分类号，F279.23 学校代码，10697 密 级，公开 学 号，201608063 硕士专业学位报告 Dissertation for the Professional Degree of Master SM 化学工业有限公司绩效考评管理 方案改进设计研究 学科名称，高级工商管理 专业学位类别，高级工商管理硕士（EMBA） 作者，刘杰 指导老师:白永秀教授 西北大学学位评定委员会 二○一八年西北大学学位报告知识产权声明书 本人完全了解西北大学关于收集、保存、使用学位报告的规定。学校有 权保留并向国家有关部门或机构送交报告的复印件和电子版。本人允许论 文被查阅和借阅。本人授权西北大学可以将本学位报告的全部或部分内容 编入有关数据库进行检索，可以采用影印、缩印或扫描等复制手段保存和 汇编本学位报告。同时授权中国科学技术信息研究所等机构将本学位报告 收录到《中国学位报告全文数据库》或其它相关数据库。 保密报告待解密后适用本声明。 学位报告作者签名， 指导教师签名， 年 月 日 年 月 日 --------------------------------------------------------- 西北大学学位报告独创性声明 本人声明，所呈交的学位报告是本人在导师指导下进行的研究工作及 取得的研究成果。据我所知，除了文中特别加以标注和致谢的地方外，本 报告不包含其他人已经发表或撰写过的研究成果，也不包含为获得西北大 学或其它教育机构的学位或证书而使用过的材料。与我一同工作的同志对 本研究所做的任何贡献均已在报告中作了明确的说明并表示谢意。 学位报告作者签名， 年 月 日摘要 I 摘要 提升企业员工绩效考评管理水平是当下企业经营管理者愈发重视的一个问题。一个 好的绩效考评管理方案，将能够有效激发员工工作热情、增强企业凝聚力和提高企业的 经营业绩，对企业的中长期发展有着十分重要的促进作用。SM 化学工业有限公司是一 家主要从事煤制甲醇生产的煤化工公司，随着煤制甲醇产品市场竞争压力增大，产品价 格一路走低，SM 化学工业有限公司的经营利润在被逐步挤占，亟需通过改进公司内部 绩效考评管理水平提高员工工作积极性而增强企业盈利能力，在此背景下本文提出了 SM 化学工业有限公司绩效考评管理方案改进的研究主题。 本文通过深入地研究绩效、绩效考评管理、绩效考评方法及绩效考评管理应用研究 等已有文献，梳理总结出适合SM化学工业有限公司绩效考评管理方案改进的主要方法， 并采取实地调研走访、问卷调查等方法探析 SM 化学工业有限公司现有绩效考评管理办 法的现状及存在问题，基于 BSC、KPI 等方法优化改进了 SM 化学工业有限公司现有绩 效考评管理方案。最后，本文从做好员工培训宣传与内部沟通、畅通员工绩效考评结果 反馈沟通渠道、加强公司绩效考评管理文化建设、推进公司绩效考评管理信息系统建设 4 方面提出了改进方案实施的保障措施。待本文设计的 SM 化学工业有限公司绩效考评 管理改进方案在企业付诸实施后，能够在一定层面上改善 SM 化学工业有限公司绩效考 评管理水平，并为其他同类企业的相关绩效考评管理方案设计提供案例参考。 关 键 词，绩效考评管理 关键绩效指标 方案设计 研究类型，应用研究西北大学硕士学位报告 II Abstract At present, the company managers pay more and more attention to the staff performance appraisal management. A good performance appraisal management plan is able to effectively stimulate the staff’s work vitality, enhance corporate cohesion and expand the enterprise’s competitive advantage, which has a very important role in the long-term development of enterprises. SM Chemical Company is a coal chemical company specializing in the production of methanol from coal, With the increasing competitive pressure of coal chemical products market, the operating profit of enterprises is being gradually crowded out. It is urgent to enhance the enterprise’s profitability by optimizing the internal performance evaluation management plan to improve the employee's enthusiasm. Under this background, this paper puts forward the research topic of the optimization of the performance appraisal management plan of SM Chemical Company. This paper has studied the literature of performance, performance evaluation management, performance evaluation method and application research of performance evaluation management, to sum up the main methods for optimizing the performance evaluation management scheme of SM Chemical Company, and adopt field research, questionnaire survey and other methods to explore the current situation and problems of existing performance evaluation management methods of SM Chemical Company, based on BSC, KPI and other methods, the current performance evaluation management scheme of SM Chemical Company is optimized and improved. Finally, this paper puts forward the guarantee measures for the implementation of the plan from the aspects of good staff training promotion and internal communication, smooth feedback and communication channels of employee performance evaluation results, strengthening the company's performance evaluation management culture construction, and promoting the construction of the company's performance evaluation management information system. This paper has studied the literature of performance, performance evaluation management, performance evaluation method and application research of performance appraisal management plan. After the implementation of the SM Chemical Company performance appraisal management plan, this paper can improve the performance appraisal management level of the company at a certain level, and provide case references for other enterprises 'related program design.摘要 III Key words，Performance appraisal management; KPI; Plan design Research Type，Application Research西北大学硕士学位报告 IV 目 录 摘要........................................................................................................................................... I ABSTRACT...............................................................................................................................II 第 1 章 绪论...............................................................................................................................1 1.1 研究背景与研究意义.......................................................................................................1 1.1.1 研究背景....................................................................................................................1 1.1.2 研究意义....................................................................................................................2 1.2 研究对象与研究方法.......................................................................................................3 1.2.1 研究对象....................................................................................................................3 1.2.2 研究方法....................................................................................................................3 1.3 研究思路及报告框架.......................................................................................................4 1.3.1 研究思路....................................................................................................................4 1.3.2 报告框架....................................................................................................................4 1.4 本文的主要贡献...............................................................................................................5 第 2 章 相关理论综述...............................................................................................................7 2.1 绩效理论综述...................................................................................................................7 