第五章 控 制

【开篇案例】 90％的玄机 你知道90％×90％×90％×90％×90％等于多少吗? 进行计算之前你可能想不到，看起来很不错的90％，累计起来只有不过59％的得分！ 也就是说，90％×90％× 90％×90％×90％=59％。拋开简单的数学意义，这个等式说明了什么?

从小到大无数次应对各种考试，人们都知道60分是及格线，100分比较难，而90分是个可以引以为傲的分数了。 工作中也是如此，很多人认为:把工作做到60％太危险会被公司炒鱿鱼，做到100％太辛苦，做到90％就很不错了。

然而，工作的过程是由一个个细微环节串联而成，每个环节都以上一个环节为基础，各环节间相互影响的关系是以乘法为基准最终产生结果，而不是百分比的简单叠加。 环环相扣的一系列过程结束后，“很不错”的90分最终带来的结果是59分--一个不及格的分数,一个会被激烈竞争环境淘汰的分数。 这就是过程控制效应。

而到了这个时候，再回过头来按照100％的标准进行“检修”，就可能意味着整个项目、整个工程都需要“推倒重来”，意味着时间和资源的浪费，意味着效率低下和时机错失，意味着先前的努力可能付诸东流。 　　于是，90％×90％×90％×90％×90％=59％这个简单的等式，在数学之外的意义就是： 执行过程不打折！

本章内容 第一节 控制目标与类型 第二节 制定控制标准 第三节 衡量实际工作 第四节 鉴定偏差并采取矫正措施

第一节 控制目标与类型

控制工作的3个步骤 步骤 1 步骤2 步骤3 制定 控制标准 衡量 实际工作 采取 适当的措施 Control is the process of monitoring and correcting activities to ensure that they are being accomplished as planned. The control process consists of three steps: (1) measuring actual performance; (2) comparing actual performance against a standard; and (3) correcting deviations or inadequate standards. The most common sources of information for performance measurement are personal observation, statistical reports, oral reports, and written reports. Personal observation provides first-hand knowledge of an activity, thereby permitting intensive coverage and allowing managers to “read between the lines.” Because it is subjective, however, personal observation may be biased. Also, it is time-consuming and obtrusive. Statistical reports consist of computer print-outs, graphs, bar charts, and numerical displays. Although they represent relationships clearly and accurately, statistical reports provide limited information about an activity and ignore qualitative elements. Oral reports consist of one-on-one conversations, telephone calls, and conferences. The advantages and disadvantages of oral reports are similar to those of personal observation. Written reports can also measure performance. They are more formal, comprehensive, and concise than oral reports. In addition, they are easy to catalog and reference. Comprehensive control efforts by management will require the use of all four of these methods.

管理控制的 主要目标 限制偏差的累积 适应环境的变化 Internal forces originate from the operations of the organization or from the impact of external changes: such as management redefining its strategies, new equipment entering the workplace, and demographic changes in the organization’s workforce. These forces lead to changes in the policies and practices of management.

控制的3种类型 输入 前馈控制 转换过程 现场控制 输出 反馈控制 预防可能 出现的问题 及时纠正工作进 行中出现的问题 纠正已经 Management can implement controls proactively (feedforward), during an activity (concurrent), or after the activity has been completed (feedback). Feedforward control is the most desirable because it prevents anticipated problems. Thus, it is proactive. Unfortunately, this type of control requires timely, accurate information that is often difficult to obtain. As a result, managers often rely on concurrent and feedback control mechanisms. Concurrent control occurs while an activity is in progress. The best known form is direct supervision. Even though there is some delay between the activity and the manager’s response, it is minimal. Feedback control, the most commonly used type, occurs after the action. The major drawback is that by the time that the manager has the information, the damage has already been done. But, for many activities, feedback is the type of control that is workable. Compared to feedforward and concurrent control, feedback has two advantages. First, it helps managers to gauge the effectiveness of their planning efforts. Second, feedback can enhance employee motivation.

