人力资源记分卡 —— 连接企业人、战略与绩效的纽带 The HR Scorecard: Linking People, Strategy, and Performance

1. 人力资源记分卡 ——连接企业人、战略与绩效的纽带 The HR Scorecard: Linking People, Strategy, and Performance Mark Huselid Professor of HR Strategy School of Management and Labor Relations, Rutgers University www.rci.rutgers.edu/~huselid

2. 要点提示 • 人力资源战略在影响员工与组织中所扮演的角色是什么？What is the role of HR strategy in employee and organization effectiveness? • 人力资源计量和人力资源记分卡在战略实施的过程中所扮演的角色是什么？What is the role of HR measurement and the HR Scorecard in implementing strategy? • 人力资源记分卡能够帮助解决什么样的问题？What questions should an HR Scorecard answer? • 我们如何建立人力资源记分卡？How do we build one? • 我们如何通过人力资源记分卡来帮助战略得以迅速实施？How can we use it to help us rapidly implement strategy?

3. 战略选择与人的“匹配”- Ulrich & Beatty, HRMJ, 2001 卓越运营产品领导力亲近客户 -成本- - 创新- - 解决方案 – 核心劳动力体系 • 与探索过程一致， • 重视并服从这个过程 • 向现状发起挑战 • 官僚主义的 • 注重长期导向 • 多才多艺的 • 学习驱动的 • 高度关注结果 • 高不确定性容忍力 • 高风险承受力 • 与制造过程一致 • 可培训与学习的 • 遵循行动计划 • 为组织奉献 • 注重短期导向 • 避免浪费 • 通过不断增值来驱动 • 高度关注产量 • 高度关注过程 • 高度关注稳定性 • 与客户一致 • 乐于分享秘密 • 关注客户信息 • 灵活可变的 • 帮助客户取得结果 • 快速学习 • 以客户成功为导向 • 预感客户需求 非无拘无束、自由散漫的非结构化、流程化的 非复制的 典型行为 • 在团队工作中扮演合适的角色 • 高度可重复的行为 • 主要的个体活动 • 解决问题 • 挑战他人 • 功能整合 • 高度的创造性行为 • 分享创意和解决方案 • 无边界的思维 • 广泛的技能开发 • 高效的网络工作 案例 Federal Express, Dell, Nucor, Wal-Mart, UPS, Home Depot Glaxo, Merck, 3M, Intel, Nike, Microsoft, AstraZeneca, Novartis, Ralph Lauren, Donna Karan Four Seasons, Airborne, Roadway, Cott, Cable & Wireless, Price-Waterhouse- Coopers, McKinsey & Co

4. Strategic Choice and People “Fit” - Ulrich & Beatty, HRMJ, 2001 Operational Excellence Product Leadership Customer Intimacy -Cost- - Innovation- - Solutions – Core Workforce Mindset • Identifies with process • Trainable/can learn • Follows the battle plan • Dedicated to organization • Shorter-term focus • Avoid waste and cost • Driven by incremental improvement • High concern for output quantity • High concern for process • High comfort with stability • Identifies with, values, and is • humbled by the discovery process • Challenges the possible/status quo • Anti-bureaucratic • Longer-term focus • Versatile • Driven by learning • Higher concern for outcomes • Higher tolerance for ambiguity • Greater degree of risk-taking • Identifies with customers • Shares secrets readily, easily • Seeks customer intelligence • Adaptable/flexible • Makes customer results happen • Quick Study • Driven by customer success • Anticipates customer needs NOT: Free spirits/ostentatious NOT: Structured/Streamlined NOT: Clones Typical Behaviors • TeamworkWorking to fit in/find a role • Relatively repetitive/predictable behaviors • Primarily individual activity • Problem solving • Challenging one another • Cross-functional collaboration • High degree of creative behavior • Share ideas and solutions • Thinks/works across boundaries • Develops broad-based skills • Networks effectively Examples Federal Express, Dell, Nucor, Wal-Mart, UPS, Home Depot Glaxo, Merck, 3M, Intel, Nike, Microsoft, AstraZeneca, Novartis, Ralph Lauren, Donna Karan Four Seasons, Airborne, Roadway, Cott, Cable & Wireless, Price-Waterhouse- Coopers, McKinsey & Co

