专业学位硕士学位论文
基于胜任力的D 公司绩效管理体系优化研究
Study on the Optimizing of D company’s Performance
Management System Based on Competence
作 者 姓 名： 宋小同
学科、 专业： 工商管理
学 号： 41911299
指 导 教 师： 周福战
完 成 日 期： 2022 年 5 月 27 日
大连理工大学
Dalian University of Technology
大连理工大学专业学位硕士学位论文
摘 要
随着知识经济时代的到来，市场需求越来越多元化。知识经济时代的一个重要特征
是，市场的竞争将从有形的产品、资金等转移到无形的智力资本，而高素质的人才就成
为了重要的资源。绩效管理作为人力资源管理的核心模块，企业能否顺应外部形势、立
足企业实际，持续优化绩效管理体系，对于推动企业的人力资源管理提升效能起着至关
重要的作用。绩效管理是根据企业发展蓝图和管理需求，将企业战略目标进行顶层设计，
层层分解，以此确定员工工作指标，明确员工工作方向，指导员工工作行为，发挥提升
个体绩效和组织目标达成的作用。
本文选用D 公司现行绩效管理体系作为研究对象，总结出其每个环节都存在相应问
题：绩效计划与公司战略间缺乏实质性的关联，绩效实施中缺少协调整合，绩效考核公
平性不足，绩效结果应用不充分，导致员工对绩效考核认可度不高、工作态度消极等问
题，造成公司运转低效，内部发展源动力不足，抵御外部竞争风险能力欠缺。本文首先
梳理了绩效管理和胜任力理论等相关研究文献，夯实后续研究具体解决方案的理论基
础。其次，通过实地调研，采取对各部门员工开展绩效管理访谈和问卷调查的方式，进
行数据和意见的归纳整理，结合 D 公司绩效管理体系实际，对其存在的问题进行了原因
分析，并提出了基于胜任力的绩效管理体系优化方案。通过重新明确 D 公司岗位职责，
将适用于D 公司的胜任力模型融入到组织绩效和岗位绩效计划制定。同时，结合360
度绩效评价法来完善考评主体。最后通过建立健全组织，构建企业文化等保障措施，优
化绩效管理体系，确保绩效管理真正发挥效能。
本文的研究目的在于通过以基于胜任力的 D 公司绩效管理体系优化研究为例，对企
业提高员工能力素质，挖掘员工潜在特质，促进提升企业竞争力提供一定的参考和借鉴
意义，同时在企业战略目标达成上发挥绩效管理应有的价值。
关键词：胜任力；绩效管理体系；优化
- I - 基于胜任力的 D 公司绩效管理体系优化研究
Study on the Optimizing of D company’s Performance Management
System Based on Competence
Abstract
With the advent of knowledge-based economy, market demand is becoming increasingly
diversified. An important feature of the knowledge economy era is that the competition in the
market will shift from tangible products and capital to intangible intellectual capital, and high
quality talents become an important resource. As the core module of human resource
management, whether an enterprise can continuously optimize its performance management
system in response to the external situation and based on the actual situation of the enterprise
plays a crucial role in promoting the effectiveness of human resource management.
Performance management is a top-level design of the company;s strategic goals according to
the enterprise development blueprint and management needs, and decomposes them at all
levels, so as to determine employees; work indicators, clarify their work direction, guide their
work behavior, and play a role in enhancing individual performance and organizational goal
achievement.
This paper takes the current situation of performance management system of Company D
as the research object, and there are a couple of problems in every part of its performance
management system: lack of substantial connection between performance plan and company
strategy, lack of coordination and integration in performance implementation, lack of fairness
in performance appraisal, insufficient application of performance results, resulting in low
recognition of performance appraisal and negative working attitude of employees, resulting in
inefficient operation of the company, insufficient internal development source motivation, and
lack of ability to resist The company;s operation is inefficient, its internal development
motivation is insufficient, and its ability to resist external competition risks is lacking. In this
paper, we firstly sort out the papers related to performance management and competency
theories to consolidate the theoretical basis for the subsequent study of specific solutions.
Secondly, through field research, performance management interviews and questionnaires
with employees in each department, data and opinions are summarized and collated, and the
causes of the problems are analyzed in the light of the actual performance management in
Company D. The optimization plan of the performance management system based on
competency is proposed. By reorganizing the job responsibilities of Company D, the
competency model applicable to Company D was incorporated into the organizational
performance and job performance plan formulation. At the same time, the 360-degree
- II - 大连理工大学专业学位硕士学位论文
performance evaluation method is combined to improve the appraisal subjects. Finally, we
optimize the performance management system by establishing a sound organization and
building a corporate culture and other safeguards to ensure that performance management is
truly effective.
The purpose of this paper is to provide some reference and reference significance for
enterprises to improve the competency of employees, explore the potential traits of employees,
and promote the competitiveness of enterprises by taking the study of competency-based
performance management system optimization of Company D as an example, and at the same
time, play the value of performance management in achieving the strategic goals of
enterprises.
Key Words：Competence; Performance Management System; Optimize
- III - 基于胜任力的 D 公司绩效管理体系优化研究
目录
摘 要 .................... I
Abstract .................... II
1 绪 论 .................... 1
1.1 研究背景与意义 .................. 1
1.1.1 研究背景 ............ 1
1.1.2 研究意义 ............ 2
1.2 研究内容与技术路线 ................. 2
1.2.1 研究内容 ............ 2
1.2.2 研究技术路线 ........... 3
1.3 研究方法与创新点 .............. 3
1.3.1 研究方法 ............ 3
1.3.2 研究创新点 ............... 4
2 理论综述 .................... 5
2.1 绩效管理理论概述 .............. 5
2.1.1 绩效管理基本内涵 .......... 5
2.1.2 绩效管理体系基本内容 ......... 6
2.1.3 绩效管理主要应用方法 ......... 8
2.2 胜任力理论概述 ................ 10
2.2.1 胜任力基本内涵 ............ 10
2.2.2 胜任力模型研究应用 ........... 10
2.3 基于胜任力的绩效管理体系研究概述 ........ 14
3 D 公司绩效管理体系现状及问题分析 ............ 15
3.1 公司概况 .............. 15
3.1.1 公司简介 ................. 15
3.1.2 主营业务介绍 ................ 15
3.1.3 公司组织架构及人力资源概况 ......... 15
3.2 绩效管理体系现状 ............ 18
3.2.1 公司绩效管理体系制度 .............. 18
3.2.2 现行绩效管理体系 ............... 19
3.2.3 绩效管理调查问卷结果 .............. 21
3.3 绩效管理体系存在的问题 .............. 23
- IV -