企业是创建创新型国家、建设创新型社会的主体之一，企业注重创新，对营 造 “万众创新，大众创业”的社会氛围，推动全社会的创新发展起到很好的示范 和榜样作用。YB 公司是一家研发、生产和销售动物疫苗的国家高新技术生物制 品企业，近几年随着行业优化和整合，使得行业在市场、技术、人才及资金等方 面的竞争越来越激烈，YB 公司的产品优势不再明显，发展速度放缓，公司也面 临着前所未有的压力和挑战。 本论文根据 YB 公司的实际情况，运用资料分析法、问卷调查法和现场观察 法等方法，对企业科研人员的创新管理问题进行剖析和研究，找出了研发人员士 气低落和稳定性差是影响企业科研创新的主要问题，然后通过更深入的剖析，得 出了薪酬待遇和晋升通道问题是影响科研人员士气和稳定性的最主要原因。根据 以上分析和结论，利用经典的管理激励理论、职业生涯发展理论和薪酬理论为依 据，并结合企业的实际情况，最终设计了一套 YB 公司科研人员技术等级晋升制 度，以解决 YB 公司科研人员的管理问题。 技术等级晋升制度彻底改变了 YB 公司薪酬体系过于僵化，缺乏弹性和激励 性的弊端，技术等级评审体系在保持了 YB 公司原有薪酬体系的前提下，通过对 科研技术人员素质的综合评价，实现了研发人员收入和能力的动态匹配，使得“能 者多劳，多劳者多得”的收入分配理念在 YB 公司生根落地，并取得了不错的经 济效益和社会效应。因此，本文研究所取得成果，对生物科技企业在研发技术人 员创新激励方面的管理具有一定的借鉴意义。 关键词，科研人员，创新能力，技术等级，薪酬体系 论文类型，应用/专题研究浙江工业大学硕士学位论文 YB公司科研人员技术等级晋升制度设计研究 II YB ENTERPRISE SCIENTIFIC RESEARCH STAFF’S TECHNICAL LEVEL PROMOTION SYSTEM DESIGN ABSTRACT Enterprises are one of the main bodies of creating an innovative country and building an innovative society. Enterprises attach importance to innovation and play a very good role in demonstrating and setting an example for creating a social atmosphere of innovation by all and entrepreneurship by the masses and promoting the innovative development of the whole society. YB Company is a national high-tech biotechnology enterprise that develops, produces and sells animal vaccines. In recent years, with the optimization and integration of the industry, the competition in market, technology, talent and capital is becoming more and more fierce. YB Company's product advantages are no longer obvious, the development speed is slowing down, and the company is also facing the front. Unprecedented pressures and challenges. Based on the actual situation of YB Company, this article uses the methods of data analysis, questionnaire survey and on-site observation to analyze and study the innovation management problems of enterprise scientific research personnel, and finds out that the main problems affecting enterprise scientific research innovation are the low morale and poor stability of R&D personnel. Then, through more in-depth analysis. It is concluded that salary and promotion channels are the main factors affecting the morale and stability of scientific researchers. According to the above analysis and conclusion, based on the classical management incentive theory, career development theory and compensation theory, and combined with the actual situation of the enterprise, a set of promotion system of YB company's scientific research personnel technical grade is designed to solve the management problems of YB company's scientific research personnel. The technical level promotion system has completely changed YB company's salary system, which is too rigid and lacks flexibility and incentive. On the premise of浙江工业大学硕士学位论文 YB公司科研人员技术等级晋升制度设计研究 III maintaining YB company's original salary system, the technical grade evaluation system realizes the dynamic matching of R&D personnel's income and ability through the comprehensive evaluation of scientific research and technical personnel's quality. The income distribution concept of more work, more income took root in YB Company, and achieved good economic and social effects. Therefore, the achievements of this research can be used for reference in the management of innovation incentives for R&D technicians in biotechnology enterprises. KEYWORDS: Scientific Research Personnel; Innovation Ability; Technical Grade, Salary System TYPE OF DISSERTATION / THESIS: Application Research浙江工业大学硕士学位论文 YB公司科研人员技术等级晋升制度设计研究 IV 目 录 1 绪论..........................................................................................................1 1.1 论文研究的背景 ...............................................................................................................................1 1.2 论文研究的意义 ...............................................................................................................................2 1.2.1 研究的理论意义 .......................................................................................................................2 1.2.2 研究的现实意义 .......................................................................................................................2 1.3 论文研究的内容框架.....................................................................................................................................2 1.4 论文研究的方法.............................................................................................................................................4 2 相关理论和文献综述.............................................................................6 2.1 激励理论.........................................................................................................................................................6 2.1.1 需要层次理论 ...........................................................................................................................6 2.1.2 公平理论 ..................................................................................................................................7 2.1.3 期望理论 ..................................................................................................................................8 2.1.4 同步激励理论 ...........................................................................................................................8 2.1.5 三因素理论 ..............................................................................................................................8 2.2 职业生涯理论.................................................................................................................................................9 2.2.1 职业选择理论 .........................................................................................................................10 2.2.2 职业发展理论 .........................................................................................................................10 2.2.3 职业生涯探索理论 ................................................................................................................. 11 2.2.4 职业生涯发展主动构建理论 ...................................................................................................11 2.2.5 职业圆锥体模型 .....................................................................................................................11 2.3 薪酬制度设计理论.......................................................................................................................................12 2.3.1 薪酬制度的定义 .....................................................................................................................12 2.3.2 薪酬设计相关理论 ................................................................................................................. 