绩效考核是现代企业管理的重要部分，更是人力资源管理的关键内容， 与企业业绩持续增长、实现稳定发展密切相关。长期以来，绩效考核不完善 不科学已经成为制约我国国有企业发展的重要因素，也是当前国有企业体制 机制不活不优的重要成因。大庆市J公司作为成立多年的国有独资公司，虽 然已经初步建立了绩效考评体系，但高层管理者绩效考评制度不健全、执行 不到位仍是其较为突出的弱项短板。如何建立健全、执行保障高层管理者绩 效考评体系，充分发挥激励约束作用，成为摆在国有企业面前的一项重大课 题。 本文以大庆市J公司高层管理者为研究对象，基于国内外人力资源理论， 阐述了当前公司高层管理者绩效考核现状，通过数据分析和归纳推理等方法 查找出考核标准模糊、程序单薄、激励机制乏力、监督效用不足、结果运用 不实等问题，分析得到了管理思想不解放、顶层设计不科学、配套机制不健 全、改革阻力不间断等深层原因。接下来，以促进职能发挥、服务企业发展 为导向原则，从经营业绩、客户满意度、管理流程、创新能力等维度出发， 建立了以社会效益作为首要内容、以经济效益和素质能力作为组成内容、以 负面清单突出一票否决，以联动、奖惩为保障机制的考评体系，实现从实体 和程序上丰富内容指标、健全程序环节、强化结果运用。这样既为大庆市J 公司高层管理者现有绩效考评体系提供参考借鉴，也激励市属国有企业实现 经济效益与社会效益、其高层管理者工作业绩与公司经营状况的“双提升”。 关键词：高层管理者；绩效考核；考评体系；激励机制 哈尔滨工业大学工商管理硕士学位论文 - II - Abstract Performance appraisal is not only an important part of modern enterprise management, but also a key part of human resource management. For a long time, the imperfect and unscientific performance appraisal has become an important factor restricting the development of China's state-owned enterprises, as well as an important cause of the current system and mechanism of state-owned enterprises. As a wholly state-owned company established for many years, Daqing J company has initially established a performance appraisal system, but its weak points are the imperfect performance appraisal system for senior managers and the inadequate implementation. How to establish, improve and implement the performance evaluation system for senior managers and give full play to the role of incentive and restraint，it has become a major task in front of state-owned enterprises. Taking Daqing J company top managers as the research object, based on the theory of human resources at home and abroad, this paper expounds the current status of the company top manager performance evaluation, through data analysis and inductive reasoning methods, the problems such as fuzzy assessment standard, weak program, weak incentive mechanism, insufficient supervision effect and false application of results were found out, the deep reasons, such as unemancipated management thought, unscientific top-level design, unsound supporting mechanism and continuous resistance to reform are obtained. Next, in order to promote the function display, the principle of service enterprise development as the guidance, from the business performance, customer satisfaction, management process, the dimension of innovation ability and so on, established the social benefit as the primary content and the economic benefit of ability and quality as the content, outstanding in a negative list one ticket veto and guarantee mechanism with linkage, rewards and punishments for appraisal system, to implement rich content index from the entity and procedure, perfecting procedures, strengthening the results using. This not only provides a reference for the existing performance evaluation system for senior managers of Daqing J company, but also encourages city-owned state-owned enterprises to 哈尔滨工业大学工商管理硕士学位论文 - III - achieve "double promotion" of economic and social benefits, work performance of their senior managers and operating conditions of company . Keywords: senior management, performance appraisal, evaluation system, incentive mechanism 哈尔滨工业大学工商管理硕士学位论文 - IV - 目 录 摘要 ................................................................................................................. I Abstract ............................................................................................................. II 第1章 绪论 ...................................................................................................... 1 1.1 课题来源及研究目的和意义 ................................................................... 1 1.1.1 课题来源 ........................................................................................... 1 1.1.2 课题研究的背景和意义 .................................................................... 1 1.2 国内外研究现状 ...................................................................................... 2 1.2.1 国外研究现状 ................................................................................... 2 1.2.2 国内研究现状 ................................................................................... 4 1.2.3 国内外研究状况评述 ........................................................................ 5 1.3 研究内容和方法 ...................................................................................... 5 1.3.1 研究内容 ........................................................................................... 5 1.3.2 研究方法 ........................................................................................... 5 第2章 公司高层管理者绩效考核现状及问题分析 ......................................... 7 2.1 大庆市J公司基本概况 ........................................................................... 7 2.2 大庆市J公司高层管理者构成情况 ........................................................ 7 2.3 大庆市J公司高层管理者绩效考核情况 ................................................ 8 2.3.1 公司领导班子现有综合考核评价要点 ............................................. 8 2.3.2 公司领导人员现有综合考核评价要点 ............................................. 9 2.4 大庆市J公司高层管理者问卷调查数据分析 ....................................... 10 2.4.1 调查问卷基本情况 ...........................................................................11 2.4.2 描述性分析 ......................................................................................11 2.4.3 信度和效度分析.............................................................................. 12 2.4.4 调研结论 ......................................................................................... 14 2.5 大庆市J公司高层管理者绩效考核问题分析 ....................................... 17 2.5.1 考核标准模糊 ................................................................................. 17 2.5.2 考核程序单薄 ................................................................................. 18 2.5.3 激励机制乏力 ................................................................................. 19 2.5.4 监督效用不足 ................................................................................. 20 2.5.5 考核结果运用不实 .......................................................................... 21 哈尔滨工业大学工商管理硕士学位论文 - V - 2.6 大庆市J公司高层管理者绩效考核问题成因分析 ............................... 21 2.7 本章小结 ................................................................................................ 22 第3章 改进公司高层管理者绩效考核的路径探索 ....................................... 23 3.1 清晰认识公司的类型特点 ..................................................................... 23 3.2 科学制定公司高层管理者绩效考核的基本原则................................... 24 3.3 准确把握公司高层管理者绩效考核的主要标准................................... 25 3.4 完善公司高层管理者绩效考核实体内容指标 ...................................... 27 3.4.1 社会效益的考核内容和指标 .......................................................... 27 3.4.2 经济效益的考核内容和指标 .......................................................... 29 3.4.3 素质能力的考核内容和指标 .......................................................... 32 3.4.4 负面清单的考核内容和指标 .......................................................... 32 3.