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 selfcorrect 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
• Learning Objectives :
• 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