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aI]',I .'rNonetheless, the Handbook, its techniques for problem diagnosis, andplanning in agencies.its explanations of other human-resource planning techniques, canbasic understanding, planning tends not to be fully or appropriatelyutilized.help point personnel administrators and planners toward discoveringVOLUME I I is bound in four parts and presents a means for com-a range of viable solutions for agency personnel problems.prehensively identifying and diagnosing personnel problems.Development of the planning handbook was supported with fundsfrom theu.s.phases.Phase I assessed criminal justice agencies' current capabilityIt isdesigned to be of primary interest to agency personnel administratorsDepartment of Justice (LEAA) and was conducted in twoand need of human-resource planning.When managers and planners do not share such aand planners.Problem diagnosis is a very crucial and very practicalpart of human-resource planning.Phase II, building on thisIt is crucial because without goodassessment, focused on the development of an extensive handbook thatdiagnosis, solutions to personnel problems cannot be adequately planned.,would assist criminal justice agencies more fully to implement and toIt is practical because it focuses on what every manager spends mostutilize human-resource planning techniques.of his or her time doing--identifying and dealing with conditions thatnegatively affect the agency's ability to meet its goals and objectives.THE HANDBOOKPractical tools are presented to help personnel administrators andThe Handbook is presented in three volumes (bound in eight partsfor convenience in handling and use).planners conduct two types of diagnoses.A comprehensive index to thecontents of these three volumes follows the executive summary.assessment of agency human resources--a general stocktaking wherebyUsedthe agen.cy takes an overall look at its organization.al climate, itsin conjunction with the index, the Handbook has been designed to allowpersonnel practices, and i.ts ability to acquire, to develop, and tomanagers and planners to choose those portions that are of mostemploy personnel.interest or are most needed.with directions:VOLUME I of the Handbook provides an introduction to human-1. ,an Organizational Climate Survey, 2. a Personn lAnalysis of results from administering these surveys will provideThe material in this volume'/is written to be of interest alike to agency top management, toagency personnel administrators, and to agency planners.Three ready-for'-use diagnostic surveys are providedPractices Survey, and 3. an Environmental Factors QuestionnaiE .resource planning in agencies·--what it is, how it is carried out,and how it can help the agency manager.The first type is an overalladministrators with an overview of the agency's strengths and weaknessesregarding its personnel processes and its ability to identify a.nd toOne principaldeal with internal and external factors that affect its acquisition andobjective of Volume I is for managers and planners to acquire a commonuse of personnel.This becomes essential background information foroverview about the definition, purposes, and uses of human-resourceixviii.),

'1/1later attempts to identify and to solve specific personnel-relatedBASIC DESIGN-FEATURES OF THE HANDBOOKproblems.A COMPREHENSIVE INDEX:, Few users will have the time or theThe second type of diagnostic tool presented is a step-by-stepneed to use all the material in these volumes and do everything thatprocedure that can be followed to diagnose specific personnel problemsis recommended.more pointedly.found in all of the volumes is provided.For example, the agency may have identified turnover,A comprehensive index or catalogue of materials to beAgency administrators andor an inability to attract qualified personnel, or poor performance byplanners may use this index or menu-system as a means of quickly findingemployees as problems needing special attention.the portions of the Handbook that will be of most help.Comprehensivediagnoses of the causes and effects of problems such as these iscrucial if effective solutions to them are to be found.SELF-ADMINISTRATION: The materials have been written toThe diagnost.icoptimize self-administration and self-learni'Q,g, and to minimize themodel provided offers a way of marshalling key agency thinkers and keyneed for outside help.information for diagnosing problems and for eventually finding solutions.Volume I I have been designed for administration and analysis in house.VOLUME I I I is bound in two parts and is a resource guide intendedhIIFor example, the diagnostic surveys found inOf course, some concepts or techniques will remain difficult to graspprimarily for use by agency personnel administrators and planners engagedand willin the more technical aspects of personnel administration and human-example, job analysis techniques di.scussed in Volume III are very complexresource planning.and are generally out of the reach of most agencies to apply themselvesTechniques such as job analysis, forecasting, equireadditional reading or the use of consultants.Forselection validation, performance measurement (to name a few) arewithout the help of outside experts.discussed.been to maximize as much as possible an agency's ability to do human-techniques.A common format is used throughout in presenting theseFirst, the nature of the techniques and its prime usesare presented.This is followed by a consideration of the majorNonetheless, the objective hasresource planning using in-house resources.PFWBLEM-FOCUSED APPROACH TO PLANN ING:With the exceptiontechnical and other supports required if the technique is to be used.of some of the sections of Volume I fN'heI'e many of the general concept.sSpecial attention is paid to factors that will limit an agency's abilityand ideas aboutto use a given technique, and alternativessituations.a e present dfor theseis designed tohuman- esourceh lpplanning are discussed, the Handbookmanagers and planners identify anddiagnos concretepersonnel problems (e.g., turnover, poor employee performance, inabilityto attract qualified personnel, EEO and Affirmative Action suits, andxso forth).The emphasis, therefore, is on dealing with specific problemsxi

