我国国有企业长期以来被人们认为是“铁饭碗”、“大锅饭”，主要因为大部分 国企的员工收入稳定、福利待遇好、绩效考核易于完成等原因。2018 年，国务 院在改革国有企业工资决定机制意见中，提出深化企业内部分配制度改革，强调 以业绩为导向，向关键岗位、生产一线岗位和紧缺急需的高层次、高技能人才倾 斜，合理拉开工资分配差额，加强全员绩效考核。 本文选取 T 公司为研究对象，公司内对高管以上实行年薪制，对基层人员实 行绩效激励制，其中基层人员考核实行“德能勤绩廉”考核模式。本文从核心部门 与辅助部门绩效考核视角，通过对国外、国内在绩效考核领域的文献研究，研究 绩效考核的重要意义，并建立与工程建设类相关的考核指标体系进行针对性考核， 然后从绩效考核与绩效工资挂钩的角度，提高公司以及全体职工对绩效的重视， 提高工作效率。进而，将相关的研究结果与总公司下属所有在建项目公司进行对 比，不断优化，并对后续新建项目公司的考核体系进行分享推广，这对工程建设 类国企绩效考核体系优化有着重要意义。 关键词：核心部门，辅助部门，绩效考核体系，平衡计分卡，关键业绩指标iii LIST OF ABBREVIATIONS BSC: Balanced Scorecard KPI: Key Performance Indicators VCDPI: Virtue, Capability, Diligence, Performance and Integrity PIV: Performance Intercross Valuationiv TABLE OF CONTENTS ABSTRACT.......................i 摘要ii LIST OF ABBREVIATIONS.........................iii LIST OF TABLES............ x 表 目 录.....................xii LIST OF FIGURES....... xiii Chapter I. Introduction......1 1.1 Research Background..........................1 1.2 Research Significance.........................2 1.2.1 Theoretical significance............2 1.2.2 Practical significance................2 1.3 Research Framework...........................3 Chapter II. International and Domestic Literature review...............6 2.1 Definition of Performance Appraisal..6 2.2 Three Types of Common Performance Appraisal Methods............................. 6 2.2.1 Balanced Score Card.................6 2.2.2 Key Performance Indicator.......6 2.2.3 360-Degree Feedback...............7 2.3 International Literature review............7 2.4 Domestic Literature review...............10 Chapter III The Case Description of the Performance Appraisal System in Company T14 3.1 Background of Company T...............14 3.1.1 Introduction of the Highway Construction Industry.............................14 3.1.2 Introduction of Company T....14 3.1.3 Indicators of Annual Performance Appraisal in Company T...............16 3.2 The Performance Appraisal Systems of Company T from 2015 to 2019.......17 3.3 The Status Quo of the General Performance Appraisal System in Company T20v 3.3.1 The Performance Plan of Primary-level Technical Personnel in Company T....... 21 3.3.2 The Performance Plan of Primary-level Auxiliary Personnel in Company T....... 21 3.3.3 Comparison Between Core Department and Auxiliary Departments in Company T....... 21 Chapter IV Case Analysis.............................. 23 4.1 Comparison of the Results of Evaluation Systems in Company T from 2015 to 2019......................23 4.2 The Feedbacks and Applications of Performance Appraisal in Company T..26 4.2.1 The Feedbacks of Performance Appraisal in Company T....................26 4.2.2 The Applications of Performance Appraisal in Company T................27 4.3 Questionnaires and Interviews..........27 4.3.1 Results of Questionnaires Issued on All Employees by the Head Office27 4.3.2 Interviews on Performance Appraisal of Core Department..................30 4.3.3 Questionnaires on Performance Appraisal of Company T...................33 4.4 Existing Problems in the Performance Appraisal Systems of Company T.....36 4.4.1 No Improvements on Annual Appraisal Indicators..............................37 4.4.2 No Inclusion of the Monthly Performance Plan....37 4.4.3 Poor Adaptability of Performance Appraisal and Compensation System37 4.4.4 Poor Application of Performance Appraisal Results............................38 4.4.5 Poor Communication on Performance Appraisal Results....................38 4.4.6 No Consideration between Appraisal and Departments.......................39 Chapter V The Optimized plan of Performance Appraisal System for Company T....40 5.1 Optimization Concepts and Principles of Performance Appraisal System.....40 5.1.1 Optimization Concepts........... 