以胜任力为基础的人力资源管理

Revolutionizing HR Management: Competency-Based Human Resource Management 人力资源管理革命： 以胜任力为基础的人力资源管理 By William J.Rothwell,Ph.D.,SPHR William J.Rothwell博士 高级人力资源管理专家 1 Part : 第一部分： Introduction 引言 2 Purpose of the session 本节要点 Competencies are of keen interest to HR practitioners China. And they should be, because they are revolutionizing the way HR practitioners think analysis and job descriptions have been the traditional basis for HR operating systems, competency identification and competency modeling are taking their place. 中国的 HR从业人员对 “ 胜任力 ” 怀有极大的兴趣 事实上也应该如 此，因为 “ 胜任力 ” 不仅正在改变这 HR从业人员对于自身工作的认识 ，而且也深刻影响着他们对 HR工作根本要素的理解。虽然很长时间以 来，人们一直把岗位分析和工作描述作为 HR运作系统的基础，但胜任 力确认和胜任力建模的作用正在变得愈发凸显。 3 Purpose of the Session 本节要点 While job descriptions are based on descriptions of the work, competency models are based on descriptions of the most successful people who do the work. The purpose of this session is to explain how the HR field can be revolutionized using competency models from a leading expert on the topic. 工作描述通常是建立在对工作内容的描述的基础之上，而胜任力模型 则是以那些最优秀的员工的胜任力水平为基础而建立的。在本节当中 ，一位在该领域处于领军地位的专家将跟与会者讨论如何通过使用胜 任力模型来在人力资源管理领域实现革命性的变革。 4 Objectives 目标 Upon completion of this presentation, participants will be able to: Define the term competency and understand how that term is used differently around the world, leading to much confusion Understand the theory and practice of competency identification and modeling as the terms are use by famous people and international companies that use the terms Understand why competencies have captured attention as a means to increase productivity and competitiveness Hear about best-practice in competency identification and modeling Learn how to revolutionize your HR practice by using competencies 在完成本节之后，与会者将能够： 能够对 “ 胜任力 ” 作出清晰 的定义，并了解 “ 胜任力 ” 在全球不同地区的不同用法， 以及由于这些用法上的差异所导致的混乱 能够理解一些知名人士和跨国公司所使用的 “ 胜任力确认 ” 及 “ 胜任力建模 ” 等术语 的理论内涵及实践意义 能够理解为什么，作为一种提高生产效率及竞争胜任力的手段， “ 胜任力建模 ” 会引 起如此高度的关注 了解关于胜任力确认和胜任力建模的一些最先进、最优秀的做法 了解如何通过使用 “ 胜任力 ” 来为你的人力资源管理实践带来革命性的变化 5 Organization 演讲内容 My presentation today will be organized in 6 parts: Part: Introduction Part: Terms and Concepts Part: Approaches to Competency Identification Part: Best practices in Competency Modeling Part: Using Competency Models Part: Conclusion 我今天的演讲将分为六大部分： 第一部分：引言 第二部分：术语及概念 第三部分：胜任力确认的办法 第四部分：优秀企业的胜任力建模方法 第五部分：使用胜任力模型 第六部分：结论 6 Informal Poll 非正式的调查 Could I see a show of hands of: How many of your organizations are thinking about experimenting with competency models but have not ye used them? How many of your organizations have used competency models but are not sure they did it the right way? How many of your organizations have done a good job with competency models? 请大家举手向我示意： 你们当中有多少人所在的组织正准备尝试使用胜任力模型，但却没有正式开 始使用？ 你们当中有多少人所在的组织已经使用了胜任力模型，但却不敢肯定自己的 方法是否正确？ 你们当中有多少人所在的组织已经成功的使用了胜任力模型？ 7 The Speaker:演讲嘉宾 William J.Rothwell, Ph.D., SPHR William J.Rothwell博士，高级人力资源管理专家 Professor-in-Charge of Workforce Education and Development at Penn State University 宾州州立大学员工教育及发展教授 President of Rothwell and Associates, Inc.( see ) Rothwell公司总裁 () 8 Facilitator:主讲人 William J.Rothwell,Ph.D., SPHR William J.Rothwell博士，高级人力资源管理专家 Author of numerous books. An important example:著作等身，主要作品有 ： 以胜任力为基础的人力资源管理 胜任力工具箱 9 What Is the Business Need? 为什么需要关注胜任力？ In U.S. culture, it is often said that “all people are created equal.” But the fact is that some people are more productive than other people. In fact, the research suggests that individuals in the same jobs, and with the same education and experience, may differ by a factor of as much as 20 times in how much one person is more productive than another. Why is that ? The answer has to do with competencies, characteristics leading to successful work results. 在美国文化当中，人们经常说 “ 人人生而平等 ” 。可事实上，人们的工作效 率并不平等，有些人的工作效率总是会比另外一些人要高。有关研究显示， 许多从事相同工作的人，即便他们拥有相同的教育背景和从业经验，在工作 效率方面也会存在巨大差异，有时这种差异可高达 20倍。为什么会出现这种 情况呢？答案在于：胜任力，也就是指那些能够直接影响工作结果的特质。 10 What Is the Business Need? 为什么需要关注 “ 胜任力 ” ？ Traditionally, all HR practices in organizations today are based on work analysis and their work productsjob descriptions and job specifications. But this session focuses on a new approach. Its focus is on how to reinvent HR management around a new operating system competency models. The result can be quantum leaps in productivity improvement. 传统上，当今组织当中的所有人力资源管理工作都是建立在岗位分析 以及这种分析的产物工作描述和工作细则的基础之上的。 但在本节当中，我们将讨论一种全新的方法。其主要内容是：如何围 绕一套新的运作系统胜任力模型来实现人力资源管理变革。 这种方法最终将为您的组织在生产力改进方面带来量级的飞跃。 11 What Is the Business Need? 为什么需要关注 “ 胜任力 ” ？ The stakes are high: if we could only discover what makes some people as much as 20 times more productive than others, then we could get 20 times the work results from the same staffor we could get the same work done with a factor of 20 fewer staff. Thats the value of competency-based HRM 高回报：只要能够找到 “ 为什么有的人工作效率是其他人的 20倍之多 ” 这一问题的答案，我们就能够用同样数量的人员完成 20倍的工作， 或者用二十分之一的人员完成同样的工作量。 这正是 “ 以胜任力为基础的人力资源管理 ” 的价值所在。 12 A Note About Cultural Differences 关于文化差异 When we talk about U.S. and Chinese culture, we always want to talk about how they are different rather than how they are alike But it is true that there is a cultural issue involved in competency modeling that must be noted In the U.S., our favorite heroes perform great feats alone; in China, the heroes always work with other Chinese people to achieve great results 说到美国和中国的文化的时候，我们总是倾向于讨论两种文化之间的差异 而不是那些相似点 确实，胜任力建模当中确实涉及到一些文化问题，这也是不容回避的 在美国，人们总是崇拜那些单枪匹马完成重任的人；而在中国，人们则把那 些善于跟人协作，一起鱼的辉煌的人视为英雄 13 A Note About Cultural Differences 关于文化差异 This is important: think of the old Chinese saying that “ the person whose head sticks above the crowd is likely to get it cut off” Historically, that has meant that ,in China, anyone who has great talent or great ability has been discouraged from showing it But, to use competency modeling ,we set out to help everyone get their heads higher. In other words, instead of having that one most productive worker lower his head to that of the group, we figure out how to get all the heads higher and closer to the person whose head sticks up because that person is more. 需要指出的是：中国有句俗谚， “ 木秀于林，风必催之 ” 从历史的角度来说，这也就意味着，在中国，那些自身拥有天赋的人总是不 愿意显露自己的天赋 而通过使用胜任力建模方法，我们就可以帮助每个人显露出自己的天赋。换 句话说，我们并不会要求那些拥有天赋的人保持低调，相反，我们会设法让 所有的人都保持高调，不断进步，向那些胜任力最为出色的人学习，并最终 达到跟他们相近的水平。 14 Part: 第二部分 Terms and concepts 术语和概念 15 Overview 总览 Terms can be confusing We need to begin with terms and concepts That is the focus of this part of the presentation 术语可能会导致迷惑 我们需要从术语和概念开始说起 这也正是本部分的主要内容所在 16 Key Terms Defined 关键术语定义 Competent means “ able to perform to standard” or “consistent with expectations ” “ 有胜任力 ” 的意思是指 “ 能够达到标准水平 ” 或 “ 符合 预期水平 ” 17 Key Terms Defined 关键术语定义 The term competency has more than one meaning in the world. Do not be confused. When you hear the term, ask what people mean by it. Some people mean “the knowledge and skill needed to do work.” But when Americans say “ Job Competency” (or simply “Competency”), we mean “an underlying characteristic of an employee (that is, a motive, trait, skill, aspects of ones self- image, social role, or a body of knowledge) that leads to effective and/or superior work results.” “ 胜任力 ” 一词在世界上不同的地方有着不同的含义。