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	Theory X
Theory X offers management an easy rationalization for ineffective organizational performance: it is due to the nature of the human resources with which we must work.
•	Central principle: the direction and control through the exercise of authority (‘the scalar principle’)

•	The average human being has an inherent dislike of work and will avoid it if he can.

==>	Management places stress on:
o	Productivity
o	Concept of ‘a fair day’s work’
o	Evils of featherbedding & restriction of output [限产超雇，减少失业]
o	Rewards for performance

•	Most people must be coerced, controlled, directed, threatened with punishment to get them to push forth adequate effort toward the achievement of organizational objectives.

==>	Evidences:
o	Criticism of ‘human relations’
o	Criticism of ‘permissiveness’ [宽容] & ‘democracy’
o	Decentralization [权力下放] ⇒ recentralization [权力再集中]
o	The recession [衰退] of 1957-1958

•	The average human being prefers to be directed, wishes to avoid responsibility, has relatively little ambition, wants security above all.

==>	Evidence:
o	‘mediocrity [平庸] of the masses’
o	managers give private support & reflects in policy and practice
o	the managerial philosophy of paternalism [家长式作风]

There will be tension and conflict between staff and line as long as the staff departments are used as a service to top management to control the line.

Motivation (the core of HRM): Abraham Maslow’s ‘Hierarchy of Needs’
	
	Implications

•	The deprivation of needs has behavioral consequences. Negative behaviors are symptoms of illness, not the inherent human nature.

•	Most of the rewards, wages and fringe benefits [工资外的补贴] can be used for satisfying people’s needs only when he leaves the job. The only distribution they can make is in terms of status differences resulting from wage differentials.

•	Work is perceived as a form of punishment which is the price to be paid for various kinds of satisfaction away from the job.

•	Unless there are opportunities at work to satisfy their higher-level needs, people will be deprived. If management continues  to focus on the lower-level needs, the mere provision of rewards is bound [必定，肯定的] to be ineffective, and reliance [依赖] on the threat of punishment will be inevitable [不可避免的]. People will make insistent demands for more money though it has only limited value in satisfying higher-level needs, because it can become the focus of interest if it is the only means available.

•	The ‘carrot and stick’ theory goes along when individual is struggling for subsistence and can be controlled by management that can provide or withheld physiological and safety needs (employment, wages, working conditions, benefits). It doesn’t work once man has reached an adequate subsistence level and is motivated primarily by higher needs. Management cannot provide these higher-level needs, but can create or thwart [挫败，阻挠] people by failing to create conditions encourage and enable people to seek satisfactions for himself.

•	The philosophy of management by direction and control, regardless of whether it is hard of soft, is inadequate to motivate because the human needs on which this approach relies are relatively unimportant motivators of behavior in our society today.

•	Theory X explains the consequences of a particular managerial strategy. New approaches (decentralization, MBO, consultative supervision, democratic leadership) are the same, because they derive from the same inadequate assumption about human nature.

•	To some extent industrial management recognizes the human adult possesses capabilities for continued learning and growth. However, management appears to have concluded that the average human being is permanently arrested in his development in early adolescence. As Chris Argyris shown, conventional managerial strategies for the organization, direction, and control of the human resources of enterprise are admirably suited to the capacities and characteristics of the child rather than the adult.

•	Changes in the population at large have created both the opportunities and the need for other forms of selective adaption. However, so long as the assumptions of Theory X continue to influence managerial strategy, we will fail to discover, let alone utilize, the potentialities of the average human being.
•	
•	It is assumed that organizational requirements take precedence over the needs of individual members.

Theory Y
Theory Y places the problems squarely in the lap of management. If employees are lazy, indifferent, unwilling to take responsibility, intransigent, uncreative, uncooperative, Theory Y implies that the causes lie in management’s methods of organization and control.
•	Central principle: integration: the creation of conditions such that the members of the organization can achieve their own goals best by directing their efforts toward the success of the enterprise.

•	The expenditure of physical and mental effort in work is as natural as play or rest. Depending upon controllable conditions, work may be a source of satisfaction (voluntarily performed) or a source of punishment (avoided if possible).

•	External control and the threat of punishment are not the only means for bringing about effort toward organizational objectives. Man will exercise self-direction and self-control in the service of objectives to which he is committed.

•	Commitment to objectives is a function of the rewards associated with their achievement. The most significant of such rewards (e.g., the satisfaction of ego and self-actualization needs) can be direct products of effort directed toward organizational objectives.

•	The average human being learns, under proper conditions, not only to accept but to seek responsibility. Avoidance of responsibility, lack of ambition, and emphasis on security are generally consequences of experience, not inherent human characteristics.

•	The capacity to exercise a relatively high degree of imagination, ingenuity [机智，巧妙], and creativity in the solution of organizational problems is widely, not narrowly, distributed in the population.

•	Under the conditions of modern industrial life, the intellectual potentialities [智力潜能]of the average human being are only partially utilized.

The role of staff is regarded as that of providing professional help to all levels of management.

They are dynamic rather than static [静态的], they indicate the possibility of human growth and development, they stress the necessity for selective adaption rather than for a single absolute form of control.

Integration

It points up that the limits on human collaboration in the organizational setting are not limits of human nature but of management’s ingenuity in discovering how to realize the potential represented by its human resources.

It implicates that the organization will be more effective in achieving its economic objectives if adjustments are made, in significant ways, to the needs and goals of its members.

The organization is likely to suffer if it ignores the personal needs and goals.

Unless integration is achieved, the organization will suffer. The objectives of the organization are not achieved best by the unilateral [单方面的] administration of promotions, because this form of management by direction and control won’t create the commitment which would make available the full resources of those affected.

Integration means working together for the success of the enterprise so we all may share in the resulting rewards. But management’s implicit assumptions of that working together means adjusting to the requirements of the organization as management perceives them.
⇒ Consequences: anarchy [无政府状态，混乱], chaos, irreconcilable [不可调和的] conflicts of self-interest, lack of responsibility, inability to make decisions, and failure to carry out those that were made.

Application

Perfect integration of organizational requirements and individual goals and needs is not a realistic objective. In adopting this principle, we seek that degree of integration in which the individual can achieve his goals best by directing his efforts toward the success of the organization. ‘Best’ means that this alternative will be more attractive than the many others available to him. It means that he will continuously be encouraged to develop and utilize voluntarily his capacities, knowledge, skill, ingenuity in ways which contribute to the success of the enterprise.

People will exercise self-direction and self-control in the achievement of organizational objectives to the degree that they are committed to those objectives. Managerial policies and practices materially [显著地，相当地] affect this degree of commitment.

Authority is an inappropriate means for obtaining commitment to objectives. But it is an appropriate means for control under certain circumstances, particularly where genuine commitment to objectives cannot be achieved.

Genuine innovation requires (1) the acceptance of less limiting assumptions about the nature of the human resources we seek to control; (2) the readiness [意愿，预备] to adapt selectively to the implications contained in those new assumptions.