控制的一般过程 识别偏差 修正工作方式 偏差可以接受吗？ 重新制定标准 达到标准了吗？ 标准可行吗？ 衡量实际并 与标准相比 测量实际工作 Yes No 衡量实际并 与标准相比 测量实际工作 目标 标准 什么也不做

制定控制标准 控制标准的 实质和要求 制定控制标准的 过程和方法 Management can focus its coordination efforts by using a team structure. A team structure breaks down departmental barriers, flattens the organization, decentralizes decision making, empowers employees, promotes accountability, and requires employees to be generalists as well as specialists. In smaller companies, the team structure can define the entire organization. More often, especially in larger organizations, the team structure complements what is typically a bureaucracy. Such an arrangement allows the organization to achieve the efficiency of standardization while gaining flexibility.

控制标准的 实质和要求 适用性 前瞻性 可行性 一致性 可操作性 相对稳定性 简明性 可操作性 相对稳定性 The Big Five model of personality offers a comprehensive framework for identifying personality dimensions. The dimension of extroversion captures one’s comfort level with relationships. Extroverts tend to maintain a large number of relationships. Introverts tend to be reserved and have fewer relationships. The dimension of agreeableness refers to a person’s propensity to defer to others. People high in this dimension value harmony more than having their own way. People low in this dimension focus on their own needs more than on the needs of others. The dimension of conscientiousness refers to the number of goals on which a person focuses. Those high in this dimension pursue fewer goals and tend to be responsible, persistent, and achievement-oriented. Those low in this dimension tend to be more easily distracted, less focused, and more hedonistic. Emotional-stability refers a person’s ability to withstand stress. People high on this dimension tend to be calm, enthusiastic, and secure. Those low in this dimension tend to be anxious, nervous, and insecure. Openness to experience refers to one’s range of interests. Those high in this dimension are fascinated by imaginative, creative, and intellectual. Those low in this dimension tend to be more conventional and prefer the familiar.

时间标准 质量标准 数量标准 成本标准 工业控制的4种常用标准 A compressed workweek consists of four ten-hour days. This schedule allows employees time off to take care of personal business. But studies have shown that there are drawbacks: for instance, decrease in service to customers, decrease in productivity, and under-utilization of equipment. A special type of part-time work, job sharing allows two or more individuals to split a traditional 40-hour-a-week job. Therefore, the organization can draw upon the talents of more than one person for a given job and acquire skilled workers who are only available part-time. However, it is hard to find compatible employees who can coordinate job responsibilities. Flextime allows employees some discretion over when they arrive and leave work. While they still work a specified number of hours, workers can vary the hours within constraints. Flextime offers several benefits: improved employee motivation and recruitment of higher qualified, more diverse workers. But, flextime is not applicable to every job. It works best with clerical tasks that require minimal employee contact with persons outside of the organization. No commute time, flexible hours, no dress code, and few interruptions are some of the benefits of telecommuting: employees working at home on a computer that is linked to their office. The long-term future of telecommuting depends on the answers to some questions. Will work-at-home employees be at a disadvantage in office politics? Will they be less likely to be considered for pay raises or promotions? Will non-work distractions reduce productivity?

制定控制 过程的 标准和方法 确立控制对象 选择关键控制点 制定控制标准 Three sets of organizational variables stimulate innovation: structure, culture, and human resource practices. Structural variables affect innovation in three ways: (1) organic structures promote innovation, (2) plentiful resources stimulate innovation, and (3) effective communication overcomes barriers to innovation. All three require the commitment of top management. Innovative organizations encourage experimentation and risk-taking behavior by rewarding both successes and failures. Such organizations are likely to have the following seven characteristics: 1. Acceptance of ambiguity 2. Tolerance of the impractical 3. Low external controls 4. Tolerance of risk 5. Tolerance of conflict 6. Focus on ends rather than on means 7. Open systems focus Innovative organizations train and develop their members to keep their knowledge, skills, and abilities current; offer job security rather than the fear of being fired to promote risk-taking; and encourage individuals to become champions of change. Once a new idea is developed, champions of change promote the idea and build support. Then, they overcome resistance to the idea and ensure that the innovation is completed. These persons are self confident, energetic, persistent, risk-takers. In addition, they have the decision-making discretion to induce and implement innovations. 制定控制标准

