随着我国经济形式的逐步好转，经营环境日趋成熟，我国民营企业发展的势 头比较迅猛。但是，随着经济全球化的不断推进以及市场环境不确定性的增加， 企业所面临的竞争越来越激烈。企业的竞争从过去的市场竞争、物质资本竞争转 向了人才的竞争，人力资源管理成为现代企业提升核心竞争力，促进企业可持续 生存和发展的关键因素。因此，我国民营企业开始逐渐加强对人力资源管理的重 视。而人力资源管理的核心环节是绩效考核，科学、有效的绩效考核，既是评价 企业招聘有效性的重要途径，同时也是企业选拔人才、制定培训策略、实施公平 薪酬分配以及岗位晋升的重要依据。因此，越来越多的企业重视和加强企业员工 的绩效考核。但是，目前我国学者的研究对象大多是大型跨国公司和国有企业， 而对中小企业，特别是中小型民营企业的研究较少。 民营经济是我国国民经济的重要组成部分，其对社会的贡献越来越大。随着 民营企业的发展，它不仅提高了政府的财政税收，加快了城市的建设，同时也有 利于人才的创业就业和技术创新。因此，我国政府高度重视民营企业，特别是中 小民营企业的发展，通过采取一系列措施，出台相关法律法规政策，为中小民营 企业的发展提供了保障。尽管中小民营企业所面临的政策环境越来越好，但是近 几年民营企业面临着人才流失的现象比较严重，制约了民营企业的可持续发展。 导致民营企业人才流失的原因是多方面的，但最主要的原因还是企业绩效考核意 识淡薄、没有建立起公平合理的绩效考核体系，薪酬分配、人才培训缺乏科学的 依据。如何建立一套行之有效，科学合理的绩效考核体系是当前民营企业必须重 视和亟需解决的重要问题。因此，本文针对民营企业 Y 公司的绩效考核体系做了 分析研究。 本文的研究共分为三部分。第一部分，论文对绩效考核的相关概念、理论和 国内外相关研究进行总结，为本文提供了理论研究的基础；第二部分，根据绩效 考核的相关理论，利用问卷调查和企业访谈等方式，对 Y 公司的绩效考核现状、 问题和原因进行分析探讨，研究表明，该公司在绩效考核方面存在以下三点问题， 第一，公司员工认为绩效考核工作没有落实到位，也没有专门的绩效考核部门， 绩效考核管理人员没接受过正式、系统、有针对性的绩效考核培训；第二，公司 绩效考核工作是制度化、流程化的，最终的考核结果并不能对员工产生积极或者 消极的影响；第三，部门主管与下属沟通反馈很少。导致问题的原因是，一方面， 该公司员工对绩效考核工作认识不够,上下级在绩效考核过程中沟通有限,设计 绩效考核指标也比较随意；另一方面，绩效考核申诉机制如同摆设，考核结果对 管理者或是对员工自身都未能体现应有作用。因此，本文应用平衡计分卡和关键 绩效指标法，从财务、内部流程、客户和学习与发展四个维度对其绩效考核指标、II 考核周期和考核流程重新设计，提出了优化方案，首先，明确了 Y 公司的战略目 标，引入绩效考核工具，并对绩效考核对象进行识别，即公司的基层员工；其次， 运用层次分析法来确定各指标在整个评价体系的权重；最后，论述了绩效考核结 果反馈和沟通申诉的重要性，以及考核结果应用的必要性。第三部分，为保证优 化后的方案实施，本文从考核制度和企业文化两方面提出了保障性的建议。 通过本课题的研究，为 Y 公司提供一套具有可操作性的绩效考核方案。通过 该方案的实施，将有利于提升公司员工的工作满意度，促进企业可持续健康的发 展，同时，也期望为同类中小民营企业提供参考和借鉴价值。 关键词，基层员工；绩效考核；关键绩效指标法III ABSTRACT With the gradual improvement of China's economic form and the increasingly mature business environment, the development of China's private enterprises is gaining momentum. However, with the continuous advancement of economic globalization and the increase of market environment uncertainty, enterprises are facing increasingly fierce competition. The competition of enterprises has changed from the past market competition and material capital competition to talent competition. Human resource management has become a key factor for modern enterprises to enhance their core competitiveness and promote their sustainable survival and development. Therefore, China's private enterprises began to gradually strengthen the importance of human resource management. The core link of human resource management is performance appraisal. Scientific and effective performance appraisal is not only an important way to evaluate the effectiveness of enterprise recruitment, but also an important basis for enterprises to select talents, formulate training strategies, implement fair salary distribution and post promotion. Therefore, more and more enterprises attach importance to and strengthen the performance appraisal of enterprise employees. However, at present, most of the research objects of Chinese scholars are large transnational corporations and state-owned enterprises, while there are few studies on small and medium-sized enterprises, especially small and medium-sized private enterprises. Private economy is an important part of China's national economy and its contribution to society is increasing. With the development of private enterprises, it not only increases the fiscal revenue of the government and accelerates the construction of the city, but also benefits the entrepreneurship and employment of talents and technological innovation. Therefore, the Chinese government attaches great importance to the development of private enterprises, especially small and medium-sized private enterprises. By adopting a series of measures and introducing relevant laws, regulations and policies, it provides a guarantee for the development of small and medium-sized private enterprises. Although the policy environment faced by small and medium-sized private enterprises is getting better and better, in recent years, private enterprises are faced with a serious phenomenon of brain drain, which restricts the sustainable development of private enterprises. There are many reasons leading to the brain drain of private enterprises, but the most important reason is still the weak awareness of enterprise performance appraisal, the establishment of a fair and reasonable performance appraisal system, the lack of scientific basis for salary distribution and talent training. How to establish a set of effective, scientific and reasonable performance appraisal system is an important problem that private enterprises mustIV pay attention to and urgently solve. Therefore, this paper analyzes and studies the performance appraisal system of Y company, a private enterprise. This paper is divided into three parts. In the first part, the thesis summarizes the related concepts, theories and domestic and foreign related researches of performance appraisal, and