5. 有形资产与无形资产Tangible Versus Intangible Assets

6. 无形资产的市场价值在不断增长Market Value of Intangibles Is Increasing

7. 会计的新指标趋势New Wave Accounting Caterpillar Amazon.com • 市盈率 10.68 N/A • 对账面值 3.08 107.79 • 股价与现金流比率 7.95 4,532 • 股价与销售额比率 0.76 31.89 • 人均产值 $350,000 $993,000 Source: New York Times

8. Measures That Matter - Mavrinac & Siesfield (1997) 35%的金融机构投资者对一个公司的估价是根据非财务指标，例如： • 战略执行 • 管理层的可信度 • 战略质量 • 创新性 • 吸引与留住天才 • 管理层经验 • 薪酬

9. 平衡记分卡样例A Sample Balanced Scorecard 财务方面 我们如何对待投资者？ 方法 目标 普通股 利润 市场占有率 股价上涨 每股收益率 EVA/MVA 可控的利润 销售利润率 产量 客户方面 内部管理方面 我们的客户如何看待我们？ 我们必须拥有的核心能力？ 目标 方法 目标 方法 成本 速度 质量 业务范围 生产成本 命令与运送 保证销售利润率 价值/价格 客户服务 质量 速度 市场份额 调查问题 - 建议 - 再次购买 - 评价评估 学习与成长方面 我们如何创造和提高价值? 方法 目标 技术 领导力 速度 运用信息技术 运用物流技术 员工提高工作效率 *Source: Adapted from Kaplan & Norton (1992; 1993; 1996)

10. A Sample Balanced Scorecard Financial Perspective How do we look to our Investors? MEASURES GOALS Equity Profits Market Share Share Price Growth Return on Equity EVA/MVA Controllable Profits Margins Productivity Customer Perspective Internal Business Perspective How do our customers see us? What must we excel at? GOALS MEASURES GOALS MEASURES Cost Speed Quality Line of Business Success Process Costs Order to Delivery Contribution Margins Value/Price Customer Service Quality Speed Market Share Survey Questions - Recommend - Shop again? - Assessment Innovation & Lrng Perspective How can we improve & create value? MEASURES GOALS Technology Leadership Speed Use of Information Technology Use of Logistics Technology Employee Growth Work Effectiveness *Source: Adapted from Kaplan & Norton (1992; 1993; 1996)

11. 人力资本架构是战略执行的关键驱动力Human Capital Architecture Is a Key Driver of Strategy Implementation The HR Function HR职能 - HR Professionals with strategic Competencies 具备战略素质的HR专业人员 • The HR System • HR体系 • High performance • 高绩效 • Strategically • aligned • 与战略保持一致 Employee Behaviors 员工行为 - Strategically Focused 战略聚焦

12. 人力资源计量的含义是什么What Do We Mean by “HR Measurement?” • ROI of individual practices (e.g., training, selection, etc.)? 对个人的HR实践产生的投资回报率（培训、甄选等）? 2. Activity metrics in the HR function (e.g., cost per hire, days to fill)? HR职能执行的计量（雇佣一个人的成本、填充职位所需时间）? 3. An HR Scorecard as a tool for strategy implementation? 作为战略执行工具的HR记分卡？ 4. External reporting (to shareholders) of human capital investments and values? 向投资者报告人力资源投资与价值？

13. 人力资源记分卡要回答的问题是什么？What Questions Should an HR Scorecard Answer? • Do our HR managers have the requisite competencies? • 我们的HR经历具有所需要的素质吗？ • Have the right HR practices been developed and effectively implemented? • 是否发展了正确的HR时间并且有效的执行了？ • Do employees experience this system as internally consistent and aligned with strategy? • 员工对于HR体系的经历感受是否与战略是内部一致的、相联系的