-as opposed to discussing human-resource planning from a conceptualWHAT IS HUMAN-RESOURCE PLANNING?point of view alone.In the most general terms possible, human-resource planning isVARYING LEVELS OF "BUY-INfJ'r,Agenc i es .d'ffd1er i n t he rineefor and their ability to undertake human-resource planning.the process of determining what an agency needs to do to ensure .thatAgencyit has the right number and kinds of people doing the right jobs, andsize, environmental constraints, money, technical expertise, and thedoing those jobs well.nature of human-resource problems confronted by an agency all affectcomposed of two distinct yet related activities.the level of planning needed and possible.is called WORK FORCE PLANNING! while the second is labeledWhere possible, Handbookmaterials have been written to provide alternative levels and optionsin theu eoptionsof planning-related analytical techniques.possible.Thus, there areWorkforce planning analyzes the agency's need for personnel--howmany and what types of people.Managers and planners are free to buy in at the level deemedIt also analyzes the required missionsof the agency, determining the kinds of jobs that need to be done,most feasible and valuable.and what qualifications people who hold these jobs need.OUTS I DE CONSULTANTS:ag nciesThe first activitySTAFFING-NEEDS PLANNING.levels and kinds of analytical activitiespresented- differentTo accomplish this, human-resource planning isThe handbook material, besides helpingplanning is crucial, for without it agency management has little firmbecome more informed about what can be done in-house, helpsbasis on which toidentify conditions under which outside help is needed, what should beexpected of this outside help, and whom or what to look for.Workforcejustify the number and kinds of personnel hiredor how they are hired, assigned, and employed.OneStaffing-needs planning focuses on the various personnel adminis-ce1'1tral purpose has been to provide agencies with the informationtrative actions involved in acquiring, developing, and assigning agencynecessary to become more intelligent and critical consumers of workpersonnel.done by outside consultants.tration (e.g., recruitment, selection, training, assignment, job design,Sometimes, agencies have not been able tosufficiently direct consultants aboutwh tis needed or wanted.ThisThe processes and policies associated with personnel adminis-compensation, and so forth) are closely tied to human-resource planninghas frequently been the case, for ex.unple, when agencies sought outsidebecause personnel administrative actions put human-resource plans intohelp in validating selection and promotional practices) or when conductingoperation.job analyses.many people are needed (workforce planning), there is a need to determineJust as there is a need to determine what kinds and howand to plan the personnel actions required to acquire, to develop, andto employ personnel (staffing-needs planning).xiixiii-.111.-.- -.;. .r\ -