provides the theoretical research foundation for this thesis. The second part, based on the related theory of performance appraisal, using questionnaire and interview, the Y company's performance appraisal status quo, problems and reasons analysis, research shows that the company in the performance review the following three questions: first, the company employees think performance appraisal work not in place, there is no special performance appraisal department, performance appraisal management personnel not formal, training system, targeted performance appraisal; Second, the company's performance assessment is institutionalized and process-based, and the final assessment results cannot have a positive or negative impact on employees. Thirdly, the department head has little communication and feedback with subordinates. The reasons for the problems are as follows: on the one hand, the employees of the company do not have enough understanding of performance appraisal, the communication between superiors and subordinates is limited in the process of performance appraisal, and the design of performance appraisal indicators is arbitrary. On the other hand, the performance appraisal appeal mechanism is like a decoration, and the appraisal result fails to play its due role for the managers or the employees themselves. Therefore, the balanced scorecard and key performance indicators (kpis) method is applied in this article, from the financial, internal processes, customers and learning and development four dimensions of the performance appraisal index, appraisal cycle and appraisal process redesign, proposed the optimization plan: first, clear the Y company's strategic target, introducing performance evaluation tools, and the performance appraisal object recognition, namely, the grass-roots employees of company; Secondly, the analytic hierarchy process is used to determine the weight of each index in the whole evaluation system. Finally, it discusses the importance of feedback of performance appraisal results and communication appeal, and the necessity of application of appraisal results. The third part, in order to ensure the implementation of the optimized program, this paper from the assessment system and corporate culture two aspects of security recommendations. Through the research of this topic, it provides Y company with a set of operable performance appraisal scheme. Through the implementation of the program, it will be conducive to improving the work satisfaction of the company's employees and promoting the sustainable and healthy development of the enterprise. At the same time, it is expected to provideV reference value for similar small and medium-sized private enterprises. KEYWORDS: Grass-roots employees；Performance appraisal；KPIVI 目录 摘要........................................................................................................................... I ABSTRACT ................................................................................................................. III 一、绪论.................................................................................................................. 1 （一）研究背景和意义 .................................................................................... 1 1.研究背景 ................................................................................................. 1 2.研究意义 ................................................................................................. 2 （二）国内外相关研究综述............................................................................. 2 1.关于绩效、绩效管理和绩效考核概念的研究 ....................................... 2 2.关于绩效考核对中小民营企业作用的研究 ........................................... 4 3.关于中小民营企业绩效考核体系设计的研究 ....................................... 4 4.关于中小民营企业绩效考核指标设计与方法的研究............................ 5 5.关于中小民营企业绩效考核问题与对策的研究 ................................... 5 （三）研究方法、研究内容及框架图 ............................................................. 5 1.研究方法 ................................................................................................. 6 2.研究内容及框架图.................................................................................. 6 二、Y 公司绩效考核的相关理论基础..................................................................... 8 （一）理论基础................................................................................................ 8 1.需求层次理论 ......................................................................................... 8 2.公平理论 ................................................................................................. 8 （二）绩效考核常用的方法............................................................................. 9 1.目标管理法 ............................................................................................. 