14. Questions (Con’t) • Have we developed the right culture? • 我们是否发展了正确的文化？ • Are employees responding to this system in a way that will drive strategy implementation and business results? • 雇员对于这个体系的的反应方式是否可以驱动战略落地并且驱动业务绩效？ • Have we developed and implemented this system in a cost efficient manner? • 我们是否以一种成本有效的方式来发展和执行这个系统的？ • Can we estimate the degree of impact of investments in HR on buyer behavior, and ultimately shareholder value? • 我们能否评估在HR上的投资对于买方行为、最终股东价值的影响程度？

15. A Key Metric • Employee Strategic Focus: To what extent can your employees accurately describe your strategy and how their job contributes to its implementation? • 员工战略聚焦：你的员工们在多大程度上能够精确描述你们的战略？他们的工作如何有利于战略执行的？

16. 增强衡量的精密性创造员工战略聚焦Increasing Measurement Sophistication Creates Employee Strategic Focus Measure Profit Relationships 衡量利润关系 Strategic (Clear Causal Chain Identified) 战略的（明确因果链） 4 NF NF $$$$ .46 .62 .82 Measurement-led Management (Acting on Measures) 衡量导向的管理 （按照衡量指标行事） 3 NF NF $$$$ Tracking Intangibles without Managing Intangibles 追踪无形资产而非管理无形资产 2 NF NF $$ $$ Traditional 1 HR-Focused Operational Measures 聚焦HR的运营衡量指标 $$ = Financial Measures 财务指标NF= Non-financial Measures 非财务指标

17. Level 4 Example: Sears Compelling Place to Work 激发兴趣的 工作场所 Compelling Place to Shop 激发兴趣的 消费场所 Compelling Place to Invest 激发兴趣的 投资选择

18. Sears 的革命 The Revolution at Sears • “It was exciting stuff. We could see how employee attitudes drove not just customer service but also turnover and the likelihood that employees would recommend Sears and its merchandise to friends, family, and customers. We discovered that an employee’s ability to see the connection between his or her work and the company’s strategic objectives was a driver of positive behavior…. We were also able to establish fairly precise statistical relationships. We began to see exactly how a change in training or business literacy affected revenues.” • 这真是激动人心的事情，我们可以看到员工的态度是如何驱动以下情况发生变化的：不仅仅是表现在对顾 客的服务质量、营业额上，并且还表现在员工愿意把sears和它的产品推荐给朋友、家人和顾客的可能性上 。我们发现从员工的能力可以看到他的工作和公司战略目标之间的关系是积极的行为驱动。我们可以建立 比较精确的统计关系。 我们开始意识到培训和业务素质的变化如何影响到收入。 • Source: Rucci, Kirn, & Quinn, HBR, Jan-Feb 1997

19. Sears (Con’t) • Predictive model: A 5 point increase in employee attitudes will lead to a 1.3% increase in customer satisfaction which leads to a 5 % increase in store revenue • 预测模型：员工的态度增长5%，可以使顾客满意度增长1.3%，从而使商店营业额增长5% • Source: Rucci, Kirn, & Quinn, HBR, Jan-Feb 1997

20. 连接人力资源模型和测量系统 Linking Human Resources Architecture and Measurement Systems • Create a Strategy Map 建立战略地图 • Leading and Lagging Indicators 领先和落后的指标 • Tangibles and Intangibles 有形和无形资产 Align the HR Architecture with HR Deliverables使人力资源结构和人力资源付出相匹配 人力资源职能 人力资源系统 战略雇员行为 Clearly Define Business Strategy 清晰定义商业战略 Build a Business Case for HR as a Strategic Asse 建立一个人力资源作为战略资产的商业案例。 t Identify HC Deliverables Within the Strategy Map 在战略地图内，人力资本可达到的目标 Regularly test measures against strategy map Design the Strategic Measurement System 测量系统的设计战略 Develop HR Scorecard (leading, lagging, cost control, & value creation measures)发展人力资源平衡计分卡（领先，落后，成本控制，与价值创造的措施）。 Measure HR 人力资源计量 Intangibles无形资产 Firm Performance Relationships 企业绩效的关系 Implement Management by Measurement通过测量实施管理

