S 所作为我国重要的科研机构，在现代化运营管理过程中，如何通过有效的人力资 源绩效管理来实现效率提升，推动研究所长久发展是一项重要的任务。目前 S 所的知识 型员工已经占到总员工人数的 75%。但在绩效管理过程中并未针对知识型员工的工作特 点与能力需求设计创新更加合理有效的绩效管理方式，绩效管理体系相对落后。本文研 究通过对 S 所知识型员工绩效管理现状进行调研发现，目前研究所的绩效管理使用的是 结果导向的短期指标评价与管理的方式，这种方式通过短期的劳动产出指标进行指标化 定量核算，在绩效管理期内进行绩效管理计划、监督、评价与反馈工作。在面对知识型 员工的持续长期智力投入、产出风险、持续学习与创新成长的能力需求与工作特点时， 这种绩效管理方案出现了管理针对性不足，忽视员工成长，绩效管理体系与员工的能力 和发展不匹配问题，而且本文调研中还发现，S 所绩效管理的反馈机制不完善，导致绩 效管理结果难以实现改进优化等问题的产生。 在目前 S 所绩效管理问题挖掘的基础上，本文通过对现有绩效管理的方法进行分析 筛选，选择使用基于胜任力模型的绩效管理体系来解决 S 所的绩效管理问题。该管理模 式能够有效突破现有的绩效管理问题，实现绩效管理与知识型员工能力需求和工作特性 协调，科学评价反馈，实现员工成长，推动绩效管理效率。本文通过对 S 所知识型员工 工作分析，采用事件访谈法与专家意见综合法对知识型员工胜任力指标进行选取，构建 了 S 所知识型员工胜任力绩效管理体系，并对绩效管理过程、考核方案进行设计，完成 了基于胜任力模型的绩效管理体系构建。最后本文针对研究设计的绩效管理体系，提出 S 研究所基于胜任力模型的知识型员工绩效管理方案实施需要从组织保障建设和制度保 障建设两个方面完善保障措施。 本文研究是针对 S 所的绩效管理现存问题进行解决的实证性研究，通过基于胜任力 模型的绩效管理体系创新实现对 S 所绩效管理方案优化，完善绩效管理体系，保障 S 所 的持续快速发展。 关键词：S 所；胜任力模型；绩效管理体系-II- Abstract As an important scientific research institution in our country, in the process of modern operation and management, how to improve the efficiency through effective human resource performance management and promote the long-term development of the S Institute is an important task. At present, the knowledge-based employees of the S Institute have accounted for75%ofthetotalnumberof employees.However,intheprocessofperformancemanagement, there is no design and innovation of more reasonable and effective performance management mode aiming at the work characteristics and ability needs of knowledge-based employees, and the performance management system is relatively backward. Through the research on the current situation of knowledge-based employees' performance management in the S Institute, this paper finds that the current performance management in the S research institute uses the result oriented short-term index evaluation and management method, which uses the short-term labor output index for index quantitative accounting, and carries out the performance management plan, supervision, evaluation and feedback during the performance management period.Inthefaceofthe continuousandlong-termintellectualinput,outputrisk,abilitydemand and work characteristics of continuous learning and innovation growth of knowledge-based employees, this performance management program has some problems, such as lack of management pertinence, neglect of employee growth, performance management system and employee'sabilityanddevelopmentmismatch.Moreover,thispaperalsofindsthatthefeedback mechanism of performance management in the S research institute is endless Good results in performance management results difficult to achieve improvement and optimization. Based on the current S Institute performance management problem mining, this paper analyzes and selects the existing performance management methods, and chooses to use the performance management system based on competency model to solve the performance management problems of the Research Institute. This management mode can effectively break through the existing performance management problems, realize the coordination between performance management and knowledge-based employees' ability needs and work characteristics, scientifically evaluate and feedback, realize the growth of employees, and promote the efficiency of performance management. In this paper, through the analysis of the work of knowledge-based employees in the Research Institute, using the method of event interview and expert opinion synthesis to select the competencyindicators of knowledge-based employees, the competency performance management system of knowledge-based employees- III - in the S research institute is constructed, and the performance management process and assessment scheme are designed, and the performance management system based on competency model is constructed. Finally, this paper proposes that the implementation of the performancemanagement scheme of knowledge-basedemployeesin S Research Institute based on competencymodel needs to improve the security measures from two aspects: organizational security construction and system security construction. This paper is an empirical study to solve the existing problems of performance management in the S Research Institute. Through the innovation of performance management system based on competency model, we can optimize the performance management scheme of s Institute, improve the performance management system, and ensure the sustained and rapid development of the S Research Institute. Key Words: S Research Institute；Competency model；Performance management system-IV- 目 录 第一章 绪论.........................................................1 1.1 研究背景、目的与意义 ........................................1 1.1.1 研究背景...............................................1 1.1.2 研究目的...............................................3 1.1.3 研究意义...............................................3 1.2 国内外研究现状 ..............................................4 1.2.1 国外研究现状...........................................5 1.2.2 国内研究现状...........................................6 1.3 研究内容与方法 ..............................................8 第二章 相关概念与理论..............................................11 2.1 知识型员工 .................................................11 2.2 胜任力模型 .................................................13 2.3 绩效管理 ...................................................14 第三章 S 所知识型员工绩效管理现状与问题 ............................18 3.1 S 所简介....................................................18 3.2 S 所知识型员工绩效管理现状..................................19 3.2.1 现有员工绩效管理制度分析..............................20 3.2.2 知识型员工绩效管理效果分析............................21 3.2.3 知识型员工绩效管理满意度分析..........................21 3.3 知识型员工绩效管理的问题 ...................................23 3.3.1 绩效管理体系缺少反馈提升方案..........................23 3.3.2 绩效考核针对性不足....................................25 3.3.3 绩效管理忽视员工成长..................................25 3.4 知识型员工绩效管理问题原因分析 .............................26 3.4.1 绩效管理认知不足......................................26 3.4.2 绩效管理流程僵化......................................27 3.4.3 知识型员工工作特殊性重视不足..........................28 3.4.4 重考核轻改进..........................................28- V - 第四章 S 所知识型员工胜任力模型构建 ................................30 4.1 知识型员工胜任力模型构建方法选择 ...........................30 4.2 知识型员工胜任力指标获取 ...................................33 4.3 知识型员工胜任力模型 .......................................37 第五章 基于胜任力模型的绩效管理方案................................40 5.1 绩效管理方案优化原则与目标 .................................40 5.2 知识型员工绩效管理计划制定 .................................41 5.2.1 知识型员工工作目标设定................................41 5.2.2 绩效考核周期计划......................................43 5.3 知识型员工绩效考核方案 .....................................43 5.3.1 考评主体选择..........................................43 5.3.2 分类考核方案.........................................