信息 运营 管理者需要 测量的内容 Because employees will attempt to excel at those activities that are measured, what managers measure is probably more critical to the control process than how it is measured. Most control systems measure information, operations, finances, or people. Some control activities are generic: for example, measuring turnover or absenteeism and keeping costs within budgetary constraints. However, any comprehensive system of controls must recognize that managerial control activities are diverse. Marketing managers, for example, may measure market share and average dollar volume of sales. On the other hand, production managers may measure quantity of units produced per day or scrap per unit of output. Some activities, however, are difficult to quantify, such as the performance of a research chemist or elementary school teacher. Even so, managers must determine what value a person, department, or unit contributes to the organization and then convert the contribution into standards. 财务 人员

衡量实际工作 确立适宜的衡量方式 建立有效的信息反馈系统 通过衡量成绩，检验标准的客观性和有效性 When managers attempt to mold individuals by guiding their learning in graduated steps, they are shaping behavior. Managers shape behavior by systematically reinforcing each successive step that moves an employee closer to the desired response. Methods of Shaping Behavior. Behavior can be shaped in four ways: positive reinforcement, negative reinforcement, punishment, and extinction. Following a response with something pleasant is called positive reinforcement. Following a response by the termination or withdrawal of something unpleasant is called negative reinforcement. Punishment is causing an unpleasant condition in an attempt to eliminate the undesirable behavior. Eliminating any reinforcement that is maintaining behavior is called extinction. Both positive and negative reinforcement result in learning; however, both punishment and extinction weaken behavior and decrease its frequency. The following summarizes the research on reinforcement: 1. Some type of reinforcement is necessary to produce a change in behavior. 2. Some types of rewards are better for organizational use than others. 3. Timing of reinforcement determines the speed and permanence of learning. Because employees must continually learn on the job, the only issue is whether managers let them learn randomly or whether they manage learning through the rewards they allocate and the examples they set. 通过衡量成绩，检验标准的客观性和有效性

衡量的项目 衡量的方法 适宜的衡量方式 衡量的频度 衡量的主体 The shortcuts that managers use to evaluate others are expeditious, but not foolproof. Because they cannot assimilate everything, their perceptions are biased by selectivity: that is, what they perceive is selectively chosen depending on their interests, backgrounds, experiences, and attitudes. In assumed similarity, or the “like-me effect,” manager’s perceptions of others are influenced more by their own characteristics than by those of the person observed. When managers judge someone based on their perception of a group to which he or she belongs, they are stereotyping. When they base their impressions of an individual on a single characteristic, such as intelligence or appearance, managers are being influenced by the halo effect. A final short-cut involves a manager’s expectations. The self-fulfilling prophecy or the Pygmalion effect involves how a manager perceives others and how those persons behave in ways that are consistent with the manager’s expectations.

管理人员获得信息的四种方法 亲自观察 分析报表资料 召开会议 抽样调查 A compressed workweek consists of four ten-hour days. This schedule allows employees time off to take care of personal business. But studies have shown that there are drawbacks: for instance, decrease in service to customers, decrease in productivity, and under-utilization of equipment. A special type of part-time work, job sharing allows two or more individuals to split a traditional 40-hour-a-week job. Therefore, the organization can draw upon the talents of more than one person for a given job and acquire skilled workers who are only available part-time. However, it is hard to find compatible employees who can coordinate job responsibilities. Flextime allows employees some discretion over when they arrive and leave work. While they still work a specified number of hours, workers can vary the hours within constraints. Flextime offers several benefits: improved employee motivation and recruitment of higher qualified, more diverse workers. But, flextime is not applicable to every job. It works best with clerical tasks that require minimal employee contact with persons outside of the organization. No commute time, flexible hours, no dress code, and few interruptions are some of the benefits of telecommuting: employees working at home on a computer that is linked to their office. The long-term future of telecommuting depends on the answers to some questions. Will work-at-home employees be at a disadvantage in office politics? Will they be less likely to be considered for pay raises or promotions? Will non-work distractions reduce productivity?