21. Step 1: Clarify Strategy 明确战略

22. Step 2:建立人力资源和投资的一个商业案例测试Build a Business Case for investing in HR and in Measurement • Be clear about how & why HR matters for strategy implementation • 清楚知道人力资源是如何及为何对战略实施产生重要作用 • Understand HR’s role in value creation • 了解人力资源在创造价值过程中的作用。 • Understand HR’s role in cost control • 了解人力资源在成本控制中的作用

23. Step 3: Create a Strategy Map 建立战略地图 • Develop consensus about how the business creates value • 有关如何在企业发展创造价值的共识。 • Results in cause and effect statements about leading and lagging performance drivers • 绩效驱动力的原因和结果 • Leading: what you manage 你管理什么 • Lagging: performance outcomes 绩效产出

24. 战略地图：能力技能达到焦点 财务 （提升股东价值）（从现有的顾客中获得营业额） 顾客 （服务 合伙关系） 内部执行 (提供目标培训和服务)（建立对现有目标员工的评估体系） 战略 （销售佣金）（理解员工技能差异） Reprinted with permission of GTE Corporation

25. Step 4: Identify HC Deliverables Within the Strategy Map • Not all “people” issues drive strategy • 并不是所有和人力资源有关的都驱动战略 • This step is about determining which ones do 这一步决定了要去做哪些事 HumanCapitalDeliverable 人力资本输出 Work Organization 工作组织 Competencies 能力 X Motivation 动机 X =

26. HR Function 职能 HC System 体系 Strategic Employee Behaviors 战略员工行为 Step 5: Align HR Architecture With HC Deliverables人力资源机构和人力资本付出相匹配 HR Function HC System Strategically Focused Behaviors

27. Step 6: Design a Strategic Measurement System 设计战略测量系统 • Develop HC Scorecard (leading, lagging, cost control, and value creation measures) • 发展人力资源平衡计分卡（前置驱动力，后置驱动力，成本控制，与价值创造的措施） • “Nest” measures to ensure that success at lower levels leads to success at higher levels • Nest措施以确保在较低的水平成功带来更高层次的成功。 • Create appropriate line-of-sight at all levels of the organization • 在组织的各个层面建立一个合适的边界

28. HR Efficiency • Relative Cost • Timeliness HR Scorecard Template 人力资源记分卡的模板 HR产出 HR效率 HR Deliverables • 技能 • 动机 • 工作环境 • Skills • Motivation • Work Environment • 相关成本 • 及时性 HR Alignment（ HR 整合，fit） • Internal Alignment (Fit) among HR management practices • 内部整合：HR各模块之间的功能协调 • External Alignment (Fit) with line manager’s strategic goals • 外部整合：HR与直线经理目标的适应 High Performance Work System 高绩效工作系统 Selection & promotion linked to competency model * 晋升机制与素质模型相联系 Development & promotions linked to the needs of the business * 发展与晋升模型与商业目标相联系 Performance management & compensation systems attract, select, and motivate employees 绩效管理系统和薪酬体系泳衣吸引、选择和激励员工 HR Manager Competencies（HR经历的素质模型） Personal Credibility个人信用 Change management 变革管理 Culture Management 文化管理 Delivery of HR basics HR基本策略的传递与沟通 Knowledge of the Business商业知识 Strategic Performance management战略导向的绩效管理

29. HR Scorecard Template人力资源记分卡的模板 人力资源记分卡 目标 方法 目标 创新 HR Deliverables HR产出 HR效率 HR Efficiency HR整合 HR Alignment 高绩效工作系统 High Performance Work System HR经理的胜任力 HR Manager Competencies