2.1.1 绩效的概念与定义....................................................................................................7 2.1.2 绩效的影响因素........................................................................................................7 2.1.3 绩效的特点................................................................................................................8 2.2 绩效考评理论综述...........................................................................................................9 2.2.1 绩效考评的定义........................................................................................................9 2.2.2 绩效考评与绩效管理的区别与联系........................................................................9 2.2.3 绩效考评管理流程..................................................................................................10 2.3 绩效考评管理工具方法综述.........................................................................................10 2.3.1 目标管理法（MBO）.............................................................................................10 2.3.2 360°绩效考评法......................................................................................................11 2.3.3 关键绩效指标法（KPI）....................................................................................... 11 2.3.4 平衡计分卡法（BSC）..........................................................................................12摘要 V 2.4 绩效考评管理应用文献综述.........................................................................................12 2.4.1 其他企业绩效考评管理实践综述..........................................................................12 2.4.2 煤化工企业绩效考评管理实践综述......................................................................14 第 3 章 SM 化工公司绩效考评管理现状及问题分析..........................................................16 3.1SM 化工公司概况...........................................................................................................16 3.1.1 公司简介..................................................................................................................16 3.1.2 公司组织结构设置..................................................................................................17 3.1.3 公司人力资源现状..................................................................................................17 3.2 SM 化工公司绩效考评管理现状..................................................................................18 3.2.1SM 化工公司绩效考评管理的原则与思路............................................................18 3.2.2 绩效考评组织..........................................................................................................19 3.2.3 绩效考评对象..........................................................................................................19 3.2.4 绩效考评周期..........................................................................................................19 3.2.5 绩效考评流程..........................................................................................................19 3.2.6 绩效考评结果应用..................................................................................................19 3.3 SM 化工公司绩效考评管理存在问题..........................................................................20 3.3.1 绩效考评体系员工满意度调查..............................................................................20 3.3.2 绩效考评管理办法重点问题汇总..........................................................................27 第 4 章 SM 化工公司绩效考评管理改进方案设计..............................................................28 4.1 绩效考评管理方案改进思路与原则.............................................................................28 4.1.1 改进思路..................................................................................................................28 4.1.2 改进原则..................................................................................................................28 4.2 KPI 指标体系设计准备.................................................................................................29 4.2.1 确定企业战略目标..................................................................................................29 4.2.2 关键绩效指标体系的分析......................................................................................30 4.2.3 完善 SM 化工公司岗位说明书..............................................................................30 4.3 SM 化工公司绩效考评指标设计..................................................................................33 4.3.1 各层级绩效考评指标设计......................................................................................33 4.3.2 绩效考评指标权重确定..........................................................................................37 4.4 SM 化工公司绩效考评改进方案实施..........................................................................39西北大学硕士学位报告 VI 4.4.1 绩效考评周期确定..................................................................................................39 4.4.2 绩效考核方案执行..................................................................................................39 4.4.3 绩效考评结果应用..................................................................................................40 第 5 章 SM 化工公司绩效考评管理改进方案实施的保障措施..........................................42 5.1 做好培训宣传与内部沟通工作.....................................................................................42 5.2 畅通员工绩效考评结果反馈沟通渠道.........................................................................42 5.3 加强公司绩效考评管理文化建设.................................................................................42 5.4 推进公司绩效评估管理信息系统建设.........................................................................43 第 6 章 结论与未来展望.........................................................................................................44 6.1 主要结论.........................................................................................................................44 6.2 未来展望.........................................................................................................................45