摘要 自改革开放以来,我国企业逐步进入了建立现代企业制度的轨道。作为企业人 力资源管理的精髓,企业激励机制及其相应的绩效评估制度,则成为现代企业制度 的核心内容之一,是确立企业核心竞争力的基石,是现代企业运行赖以生存的基础。 而几乎每个企业都希望建立一套高效、合理、公平的激励机制(hicentive Meeh耐sm),也期望设计和建立的激励机制能实现预期目标—激发企业职工努力工作的积极性和创造性,完成企业的各项任务。但是,纵观我国各类企业,激励机 制在企业运行中的效果总是不尽如人意。 企业要推行激励机制,需要设计相应的绩效评估及其管理制度。可以说企业绩 效评估制度是企业激励机制的外部表现形式,是企业激励机制在企业管理实践中的 行为延伸。然而企业操作绩效评估的结果也不尽理想。所有这一切都让我们必须对 企业的激励机制及其绩效评估制度进行重新的思考。因此本题目对建立现代企业制 度有重要的理论意义和实际应用价值。 本文在充分研究党和国家的方针、政策(现代企业制度、分配制度),行为科学 (需要层次理论、激励—保健双因素论、期望值理论),管理心理学理论(公平理论、目标设置理论、自我认知理论),产业组织理论(公司治理结构的内涵、共同 治理结构)和人力资本的内涵、特征及其产权特性和实现途径的基础上,对影响激 励机制的因素(报酬、控制权、声誉、市场竞争、监督等)分别进行了分析,并在 这些分析基础上,把企业的人分为七大类(投资者、经营者、中层管理干部、工程 技术人员、营销人员、职员和工人),提出了他们各自具体的激励和绩效考核方案。 该文最后以重庆GB集团为例说明了这些方案的具体运用。 希望通过本报告的研究,能够为中国企业家或高级经理人提供一套初步的激励 机制与绩效评估设计理念、原理、操作规范和行动模式,以提高中国企业管理的现 代化水平。 关键词:激励,激励机制,绩效评估方案,设计重庆大学硕士学位报告英文摘要 Abstract SineeChina,5reformandoPening,Chineseenterpriseshasgraduallywalkedonthe wayofbuildingmodemmanagemenisystem.AstheeoreoftheHRM,themotivation mechanismanditsaPPraisalsystemhasbeeometheeoreeontentofmodemeomPany managementandthefoundationoftheenterpriseeoreeomPetency.It15nowthebasefor theeomPanyoPeration.AlmosteveryeomPanywantstosetuPthehighly-effieient, reasonableandsoundineentivemeehanism,andalsoexPeetstheirPlannedmotivation Paekagecanrealizeitsobjective,whieh15toeneouragetheworkinvolvementand ereativityofemPloyeesandtoeomPlishtheentCrprisetasks.Buttherealeffeetof motivationmechanisminthecomPanieseannotbesaidtobesatisfaetory.Inthemodem management,howtomotivatetheeorporatestafl贻andevaluatetheirworkPerformanee hasbeeomeoneofthewidelynotieedresearehsubjeets.Beeansemotivationand PerformaneeaPPraisal,whiehareeonneetedwithmanyfactors,areeomPlextostudy,the Presentresearehresultseannotfullysatisfytheneedsofeorporatemanagement.OnthebasisofthePoliciesofthePartyandtheGovernmentandthetheoriesof behaviorseience,humaneaPital,managementPsyehologyandindustrialorganization, thisPaPeranalyZedthefactors,whiehinflueneedthemotivationmechanism,ineluding reward,Powerofeontrol,rePutation,marketeomPetitionandsuPervisor,Basedonthe analysisabove,thePaperdividesthePersonsinanenterpriseinto7eatalogues一investors, oPerators,middlemanagements,engineeringteehnieians,marketing Professionals,workingstaffeandworkers,andPutforwardtheireoncreteineentiveand PerformaneeaPPraisalPlansresPeetively.Atlast,thePaPerillustratesthePractieal aPPlieationsofthePlanswithaeaseofChongqingGBGrouPComPany. It15hoPedthatthedissertationeanProvidesomebasieideas,PrineiPles,oPeration rulesofmotivationmeehanismandPerformaneeapPraisaldesignforChinese entrePreneursandseniormanagementstoPromotethemodemizationofChinese enierprisemanagement. Keywords:motivation,incentivemeehanism,PerformanceaPPraisalPlan,design. 111重庆大学硕士学位报告目录 目录 中文摘要..............................,.....................................................,.........................................I 英文摘要........................................................................................................................................m 1绪论 .................... ,..................................................................................................................1 1 . 1问题的提出及研究意义............................................................................................................1 1.2国内外研究现状及存在问题二,...................................................................,.................,..…2 1 . 2.1国内外研究现状.................,.............................................................................................2 1.2.2存在问题.............................,...................................,.............................................,..…3 1.3本文研究的目的和研究内容...................................,..........................................................4 2本文研究所依据的理论基础......................................,............................................5 2.1党和国家的方针、政策............................................................................................................5 2.1.1现代企业制度与企业激励机制.....................................................................,................5 2.1.2分配制度与企业激励机制.....................,.....................................................,............6 2.2行为科学理论............................................................................................................................7 2.2.1需要层次理论.........................................................................................................................7 2.2.2激励-一-保健双因素论.............................................,....................................................9 2.2 . 3期望值理论...............................................................................................,.,.....................9 2.3人力资源管理—人力资本及其产权..............................................,............................12 2.3.1人力资本的内涵.....................................................................................,.......................12 2.3.2人力资本特征及其多重资本属性.…,.......................................,..................................12 2.3.3人力资本的产权特性与管理中的激励功能..................................,............................13 2.3.4人力资本产权的实现途径.................................................................................................14 2.4管理心理学理论...............................,..............,.............................................,.......巧 2.4.1公平理论..............................................................................................................................巧 2.4.2目标设置理论......................................................................................................................巧 2.4.3自我认知理论................................,................................................................................16 2.5产业组织理论....,.............................................,...........................................................17 2.5.1公司治理结构的内涵..........................................................................................................17 2.5.2共同治理与企业激励机制.................................................................................................18 3激励因素分析..........................................................................................................,.......21重庆大学硕士学位报告 3.1报酬因素分析.........................................................................................................................21 3.1.1报酬的定义及结构.............................................................................................................21 3.1.2报酬因素对企业激励的意义.......