f'Human-resource planning encourages and helps direct agencymanagers to take a "comprehensive" approach to personnel managementand to the diagnosis of personnel problems.Factors affecting theSo, too, the numerous steps in the personnel administrativeprocess are interrelated and interdependent.Human-resource planningtechniques help managers and personnel administrators to consideron diagnosing personnel problems.the nature of and causes of the problem, and then to plan solutions.Several planning-related analytical techniques can help the managerAdditionally, human-resource planningnot only helps to diagnose current personnel problems, but also toanticipateWHY ENGAGE I HUMAN-RESOURCE PLANNING?Anticipating future requirements for manpower in the agency andforecasts th emergence of personnel problems.The kinds ofpersonnel problems that will arise in an agency arenumerous, and the combination of problems nearly infinite.forecasting future supplies of manpower are crucial to effectiveLikewise, crime trends, budgetA problem of poor agency performancepoorly utilized personnel requires agency managers first to diagnosein both of these endeavors.these factors in a more interrelated and systematic way.personnel management.Besides making forecasts, human-resource planning also focusesor inadequate performance occasioned by insufficient, unqualified, orneed for and the availability of agency personnel are highly interrelated.1So too, trendsthe causes of personnel problems will vary greatly from organizationin the economy, population trends and the like greatly affect the needto organization.for personnel, and they also influence the availability of personnel.conditions such as high turnover, poor employee performance, insufficientThus, knowledge of current environmental conditions and impendingpersonnel, unqualified personnel, poorly trained employees, chargesct.langes in these conditions .is vital to planning agency personnelof discrimination in hiring and promotion, inability to attractpolicy.qualified job applicants, constraints in assigning, reassigning, andCurrent agency personnel policies in the areas of recruitment,'Yhen we speak of personnel problems, we includeselection, training, and so forth, produce certain kinds of resultspromoting employees, and so forth.today that mayor may not be appropriate or satisfactory in the future.and tools ,described in the Handbook provide a basis for diagnosing theKn@wledge of both current results and likely future results producednature and causes of such problems and help identify and weighby agency personnel administrative practice is, thus, also important.potential solutions to them.Planning-related analytical techniquespr videthe agencym nagerwithpowerful tools not only to analyze present conditions and effects,but also to anticipate future conditions and effects.xivxvThe numerous analytical techniques

". .'.::.:. .)f.,.,;,!,,fTABLE OF CONTENTSVOLUME I:AN INTRODUCTION TO AGENCY HUMAN-RESOURCE PLANNINGDEFINITIONS, VARIETIES, AND PURPOSES OF PLANNING . . . . . . 3,iIProcesses Related to PlanningSteps in Planning and Difficulties in6T kingThem8IiLimited Rational Planning12IGoals and12 ,11Probl msProblem-Oriented Planning13Forecasting, Generating, and Testing Alternatives17Reactive, Active, and Comprehensive Planning20Alternative Planning Contexts21Summary251[,1.;j I1IHUMAN-RESOURCE PLANNING AND RELATED CONCEPTS . . . . 27Defining Human-Resource Planning29Human-Resource Planning and Management33Organizational Human-Resource Planning35Applications of Organizational Human-Resource Planning40Realities ofO ganizationalHuman-Resource Planning43Starting Points for Organizational Human-Resource Planning46Summary51xviiPreceding page blank