40 5.1.2 Optimization Principles..........41 5.1.3 Optimization Ideas..................41 5.2 The Design of Assessment Indicators and Weights.........44vi 5.2.1 Departmental Assessment.......44 5.2.2 Individual Assessment............45 5.2.3 The Core Department..............46 5.2.4 Auxiliary Departments............50 5.2.5 Weight Assignment of Departmental and Individual Appraisal Indicators.......... 53 5.3 Communication and Feedback..........71 5.3.1 Pre-communication and Indicator Determination..71 5.3.2 Feedbacks and Complaint.......71 5.3.3 Improvement Suggestions...... 72 5.4 Results Application...........................72 5.4.1 Selection and Promotion of Advanced Employees72 5.4.2 Primary Distribution for Individual Annual Bonus..............................73 5.4.3 Secondary Distribution for Departmental Annual Bonus.....................73 Chapter VI Limitations and Prospects............74 6.1 Limitations.........74 6.2 Prospects............ 75 References.......................78 Appendices......................81 Appendix A..............81 The Questionnaire for the Performance Management by the Head Office in 201581 Appendix B..............83 Outline of the Interview..........................83 Appendix C..............85 Questionnaire for Performance Evaluation of Company T....85vii 目 录 ABSTRACT.......................i 摘要ii LIST OF ABBREVIATIONS.........................iii LIST OF TABLES............ x 表 目 录.....................xii LIST OF FIGURES....... xiii 第一章 绪论.....................1 1.1 研究背景.............1 1.2 研究意义.............2 1.2.1 理论意义.. 2 1.2.2 实际意义.. 2 1.3 研究结构.............3 第二章 文献综述.............6 2.1 绩效考核含义.....6 2.2 三种常见的绩效考核方法................6 2.2.1 平衡计分卡............................. 6 2.2.2 关键绩效指标......................... 6 2.2.3 360 度评价 7 2.3 国外文献综述.....7 2.4 国内文献综述.10 第三章 案例描述 T........14 3.1 T 公司背景介绍14 3.1.1 公司行业简介....................... 14 3.1.2 公司简介 14 3.1.3 公司年度绩效考核指标........ 16 3.2 T 公司近五年绩效考核体系沿革...17 3.3 T 公司绩效考核体系现状 T...........20viii 3.3.1 T 公司基层技术人员绩效计划安排....................21 3.3.2 T 公司基层辅助人员绩效计划安排....................21 3.3.3 T 公司核心部门与辅助部门对比........................21 第四章 案例分析...........23 4.1 近五年绩效考核结果对比..............23 4.2 绩效结果反馈及运用情况 T.........26 4.2.1 绩效考核结果反馈............... 26 4.2.2 绩效结果运用情况............... 27 4.3 问卷调查及访谈..............................27 4.3.1 总公司针对分公司问卷调查结果...................... 27 4.3.2 核心部门访谈调查............... 30 4.3.3 公司内部问卷调查............... 33 4.4 绩效考核存在问题..........................36 4.4.1 考核指标未完善................... 37 4.4.2 月度绩效计划未考核........... 37 4.4.3 绩效考核不完全适用于薪酬福利制度.............. 37 4.4.4 考核结果运用未到位........... 38 4.4.5 考核结果沟通不清晰........... 38 4.4.6 核心部门和辅助部门“一刀切”...........................39 第五章 优化方案...........40 5.1 考核设计理念及原则......................40 5.1.1 设计原则 40 5.1.2 设计理念 41 5.1.3 设计思路 41 5.2 考核指标及权重设计......................44 5.2.1 部门指标设计思路................ 44 5.2.2 个人指标设计思路............... 45 5.2.3 核心部门指标分类............... 46ix 5.2.4 辅助部门指标分类............. 50 5.2.5 部门及个人指标权重分配... 53 5.3 沟通反馈设计...71 5.3.1 前期沟通与确认指标........... 71 5.3.2 结果反馈与申诉................... 71 5.3.3 体系完善建议....................... 72 5.4 考核结果运用设计..........................72 5.4.1 晋升及选优........................... 72 5.4.2 初次分配与个人年终奖挂钩.............................. 73 5.4.3 再次分配与部门年度额外奖金分配................... 73 第六章 不足与展望....