千万不要搞混淆。每 次人们谈起这个词的时候，我建议你都要让对方解释一下。因为有些人有时 会用 “ 胜任力 ” 一词来表示 “ 完成工作所需要的知识和技能 ” 。 可当美国人说 “ 工作胜任力 ” （或者是 “ 胜任力 ” ）的时候，我们指的是 “ 员工身上那种能够带来有效和 /或出色结果的潜在特质（也就是说，该员工的 动机、性格特点、技能、自我感觉、社会角色，或者是知识结构等） ” 。 18 Key Terms Defined 关键术语定义 Competency identification: The process of discovering job competenciesthat is, the process of finding out what characteristics of individuals lead to productivity. 胜任力确认：发现作业胜任力的过程，即找出那些能够影响生 产效率的各人特质的过程。 19 Key Terms Defined 关键术语定义 Competency model: The result of competency identification. A competency model is usually a narrative description of job competencies for an identifiable group, such as a job category, a department or an occupation. The important point to remember is that a competency model should describe the characteristics of an ideal performer. Remember: A competency model describes “what should be.” 胜任力模型：胜任力确认的结果。 “ 胜任力模型 ” 通常是对某个可确认 群体比如说某一种工种，某一部门或职业的人群工作胜任力的 叙述性描述。需要记住的一点就是：胜任力模型应该能够描述理想员工 所应该具有的特质。记住：胜任力模型通常描述的是 “ 我们应该成为 ” 的那种状态。 20 Key Terms Defined 关键术语定义 Competency modeling: The process of writing out the results of competency identification by describing the characteristics of ideal performers 胜任力建模：通过描述理想员工特质的方式来写出胜任力 确认结果的过程 21 Key Terms Defined 关键术语定义 Competency assessment: The process of comparing individuals in a job category, occupational group, department, industry or organization to the competency model that has been developed for that targeted group Assessment focuses on “what is”; the competency model focuses on “what should be” 胜任力评估：将某一工种、职业群体、部门、行业或组织当中的个体 与该工种、职业群体、部门、行业或组织当中的目标群体相比照的过 程 评估的重点是 “ 现在是怎样的 ” ；而胜任力模型的重点则在于 “ 应该 是怎样的 ” 22 Key Terms Defined 关键术语定义 Exemplary performers: Best-in-class or most productive workers Fully-successful performers: Experienced workers who are not best-in-class When I say “exemplary”, I do not mean “who the boss likes the most”; instead, I mean “the person who produces the most in a way that we can measure” 模范员工：最优秀的或者是效率最高的工作人员 成功员工：经验丰富，但不是最优秀的工作人员 当我说 “ 模范员工 ” 的时候，我并不是指那些 “ 老板最喜欢的员工 ” 23 How Does Competency Modeling Differ from Work Analysis? 胜任力建模与岗位分析有何差异 Work analysis, sometimes called job analysis, focuses on describing what people do, and the result of a work (job) analysis is a job description Competency identification, in contrast, discovers the characteristics that lead to successful results and are demonstrated by individuals who are successful 岗位分析，有时也被成为工作分析，关注的重点在于描述人们的实际 工作内容，岗位分析（工作分析）的结果是工作描述 相比之下，胜任力确认的目标则在于发现那些能够带来成功结果，并 在成功人士身上所体现出来的特质 24 Work Activities Contrasted with Competencies 与胜任力相比照的工作活动 Conceptually, work analysis or job analysis proceeds like this: 理论上来说，岗位分析（或工作分析 )的过程大致如下 : Examine how the work is performed 检查整个工作 的作业过程 Prepare a job description that lists activities 准备一份工作 描述，上面列 出所有的相关 活动 25 Work Activities Contrasted with Competencies 与胜任力相比照的工作活动 Conceptually, competency identification proceeds like this: 理论上来说，胜任力确认的过程大致如下： Examine performers and work outputs 检查员工工作情 况以及成果 Prepare and validate a competency model 准备并确认胜任力 模型 26 Why Are Competencies Used? 为什么要使用 “ 胜任力 ” ？ Competency models are advantageous in that way: Date less quickly than job descriptions Are focused on results, not work activities Include a focus on the intangible-but-increasingly-important “soft skills” associated with successful performance Include a focus on interpersonal relationships Focus on the people who do the work, not the work they do 胜任力模型的优势在于： 老化的速度比工作描述要慢 更加注重结果，而不是工作内容 其中包括进了那些难以捉摸但却日益重要，而且与工作业绩直接相关的 “ 软 技能 ” 其中包括进了人际关系胜任力 把关注点放在了那些 “ 完成工作的人 ” 而不是 “ 这些人所从事的工作 ” 上面 27 Activity 活动 Lets try out competency modeling Turn to the people seated next to you (form groups of 3 or so people) Describe the most productive person you knowthat is, the person who is able to get the most work accomplished or who is able to get the best results Simply describe the characteristics of that person Make a list of those descriptions I will give you about 5 minutes to come up with your lists. When you are finished, I will ask a few volunteers to give me the descriptive terms. 现在让我们尝试一次胜任力建模的整个过程 跟你身边的人一起结成小组，每组大约三人左右 描述出你所知道的效率最高的人 也就是说，那些能够完成最多工作或者是能够取 得最优结果的人 描述出这个人的所有特质 将你的描述列成清单 我给大家五分钟时间，然后请大家把清单交上来。完成之后，我将请几位志愿者告诉 我他们的描述是怎样的 28 Debrief of the Activity 活动描述 Could I have a few volunteers share with me the descriptions you came up with？ 有哪些听众自愿站起来给我分享他的描述？ 29 One Point Worth Emphasizing值得强调的一点 Competencies describe people, not the work Some competencies can be developed; others must be hired for because they are related to personality Competencies are measured by describing the behaviors that people demonstrate OR by describing the measurable results they produce Competencies are grounded in corporate cultures because it takes different behaviors to achieve the same results in different kind of organizations 胜任力所描述的是人，而不是工作 有些胜任力是可以培养的；而有些胜任力则需要从外部聘请，因为这些胜任 力通常与一个人的个性有关 可以通过两种方式来衡量一个人的胜任力，一种是描述他 /她所展示出来的行 为，一种是描述他们取得的可衡量的结果 在讨论胜任力的时候，必须考虑到具体的企业文化背景，因为在不同的组织 当中，要想取得同样的结果，所必需的行为方式是不同的 30 A Second Point Worth Emphasizing 第二个值得强调的要点 It is worth emphasizing that, according to traditional wisdom, competency models can only be identified for: A job category (such as “ supevisor”) A department (such as “marketing” or “HR”) An occupation （ such as “accounting” ） An issue (such as “leadership” or “learning”) 值得强调的是，根据传统观点，胜任力模型只适用于： 某一工种（比如说 “ 主管 ” ） 某一部门（比如说 “ 营销 ” 或 “ 人力资源 ” ） 某一职业（比如说 “ 会计 ” ） 某一问题（比如说 “ 领导力 ” 或 “ 学习 ” ） 31 A Third Point Worth Emphasizing 第三个值得强调的要点 However, it also worth emphasizing that the same approaches used in competency identification can be focused on: Examining an issue that cuts across occupations, job categories, or departments (such as “leadership”): this is called a meta-competency model Examining values (what is “right” an “wrong”) 还有一点值得强调的就是，胜任力确认过程中所使用的方法还可以被用 来 ： 帮助处理那些跨职业、跨工种，或跨部门的问题：这也被成为 “ 超胜任 力模型 ” 解决有关价值观（即什么是 “ 正确的 ” 及什么是 “ 错误的 ” ）的问题 32 A Fourth Point Worth Emphasizing 第四个值得强调的要点 A fourth point worth emphasizing is that competency models can focus on: The difference between exemplary and fully-successful performers The common expectations of a group( such as a job category, occupation, or department) 值得强调的第四点就是，胜任力模型可以把重点放在： “ 模范员工 ” 与 “ 成功员工 ” 之间的差异 某一群体（比如说某一工种、职业，或部门）的共同心理期待 33 A Fifth Point Worth Emphasizing 第五个值得强调的要点 The specific reasons for failure in a job, occupation or department (A “failure” competency model) The present OR future (but not both) Common characteristics (that cut across the organization horizontally) or technical competencies (that may be unique to specific functions or areas of responsibility) 导致某一工作、职业，或部门失误（即一个失败的胜任力模型）的具体原因 现在或将来（但并非二者兼有） 共同特点（整个组织内部而言）或技术胜任力（可能是某个具体部门或责任 区域所特有的） 34 Part: 第三部分： Approaches to Competency Identification 胜任力确认的方法 35 Overview 总览 This part: Describes the three basic approaches to competency modeling Explains how the three approaches differ 本部分将： 描述三种胜任力建模的方法 解释这三种方法之间的差别 36 The Three Approaches 三种方法 There are three basic approaches to identifying competencies, and they are akin to the process of a purchasing decision. To pripare a competency model, we can: Buy Buy and Modify Make 有三种方法可以帮助你进行胜任力确认，他们与采购决策流程相似。