、...............................................................................21 3.1.3建立企业富有竞争力的报酬体系....................,.........................................................22 3.2控制权因素分析......................,........................................................................................23 3.2.1控制权因素的定义..................................,....................................................................23 3.2.2控制权因素的激励作用二,......................,................................................“.............24 3.2.3控制权与国企中“59现象”................................,.....................................................24 3.3声誉因素分析.........................................................................................................................25 3.3.1“有限理性”和人的行为方式分类..................................................................一”.....25 3.3.2声誉因素的激励作用分析.,.....................,…,.........................................”........25 . 3.3.3如何建立声誉机制.....,.................................................................................................26 3.4市场竞争因素分析.................................................................................................................26 3.4.1市场竞争与激励的一般性分析.............‘......................,......。…“...…”“.,二”二~.26 3.4.2资本市场竞争的激励作用分析.........................................................................................27 3.4.3劳动力〔经理)市场,产品市场竞争的激励作用分析................................................27 3.5监督因素分析......................................................................................“...........................28 3.5.1监督因素的激励意义一般分析.........................................................................................28 3.5.2公司内部监督机制.....................................................,.................................................29 4企业职工激励方案设计...................,..........,.........................“.....................31 4.1激励方案设计原理..........................,........................,..................................~一.....31 4.1.1激励方案设计的含义及其模型.,............,..............................................................31 4.1.2激励方案设计模型的解释…,..............................................................................................犯 4.1.3事业周期理论与激励方案设计...............................................................,...................33 4.1.4员工的个体差异与激励方案设计.....................................................................................35 4.2投资者激励方案设计..................................................................................................,....36 4.3经营者激励方案设计.............................................................................................................36 4.4中层管理千部激励方案.........................................................................................................41 4.5工程技术人员激励方案设计...................................................................................….....42 4.6市场营销人员激励方案......................................................................................................,二42 4.6.1市场人员激励方案的原则..................................................................................................42 4.6.2高工资低提成与低工资高提成...............................,...................................................43 4.6.3销售经理与销售新手..........................................................................................................科目录 4.6.4指标工资制.................................................................................................................··········料 4.7普通职员激励方案设计................................................··························································44 4.8工人激励方案设计.....................................................................····.....····································46 5企业职工绩效评估方案设计.........................,...................................,....········· 5.1企业职工绩效评估方案设计原理................................................................................,..9 5.1.1绩效评估的定义,目的和原则.................................................,..................................9 5.1.2绩效评估的一般程序和一般方法......................................................................................50 5.1.3360。个人绩效评估体系............................................·....·...·.··············································52 5.2投资者绩效评估方案..............................................................................·.······························54 5.3企业经营者绩效评估方案..................................................····················································54 5 . 4中层管理干部的绩效评估方案.......................................................................................,..…56 5.4.1负责营销的中层管理干部的绩效评估方案......................................................................56 5 . 4.2负责研究与开发的中层管理干部个人工作绩效评估方案.............................................56 5 . 4.3负责生产与运作中层管理干部的个人工作绩效评估方案............................................56 5.4.4负责人事及人力资源的中层管理干部的个人工作绩效评估方案.............................,…57 5.4.5负责财务的中层管理干部个人工作绩效评估方案…,......................................................57 5.5工程技术人员绩效评估方案设计...................................................................·.····················57 5.6市场营销人员绩效评估方案设计.........................................................................................58 5.7普通职员绩效评估方案设计..................................................................................................58 5.8工人绩效评估方案设计.........................,.…,..···,·········,············································一59 6重庆GB集团有限公司职工激励与绩效考评方案设计报告................61 6.1重庆GB集团有限公司简介..................................................................................................61 6.2重庆GB公司激励与绩效考核方案设计..............................................................................62 6.2.1设计总则...............................................................................................................................62 6.2 . 2绩效考核操作方案....................................................···························································64 6.3 . 3考核结果的处理........................................................................................···························78 6.3 . 4激励方案设计.......................................................................................................................80 6.4方案评价..................................................................................................................................82 7结论 .............................................................................................................................................. 85 致谢 ................................................................................................................................................... 87