绩效合作项目和假设

Classic Progressive discipline, process and assumptions经典渐进性惩处，过程和假设 Classic Progressive Discipline assumes that force and power and threats will stop the marginal performance. It is enforced through several steps.经典渐进性惩处假定武力、权力和威胁可以制止不佳表现。通过几个步骤实行。 Informal discussion – best for some situations非正式讨论—在一些情形下最好 oral warning – a formal conference and written record of meeting口头警告– 正式会议和会议的书面纪录 written warning and elements – 书面警告和要素

Classic (continued)经典 date, purpose, who was present, statement of facts, statement of rules violated, when previous warnings took place, specific that behavior was inappropriate, what must be done to improve, statement of consequences, date of next review, warning in personnel file, opportunity for written response, signature日期、目的，出席者，事实陈述，违反的规定陈述，上一次警告给出的时间，明确指出行为的不当，该如何改进，后果陈述，下次审查的日期，员工档案中的警告，书面回应的机会，签字 investigatory hearings调查听证会

A new approach, e.g. Performance Partnership Program and assumptions新方法，例如绩效合作项目和假设 This new approach assumes that the employee is intelligent and rational and wants to do a good job.新方法假设员工是聪明和理性的希望做好工作 The stages of discipline are similar but differ greatly from classic progressive discipline.纪律的阶段相似但与经典渐进性惩处有很大不同

New approach (continued)新方法 Two basic activities – each equally important两个基本活动—都同等重要 Recognize good performance认可优秀表现 Eliminate poor performance减少不佳表现

New approach (continued)新方法 1. identify the problem by determining actual performance and determining desired performance通过确定实际表现何期待表现来确认问题所在 2. determine the cause, either deficiency in execution and then fix it or deficiency in knowledge, provide training确定原因,要么是执行不足，解决这个问题，或者知识不足，提供培训 3. Is there a positive change? If yes, provide recognition, if not, conduct a performance improvement discussion有正向改变吗？如果有，提供认可，如果没有，进行绩效表现改进讨论

New approach (continued) 新方法 4. if this doesn’t work then performance improvement discussion has work performance reminder, if that fails, written reminder, if that fails, decision making leave (with pay), if that fails discharge. In each case, if it succeeds, then provide recognition如果这个行不通，那么绩效表现讨论有工作表现提醒，如果不行，书面提醒，如果不行，决策假（带薪），如果不行，解雇。每种情形下，如果成功，就提供认可。 C. Perceptions看法 If you can gain agreement that problem exists, the more likely the problem can be fixed如果你能在问题确实存在这点上达成一致，那么很大可能这个问题是可以解决的 How to gain agreement如何达成一致

Question问题 In what ways is marginal performance corrected in your library?在你图书馆不佳工作表现是如何得到改正的？ How do you think that particular cultural factors influence the correcting of marginal performance?对于影响改正不佳表现的文化因素你有什么看法？

Thank you. 谢谢