要想为 自己的组织建立胜任力模型，我们可以： 购买 购买，然后进行修改 自行建立 37 The Buy” Approach “ 购买 ” 的方法 To use the “buy” approach: Find a competency model from another organization Use it Advantages: Fast and cheap Disadvantage: Provides bad information and is not grounded in the corporate culture 使用 “ 购买 ” 的方法 ： 从其他组织当中找到一种胜任力模型 将该模型应用到自己的组织当中 优势：又快又便宜 劣势：提供一些不良的信息，而且可能不符合你的组织文化 38 The “Buy and modify” Approach “ 购买，然后进行修改 ” 的方法 To use the “buy-and-modify” approach: Find a competency model form another organization Take steps to make it fit your organization Advantages: Relatively fast and cheap Disadvantages: May leave out critically-important information and is only partially grounded in the corporate culture 使用 “ 购买，然后进行修改 ” 的方法： 从其他组织找到一个胜任力模型 对其进行修改，使其更加适合你所在的组织 优势：相对来说，这种方法会更快，而且成本更低 劣势：可能会遗漏一些极为重要的信息，而且只能与你所在企业的文化部分 契合 39 The “Make” Approach “ 自行建立 ” 的方法 To use the “make” approach: Identify your most productive performers Find out what characteristics they share in common Find out how they differ from the fully-successful (average) performers Advantage: The most effective approach Disadvantages: The most time-consuming and expensive; and managers may not understand what you are doing or why you are doing it 使用 “ 自行建立 ” 的方法： 找出你所在组织当中效率最高的那些员工 找出这些员工的共同之处 找出他们与 “ 成功员工 ” （即能达到一般水平的员工）之间有何不痛 优势：效果最好 劣势：最为耗费时间，而且成本最高；经理们可能冰不理解你正在做 的 事情以及你这么做的原因 40 Part : 第四部分 Best Practices in Competency Modeling 优秀企业的胜任力建模实践 41 Overview 总览 Many large, famous companies have done competency modeling, and the cases that describe what they have done have been published This part, however, describes how one company went about doing a competency study 很多著名的大型企业都已经完成了胜任力建模，而且有很多相关案例 都已经出版 本部分将描述一家公司的胜任力研究过程 42 Tales from the Real World: A Best Practice Example 来自真实世界的故事：一个最佳实践案例 A large and famous company wanted to find out how to hire and develop superstar (very productive) workers To do that, they began with on job categorytheir assembly line workers The company hand a way to measure which workers were most productive The company managers identified the most productive workers The company managers also identified the average workers 一家知名的大型公司想找到聘请及培养明星员工（即工作效率极高的员工）的 方法 为此，他们首先选定了某一工种作为试验对象他们的装配线工人 该公司有一种衡量工人业绩的方法 然后公司经理们开始根据这种方法来找出那些效率最高的工人 与此同时，经理们也找出了那些效率平平的工人 43 Tales from the Real World: A Best Practice Example 来自真实世界的故事：一个最佳实践案例 The company formed two groups and asked each group if they would be interviewed Company managers did NOT tell workers which group was which Interviews were conducted with average workers Interviews were conducted with exemplary workers The common themes the workers discussed in their interviews were eliminated The company found only 2 major differences that set the best workers apart from the average:(1)they were more creative; and (2)they were more motivated because they were willing to work longer hours without complaining 公司组成了两个小组，并向每个小组是否将接受面试 经理们并没有告诉工人各个小组的情况 他们首先对那些业绩平平的工人们进行面试 然后对那个模范工人们进行面试 然后把两次面试当中工人们都讨论过的问题删除 最后，公司发现，模范工人和普通员工之间的差异只有两点 (1)他们都更加有创造性；而且 （ 2）他们的工作积极性比较高，因为他们都能心甘情愿的工作比较长的时间 44 Questions 问题 Spend about 3 minutes to talk to people sitting next to you As a group, come up with a list of questions about the case you just heard When you are finishedan