30. Strategy Map at Advertising, Inc.广告公司的战略地图 Employees actively work to implement strategy 员工主动性工作以促进战略落实 HR initiatives and systems HR系统 Goals from Strategy Map 战略地图目标 People Competencies and HR outcomes 人员素质和hr产出 • % new hires thru Ideas Brief Training通过简单创意训练的新员工比例 • % new hired using Ideas Profiler competency model使用创意素质模型的新员工比例 • % rollout of new incentive pay plan铺设新的激励薪酬计划的比例 • % rollout of strategic focus initiative确定战略聚焦的比例 • % of Inspirational Players retained保留优秀员工的比例 • avg. Ideas Profile score of new hires.新员工创意打分的平均值 • % employees who see compensation linked to BFI performance drivers认为薪酬与绩效驱动相联系的员工比例 • % who understand how their job contributes to S&S performance 认为自己的工作能够支持组织绩效的员工比例 • Employee performance rated on Selling and Generating ideas 在创意层面对员工绩效的评分 • gets physical engagement of the right people和正确的人打交道 • demonstrates pt of view（PT观点的演示） • generates interest in ideas产生创意的兴趣 • develops compelling business case开发引人注目的商业案例 • strong relationship management performance强关系管理的绩效 “Big Fabulous Ideas” Are Created! 激发伟大创意

31. Implementing an HR Scorecard: Advertising, Inc. HR Scorecard 人力资源记分卡 Objective目标 Measure方法 Target目标 Initiative • Generate Ideas (IP) • demonstrates pt of view • engages right people • generates interest • 90% of PPI ratings at “Peak” • No Final PPI rating below “Expected” • 360 feedback • clients • team members • leader HR Deliverables HR产出 • Sell Ideas (IP) • relationship mgt performance • dev. persuasive bus. case HR效率 • Ideas Brief Training by deadline • Training costs at or below industry norm • 75% new hires trained with 3mths start date. • actual/ industry norm • 100% trained 90-100% of industry norm HR Efficiency HR整合 • Hiring Focuses on Ideas People • Rewards aligned to motivate HR Deliverables • Development focused on HR Deliverables • No negativeratings • Average ratingof at least 50% Peak. • Develop partnerships agency/acct. leaders • Track progress of implementation HR Alignment • Alignment Index • Selection using Ideas Profiler • Reward system for “Inspirational Players” • Implement Ideas Brief Trg. • 360 Appraisal System • New hire score on Idea Profiler • Pay differential. • Training Pre-Post Idea Score. • 360 feedback completed as required • x% above 90 • avg differential of x% • number trained by deadline • 100 participation 高绩效工作系统 • BFI competency model • Idea Profile Training • Design and roll out equity and bonus program. • Develop and impl 360. High Performance Work System HR经理的胜任力 • Targeted in-house and external development programs. • Special developmental projects. • HR Directors possess competencies that are linked to the needs of the business • Rating on validated competency assessment tool (360) • At least half of all criteria are rated at Peak Performance. HR Manager Competencies

32. Step 7: Overview of Change Processes (GE’s Model)步骤7：变革过程概览 • Leading change (WHO)领导变革 • Creating a shared need (WHY)使各方都要求变革 • Shaping a vision (WHAT)塑造愿景 • Mobilizing commitment (WHO ELSE)动员与承诺 • Using levers for change (HOW)运用变革杠杆 • Monitoring progress (HOW)流程监督 • Making it last (HOW)达成目标

33. The Importance of Communication沟通的重要性 • Seven times, seven modes7个时期，7个模式 • Example: Verizon’s Movie • Example: Learning Maps (From Root Learning, Inc.)

35. What Have We Learned So Far? Best Processes in Measuring and Evaluating HRM Systems内容回顾：测量和评价HR管理系统的最佳工具 Derived from a very clear understanding of firm strategy and operational goals • 来自对公司战略和经营目标的清晰理解 Linked to the key value drivers throughout the business • 与业务流程中关键价值驱动相联系 Is focused on the “vital few” measures that really make a difference • 对公司中“重要的少数人”的关注会带来不同 Based on sound behavioral science research methods • 基于合理的行为科学的研究方法 Uses “nested” measures of performance • 应用“nest”绩效措施 Is used by managers as a key decision-making tool • 被管理者用于关键决策工具

36. 谢谢！