----- - - - - - -TVOLUMEVOLUME I (CONTINUED)Diagnosis as Auditing or as Assessment53Types of Data for Criminal Justice OrganizationalHuman-Resource Planning56Environmental Data61"Organizational Data64Work Load Data64iIf'I!71Employee Data7278Performance DataSU'tvn1.ARY 82IiI!30Environmental Sources of Problems31Organizational Sources of Problems33Employee Sources of Problems34THE ROLE OF INFORMATION IN PROBLEM DIAGNOSIS . . . . 35!Basic Information for Manpower-Problem Diagnosis40Factually-Based versus Evaluative Information42II,JDistinguishing Factual from Evaluative Information43!:Opinion-Based Information44IPIiIiifInformation about Priorities for Change45Descriptive, Evaluative, Prescriptive Information47Gathering Diagnostic Information56RELATING INFORMATION REQUIREMENTS TO THE BASIC DIAGNOSTIC MODELPROBLEMS AND PROBLEM FORMULATION 1Problem Diagnosis2Picturing the Diagnosis Process8How Much of a Problem is the, Problem?9271,i(i)VOLUME III PART 1: .DIAGNOSING HUMAN-RESOURCE PROBLEMS24Sources of Agency Human-Resource Problems!I\ 'IJob-Focused DataPART 1 (CONTINUED)General versus P oblem-Focused DiagnosisHUMAN-RESOURCE DATA AND INFORMATION . . 52General Notions about DataIII58S y 6212VOLUME III PART 21 SECTION A:ORGANIZATIONAL CLIMATE SURVEYDiagnosing Current Problems and For.ecasting Problems15RATIONALE AND DESCRIPTION . 70Symptoms versus Problems17The Information Goal of the Climate Survey71Organizational Development and Human-Resource Problem Diagnosis21Kinds of Employees and Kinds of Information71Problem Diagnosis and Canned Solutions22Levels of Questions72Setting Priorities forFull-S alexviiiProblem Diagnosisxix

{VOLUME II) PART2) SECTION A (CONTINUED)Commitment to Using Climate-Survey InformationVOLUME II) PARTEmployee Performance Appraisal7! iaClimate Surveys Yield Perceptual Informationi'5Ways of Interpreting Climate-Survey Findings76Kinds of Information Provided by a Climate Survey782) SECTION A (CONTINUED)I!118Employee Disciplinel.22Compensation125Employee Retention127Employee and Union Rolations129I Supervision133IjEqual Employment Opportunity/Affirmative Action137Motivation and Job Satisfaction139IIiThreats to Getting the Right InformationI:791!Organization and Issues Raised in the Climate Survey84IiDIRECTIONS FOR ADMINISTRATION OF THE ORGANIZATIONAL CLIMATE SURVEY 85Basic Steps in Survey Administration85Adapting the Climate Survey to a Particular Agency89General Points about Survey Administration89Iii1ORGANIZATIONAL CL IMATE SURVEY . . . . . 93Directions93Key Terms93Respondent Background Information94Missions, Goals, Objectives97Jobs, Tasks, Roles99Job Knowledge and Skills102Manning Levels104Recruitment106Selection108Training and Demotion116xxI I):I .IINTERPRETING RESPONSES. . . . 141 ,:.Overview of Analysis and Interpretation141Analysts and Interpreters146Issues of Importance in Survey Analyses147Question Valence148Finding Variation and Looking for Associations150Grouped Questions within Sections153Analyzing Responses in the Seventeen Survey Categories154ANALYZING CLIMATE SURVEY RESPONSES FOR PURPOSES OF PROBLEMIDENTIFICATION . . 196Analysis of Responses across Survey Sections197The Process:198Cross TabulationsUses of and Limitations to Climate Survey Analysis203Additional Guides for Analyzing Climate Survey Information204xxi ---- - --