12 2.4 学习型组织理论...........................................................................................................................................14 2.5 文献评述.......................................................................................................................................................15 3 YB 公司基本情况介绍..........................................................................17 3.1 YB 公司简介..................................................................................................................................................17 3.2 YB 公司在行业的影响力分析......................................................................................................................18 3.2.1 行业发展趋势 .........................................................................................................................18 3.2.2 我国动物疫苗行业发展历程 ....................................................................................................19 3.2.3 YB 公司在行业中的影响力分析 ...............................................................................................20 3.3 YB 公司人力资源状况..................................................................................................................................22 3.3.1 YB 公司人员结构 ....................................................................................................................22 3.3.2 YB 公司薪酬福利结构 .............................................................................................................23 3.3.3 YB 公司晋升规定 ....................................................................................................................25 3.3.4 企业文化建设 .........................................................................................................................26 3.4 YB 公司科研管理现状介绍..........................................................................................................................26 3.4.1 研发中心组织结构 ................................................................................................................. 26 3.4.2 YB 公司科研人员构成 .............................................................................................................27浙江工业大学硕士学位论文 YB公司科研人员技术等级晋升制度设计研究 V 3.4.3 YB 公司科研项目特点 .............................................................................................................28 4 YB 公司科研人员管理存在问题和原因分析......................................30 4.1 YB 公司科研技术人员管理存在的问题......................................................................................................30 4.1.1 现场观察 .................................................................................................................................30 4.1.2 创新资料调研分析 ................................................................................................................. 31 4.2 YB 公司科研人员管理问题的原因分析......................................................................................................35 4.2.1 调查设计和组织 .....................................................................................................................35 4.2.2 调查结果分析 .........................................................................................................................36 4.3 调查研究的结论...........................................................................................................................................41 4.3.1 薪酬分配不公影响员工积极性和稳定性 .................................................................................42 4.3.2 晋升发展通道不畅影响了员工的成长和发展 ..........................................................................43 5 YB 公司科研人员技术等级晋升制度设计..........................................44 5.1 科研人员管理问题的思考和分析...............................................................................................................44 5.2 设计技术等级晋升制度的思路...................................................................................................................46 5.2.1 设计技术等级的总体设想 .......................................................................................................46 5.2.2 设计技术等级的目的 ..............................................................................................................46 5.2.3 设计技术等级的原则 ..............................................................................................................47 5.3 科研人员技术等级晋升制度内容...............................................................................................................48 5.3.1 技术等级晋升制度总体规定 ...................................................................................................48 5.3.2 技术等级评审流程规范 ...........................................................................................................50 5.4 技术等级评审过程监控及信息反馈...........................................................................................................55 5.4.1 评审监控及纠偏机构 ..............................................................................................................55 5.4.2 评审过程监控和评审结果反馈 ............................................................................................... 56 6 科研人员技术等级晋升制度实施效果评估.......................................57 6.1 晋升制度实施效果评估的方法...................................................................................................................57 6.1.1 档案资料分析法 .....................................................................................................................57 6.1.2 问卷调查法 .............................................................................................................................58 6.2 晋升制度评价结论分析...............................................................................................................................63 6.2.1 晋升制度的实施效果分析 .......................................................................................................63 6.2.2 晋升制度的重要性和科学性分析 ............................................................................................65 结 论........................................................................................................67