改革开放以来，我国民营经济取得了快速的发展，随着经济的发展、社会主义 市场经济体制的完善以及互联网经济的到来，我国民营企业一路走来，取得了举世 瞩目的伟大成就。2018 年 11 月，习近平总书记在民营企业座谈会上指出，民营企 业是自己人，是我们党长期执政的重要力量，民营经济只能壮大、不能弱化，不仅 不能“离场”，而且要走向更加广阔的舞台。 2018 年信用债市场出现大规模违约潮，民营上市企业集中出现债券违约、资金 链断裂等问题。本轮信用违约潮中发生违约的企业没有一定的规律可循，也并不集 中存在于某一个或几个行业。甚至有些企业在违约之前经营状况较好，而是在内部 管理上出现了问题，导致决策失误、资金占用、违规担保等问题。这些问题归根到 底都是“人”的问题。民营企业的人力资源管理直接影响到民营企业进一步发展壮 大，而绩效考核是人力资源管理中的重要环节，甚至关系到一个企业人力资源管理 制度的优劣成败。 在激烈的市场竞争环境下，企业的竞争归根到底是人才的竞争，只有拥有了优 秀的人才队伍，富有创造力的员工，并施以科学的管理，才能为企业发展注入发展 动力。而一套符合企业实际的、科学的绩效考核体系对于人才的吸引和激励作用无 疑是巨大的。因此，如何针对民营上市企业绩效考核体系存在的问题进行优化，对 于民营企业的进一步发展具有重要的现实意义和指导意义。 本课题选择 SY 公司为研究对象，立足实地调研和掌握的第一手资料，着眼该 公司为代表的民营上市企业的绩效考核现状，对公司的绩效考核体系进行梳理分 析，提出存在的问题，以及因绩效考核问题而导致的深层次问题。最后运用相关绩 效考核理论，从绩效考核体系建立、考核制度完善等方面，提出公司绩效考核管理 优化策略。由此得出对民营上市企业绩效考核问题的借鉴意义，从而使民营上市公 司优化绩效考核体系、优化人力资源配置，以期民营上市企业继续得以长足发展。 关键词：民营上市企业；绩效考核；KPII ABSTRACT China's private economy has achieved rapidly development since the Economic Reform and Opening-up, and during this period, with the development of the economy, completing the socialist market economic system and the arrival of the cyber-economy, it has performed great achievements that have attracted worldwide attention. In November 2018, General Secretary Xi Jinping pointed out at the private enterprise symposium that private enterprises are the friend and an important force for our party to be long-term governance. Not only does the private economy cannot off-stage, but will going to a broader stage, thus it should growing steadily instead of weakening its function. In 2018, there was a large-scale default in the debentures market, and many issues were revealed and focused on the private listed enterprises, involving bond defaults and capital chain breaks. Enterprises defaulted in this round of breach have neither certain laws, nor focused on one or several industries. Although some enterprises have better business conditions before breaking, it still existed some issues on internal management, which triggered a serial of issues on decision-making, capital controlling and illegal assurance, and those can be treated as human resource problem. The further development of private enterprises are directly affected by the human resource management, and the performance appraisal is a key part of human resources management, which links to the success of failure of human resources management for the enterprise. There is an intense competition between companies who battles with each other to hire the most talented and intellectually able people. This can become a driving force for the development of the enterprise if the companies consist of the excellent talent team, creative employees and then apply the scientific management. The intellectually able people will be attracted and encouraged by a set of performance appraisal system that is more practical and scientific methods for the company. Therefore, it is important for the further development of private enterprises if they understand how to optimize the problems existing in the performance appraisal system of private listed enterprises, which is a realistic and guiding significance. The study object of the SY company is based on the first-hand information to consider the performance appraisal status of the private listed companies, and then analyzing the company's performance appraisal system, revealing the existing problems and deep problems caused by the performance appraisal issues. Finally, the company's performance appraisal management optimization strategy will be proposed by using the relevant performance appraisal theory and the aspects of establishment and improvement of performance appraisal system, resulting the importance of the performance appraisal for private listed companies, which stimulate the private listed enterprises to develop and optimize the performance appraisal system and the allocation of human resources. KEYWORDS: Private listed enterprise; The performance appraisal; KPI1 目 录 第一章 绪论.............................................................................................1 第一节 选题背景及意义...........................................................................................1 第二节 国内外相关研究概述...................................................................................3 一、国外绩效考核理论研究...................................................................................3 二、绩效考核方法研究...........................................................................................4 三、国内民营企业绩效考核研究...........................................................................4 四、上市企业绩效考核研究...................................................................................5 第三节 研究思路.......................................................................................................6 一、研究思路...........................................................................................................6 二、研究方法...........................................................................................................6 三、创新之处...........................................................................................................6 第二章 理论基础......................................................................................7 第一节 人力资源相关理论.......................................................................................7 一、人力资源...........................................................................................................7 二、人力资源的概念...............................................................................................7 三、人力资源的特征...............................................................................................7 第二节 绩效考核相关理论.......................................................................................8 一、绩效考核的概念...............................................................................................8 二、绩效考核的作用...............................................................................................8 三、绩效考核的实施程序.......................................................................................9 四、绩效考核方法分析.........................................................................................10 五、SY 公司绩效考核方法选择...........................................................................11 第三节 民营上市企业相关概念及发展历程.........................................................11 一、相关概念.........................................................................................................11 二、民营上市企业的发展历程.............................................................................12 第三章 SY 公司绩效考核体系现状及问题..........................................142 第一节 公司简介..................................................................................................... 14 一、公司概况......................................................................................................... 14 二、公司组织结构................................................................................................. 14 第二节 公司人力资源情况概述............................................................................. 15 一、员工分类情况................................................................................................. 15 二、人力资源结构................................................................................................. 16 三、人力资源特点................................................................................................. 17 四、近四年公司高管薪酬情况、薪酬总额及主要经营指标............................. 17 第三节 公司绩效考核体系分析............................................................................. 19 一、SY 公司绩效考核现状................................................................................... 19 二、开展访谈......................................................................................................... 21 第四节 公司绩效考核体系存在的问题及成因分析............................................. 22 一、绩效考核体系存在的问题............................................................................. 22 二、绩效考核问题的成因分析............................................................................. 24 第四章 SY 公司绩效考核体系优化......................................................26 第一节 绩效考核体系优化思路............................................................................. 26 一、绩效考核体系优化的设计原则..................................................................... 26 二、绩效考核方法的选择..................................................................................... 27 第二节 绩效考核体系框架..................................................................................... 27 一、绩效考核框架................................................................................................. 27 二、对机构的考核................................................................................................. 28 三、对员工的考核................................................................................................. 29 第三节 对机构的考核............................................................................................. 29 一、部门考核......................................................................................................... 29 二、子公司考核..................................................................................................... 31 第四节 对员工的考核............................................................................................. 34 一、高管人员考核................................................................................................. 34 二、中层管理人员考核......................................................................................... 36 三、一般员工考核................................................................................................. 38 第五节 SY 公司绩效考核体系实施的保障措施................................................... 39 一、公司高层重视、支持..................................................................................... 393 二、科学合理地设定绩效考核体系中各项指标及权重.....................................39 三、加强绩效考核结果的运用.............................................................................40 四、建立申诉和反馈机制.....................................................................................40 五、树立企业文化导向.........................................................................................40 第五章 研究结论及展望........................................................................41 第一节 研究结论.....................................................................................................41 第二节 局限性及进一步研究.................................................................................42