VOLUME III PART 21 SECTION B:PERSONNEL PRACTICES SURVEYORGANIZATION OF THE PERSONNEL PRACTICES SURVEY.VOLUME III PART 21 SECTION C:ENVIRONMENTAL FACTORS QU STIONNAIRE206GENERAL CONSIDERATIONS AND CRITICAL ISSUES . . 347WHO SHOULD FILL THE SURVEY OUT . . . 208230ADMINISTRATION AND ANALYSIS . . 352Completing the Survey353Accuracy and Objectivity354Missions and Goals230Regularly Administer the Environmental Survey J0 b S, Tasks , and Roles243Analysis across CategoriesRlecruitment255Selection267Political InteractionsTra.ining277Euvironmental ClimateCompensation293Experience in Actual Agency Monitoring Responsibility361Retention311Authority for Decisions362Assignment317Sources of Knowledge and Competition362Equal Employment Opportunities320SECTION 1:GENERAL ENVIRONMENT MONITORING AND AWARENESSUnions and Collective Bargaining328SECTION 2:SPECIAL ENVIRONMENT MONITORING . 374Performance Appraisal337SECTION 3: FORMAL RELATIONSHIPS, INCLUDINGBOUNDARY-SPANNING ROLES . 389 lALYSISOF SURVEY FINDINGS " c.SECTION 1:PERSONNEL POLICY DEVELOPMENT AND IMPLEMENTATION . . 215SECTION 2:SPECIFIC PERSONNEL PRACTICES.ENVIRONMENTAL SURVEY:210357357THE GENERAL NATURE OF THE ENVIRONMENT . . . . . . 358SECTIO 4:358359360360.365GENERAL AGENCY RELATIONSHIPS . 393SECTION 5: AGENCY IDENTIFICATION OF ENVIRONMENTAL SUPPORT,COMPETITION, AND STRAIN " . 401xxiixxiii.),

VOLUME IIJ PARTVOLUME IIJ PART 3:COMBINING RESULTS OF THE THREE DIAGNOSTIC SURVEYS4(CONTINUED)Sources of Information470Data Storage Formats472GENERAL POINTS ABOUT COMBINING INFORMATION . 415Diagnostic Surveys as a Source of InformationALTERNATIVE WAYS OF VIEWING THE COMBINING PROCESS 417GROUP PROBLEM DIAGNOSISCOMBINING CLIMATE AND PERSONNEL PRACTICE SURVEY RESULTS . . . 419. . . . . . . . . . . . . . . . . . . II Group Composition.ADDING INFORMATION FROM THE ENVIRONMENTAL FACTORS QUESTIONNAIRE . 426. 0 475Applying Group Processes to Figure.':;;:430Moving Beyond DiagnosisVOLUME IIJ PART 4:A PROCEDURE FOR PROBLEM DIAGNOSIS435VOLUME IIJ PART 5:THE DIAGNOSIS OF UMAN-RESOURCE PROBLEMS:AN EXAMPLEDESCRIPTION OF THE STATE DEPARTMENT OF CORRECTION.486PROBLEM IDENTIFICATION . . . 491Step 1: Examining Existing Information495Step 2: Assembling the "Nominal Group"504Step 3: Group Consideration of Conditions509PROBLEM DIAGNOSIS AND HUMAN-RESOURCE PLANNING . 440444Prioritizing Problems482"A GENERAL MODEL FOR PROBLEM DIAGNOSIS . . . . . . . 431The Detailed Problem-Diagnostic Model474Basic Steps in Organizing Groqp Problem DiagnosisEXAMINING THE RELATIONSHIPS AMONG AREAS OF PERSONNEL PRACTICE 429SUMMARY473SECURING INFORMATION ON CONDITIONS, EFFECTS, AND CAUSES . 447Step 1:Identifying and Describing the Condition447Step 4:Defining the Condition517Step 2:Identifying and Weighing Effects450Step 5:Identifying Effects523453Step 6:Assessing Effects530Weighing Effects and Causes455Step 7:Identifying Causes532Effects456Step 8:Summary View539Causes461CONCLUSIONS\Step 3:Identifying and Assessing Causes a SOURCES AND TYPES OF DIAGNOSTIC INFDRMATION 465Information about Cause and Effectxxv468xxiv),Q 541

rVOLUME IIIHUMAN-RESOURCE PLANNING GUIDE:AN INTRODUCTION TO THEWHO WILL USE VOLUME III? "'PART 1PLANNING GUIDEHUMAN RESOURCEIIII I IIIIORGANIZATION OF VOLUME III , I t II I , , t t

resource planning in agencies·--what it is, how it is carried out, and how it can help the agency manager. The material in this volume is written to be of interest alike to agency top management, to agency personnel administrators, and to agency planners. One principal objective of Volume I is for managers and planners to acquire a common .