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在现行行政管理体制之下，海关总署和其派出机构及各直属关的考核机制
已经相对成熟，形成了相对固定的体系，但是各基层海关作为业务直接执行机
构，由于行政级别低、资源短缺，且业务方向各有侧重等，基层海关关员绩效
考核体系尚不成熟，属于较为初级的阶段，本文围绕如何让基层海关考核体系
更科学，更精准，从而体现出基层海关关员实际工作情况，以公正、公平、客
观为导向，争取能够为实现海关的现代化管理提供合理建议。
本文以黄埔海关下属基层海关XT海关为研究对象，对XT海关现有绩效考核
体系进行了分析，通过横向比较其他基层海关的绩效考核经验，梳理出现有考
核体系仍然存在的问题和优化空间。同时，结合XT海关的岗位设置及职能，分
维度、分层次的重新设计了一套绩效考核方案，并提出了考核方案实施过程中
需要强调注意的问题，全文共分为六个章节：
第一部分，论文从研究背景、思路、方法、意义入手，介绍了绩效考核的
相关理论基础，是全文行文的基础；
第二部分，介绍了XT海关绩效考核的现状，并分析了现有绩效考核体系存
在的问题，强调了对其进行绩效考核体系优化设计方案的迫切性、必要性；
第三部分，通过比较分析的方法，列举比较了其他基层海关绩效考核的创
新方法及经验不足，对比归纳出现有行政体系下，基层海关绩效考核中的普遍
问题；
第四部分，通过分析出的基层海关考核中的经验不足结合XT海关现有绩效
考核体系存在的问题，相对应的提出解决问题的思路及方法，提出了优化绩效
考核体系的方案。针对现有考核体系反馈时间长、流于表面，指标权重不科学
导致的有失公平和不能全面体现岗位特性等问题，设计了根据XT海关战略职能摘要
II
及职责为一级指标的三层四维考核体系，将时间、岗位性质、职级维度进行分
层，将时间分为月度和年度，岗位性质区前中后台，同级内部根据岗位职责对
指标设计及指标权重上的侧重各有不同等方法综合对前述问题进行解决。本章
是全文的核心重点；
第五部分，根据本文设计的绩效考核方案如何在XT海关予以实施，以及实
施过程中可能存在的困难及需要关注的重点问题进行强调，细化将考核方案落
到实处；
最后，对全文核心观点和内容进行了归纳总结与提炼，并指出本文可以继
续深入研究的方向。
关键词：海关；绩效考核；绩效管理；关键绩效指标考核法（KPI）ABSTRACT
III
ABSTRACT
The Customs, as the national entry-exit supervision departments, functions have
been extended from the past shoulder protection and prevention of terrorism threat to
national trade security and other traditional functions in the maintenance of the
national import and export trade to the trade tax collection, combat smuggling and
statistical functions. The order is representative more great power, professional strong,
and as the image of the country. How to ensure that customs officers in China can not
only compliance enforcement, but also to promote the national import and export
trade development, the author believes that the establishment of more efficient
customs management system integrity, scientific and standardized, has become a top
priority.
Under the current administrative management system, assessment mechanism of
the General Administration of customs and institutions directly under the customs and
sent its has been relatively mature, formed a relatively fixed system, however, in view
of the basic customs as direct business operations, the administrative level is low, the
shortage of resources, and the business direction of each basic situation on the for
officers the performance appraisal system of grass-roots customs is not mature, is still
a relatively early stage, this paper focuses on how to make the basic customs
evaluation system more scientific and accurate assessment can reflect the basic
customs officers of the actual situation, in a fair, fair, objective oriented, and strive to
be able to provide reasonable suggestions for the modernization of the management.
In this paper, takes XT Customs which is the basic customs under 黄埔
Customs, as the research object. The existing performance appraisal system of XT
customs are analyzed, through horizontal comparison with other basic customs
performance appraisal experience, combing out appraisal system still existing
problems and optimization of space, at the same time, combined with the position and
function of XT customs, fractal dimension, hierarchy to design a set of performance
appraisal system, and puts forward that attention to assess the program
implementation process, the thesis is divided into six chapters:ABSTRACT
IV
The first part, from the background, ideas, methods and significance of the paper,
introduces the theoretical basis of performance appraisal, is the basis of the full text;
The second part, introduces the current situation of XT customs performance
evaluation, analyzes the existing problems of the performance appraisal system, and
emphasizes the urgency and necessity of the performance evaluation system;
The third part, through the method of comparative analysis, lists the innovation
method compared with other basic customs performance evaluation and lack of
experience, summed up a comparative administrative system, common problems in
performance assessment of basic customs.
The fourth part, through the analysis of the basic customs assessment of the lack
of experience with the existing performance appraisal system of XT customs
problems, put forward ideas and methods to solve the problems corresponding to the
proposed optimization scheme of performance appraisal system. In view of the
existing evaluation system long time feedback, superficial, index weight is not
scientific to have problems of unfair and can not fully reflect the post characteristic,
designed according to the functions and duties of customs XT strategy for three layer
four level indicators of the evaluation system, the time and position of quality, rank
dimensions of stratification, divides time for the monthly and yearly, the nature of the
post in the backstage area before, according to the internal responsibilities focus on
index weight design and indicators of the different methods of the integrated problem
solving. This chapter is the core of the full text;
The fifth part, according to the performance evaluation of the design to be
implemented in the XT customs, difficulties and need to pay attention to the key
issues that may exist and the implementation process are emphasized, refinement will
implement the assessment program;
Finally, the paper summarizes and refines the core ideas and contents of the
thesis, and points out that the direction of this paper can be further studied.
Key words: the Customs, Performance appraisal, Performance management, Key
Performance Indicators (KPI)目录
V
目录
第 1 章 导论.....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 国内外研究综述 .........3
1.2.1 国外研究现状..........