鉴定偏差并采取矫正措施 找出产生偏差的主要原因 确定矫正措施实施的对象 选择适当的矫正措施 有效控制的原则 Effective control systems share certain common qualities, the importance of which varies with the situation. However, we can generalize that the following characteristics should make a control system effective. 1. Accuracy. An effective control system is reliable and produces valid data. 2. Timeliness. An effective control system provides timely information. 3. Economy. Managers should impose only the controls needed to produce the desired behavior. 4. Flexibility. Controls must be adjustable because times and conditions change. 5. Understandability. Employees will misunderstand or ignore a cryptic control system.

确定可接受的偏差范围 可接受的上限 可接受的 偏差的范围 标 准 可接受的下限 t t+1 t+2 t+3 t+4 t+5 标 准 可接受的下限 In the comparison step, managers determine the degree of discrepancy between actual performance and performance standards. Because some variation between performance outcomes and the standards is inevitable, management must determine an acceptable range of variation. Deviations in excess of this range are significant and warrant the attention of management. In the comparison stage, managers are particularly concerned with the size and direction of the variation. The example that is featured on the next slide should help make this clearer. t t+1 t+2 t+3 t+4 t+5

发现偏差后的 管理行动 什么也不做 纠正偏差 修订标准 Managers compare actual performance to a standard to determine the degree of variation. Some variation is normal, but management must determine the acceptable degree of variation. Managers can take action in three ways: do nothing, take corrective action, or revise the standard. Because “doing nothing” is self-explanatory, this section discusses the other two options. Corrective action can include changing strategy, structure, compensation, and training; redesigning jobs; and replacing personnel. Immediate corrective action corrects problems at once and gets performance back on track. Basic corrective action determines how and why performance has deviated and corrects the problem at the source. Rather than “putting out fires” with immediate corrective action, effective managers analyze deviations and, if justified, permanently correct significant variances between standard and actual performance. Before revising a standard downward, management must realize that if employees fall significantly short of reaching its target, their natural response will be to shift blame for the variance from themselves to the performance standards. If a manager believes that the standards are realistic, then he or she must explain the position, reaffirm the expectation that future performance will improve, and take appropriate corrective action. 修订标准

有效 控制 原则 同计划与组织相适应 突出重点，强调例外 灵活性、及时性和经济性 避免出现目标扭曲 培养自我控制能力 The Big Five model of personality offers a comprehensive framework for identifying personality dimensions. The dimension of extroversion captures one’s comfort level with relationships. Extroverts tend to maintain a large number of relationships. Introverts tend to be reserved and have fewer relationships. The dimension of agreeableness refers to a person’s propensity to defer to others. People high in this dimension value harmony more than having their own way. People low in this dimension focus on their own needs more than on the needs of others. The dimension of conscientiousness refers to the number of goals on which a person focuses. Those high in this dimension pursue fewer goals and tend to be responsible, persistent, and achievement-oriented. Those low in this dimension tend to be more easily distracted, less focused, and more hedonistic. Emotional-stability refers a person’s ability to withstand stress. People high on this dimension tend to be calm, enthusiastic, and secure. Those low in this dimension tend to be anxious, nervous, and insecure. Openness to experience refers to one’s range of interests. Those high in this dimension are fascinated by imaginative, creative, and intellectual. Those low in this dimension tend to be more conventional and prefer the familiar. 培养自我控制能力