9 2.关键绩效指标法 ..................................................................................... 9 3.平衡计分卡法 ......................................................................................... 9 三、Y 公司基层员工绩效考核现状调查与分析.................................................... 10 （一）Y 公司概况........................................................................................... 10 （二）Y 公司组织结构和人力资源概况......................................................... 10 1.组织结构 ............................................................................................... 10 2.Y 公司人力资源现状............................................................................. 11 （三）Y 公司员工绩效考核现状分析 ............................................................ 11 1.绩效考核目的 ....................................................................................... 12 2.绩效考核的指标及权重 ........................................................................ 12 3.考核周期 ............................................................................................... 13 4.绩效考核的实施 ................................................................................... 13 5.考核结果应用 ....................................................................................... 14 （四）Y 公司员工绩效考核问卷和访谈调查................................................. 14 1.问卷调查 ............................................................................................... 14 2.企业访谈 ............................................................................................... 16 （五）Y 公司基层员工绩效考核存在的问题和原因 ..................................... 16 1.存在问题 ............................................................................................... 16 2.问题形成的原因 ................................................................................... 18 四、Y 公司基层员工绩效考核体系的优化 ........................................................... 20 （一）Y 公司基层员工绩效考核体系优化的目标......................................... 20 1.明确战略目标 ....................................................................................... 20VII 2.绩效考核工具的引入——“BSC”....................................................... 20 （二）Y 公司基层员工绩效考核体系优化的原则......................................... 20 1.公平、客观、公正原则 ........................................................................ 20 2.以人为本，激励为主原则 .................................................................... 20 3.多维而全面考核原则............................................................................ 21 4.定性与定量结合原则............................................................................ 21 5.动态调整原则 ....................................................................................... 21 （三）基层员工识别 ...................................................................................... 21 （四）Y 公司基层员工绩效考核体系设计..................................................... 22 1.Y 公司战略目标分解............................................................................. 22 2.基层员工绩效考核指标设定 ................................................................ 23 3.绩效考核指标权重设计 ........................................................................ 24 （五）绩效考核周期 ...................................................................................... 28 （六）绩效考核流程 ...................................................................................... 29 1.确定绩效考核指标................................................................................ 29 2.绩效考核的时间点................................................................................ 29 3.实施绩效考核 ....................................................................................... 29 4.考核结果反馈和沟通............................................................................ 29 5.拟定新的考核目标................................................................................ 29 （七）绩效考核结果的反馈、沟通和申诉.................................................... 30 1.考核结果反馈 ....................................................................................... 30 2.沟通和申述 ........................................................................................... 30 （八）绩效考核结果的应用........................................................................... 31 1.薪酬、奖金分配 ................................................................................... 31 2.员工职业发展 ....................................................................................... 31 3.安排培训计划 ....................................................................................... 31 五、Y 公司员工绩效考核优化后的保障措施........................................................ 32 （一）考核制度.............................................................................................. 32 1.设立绩效考核机构................................................................................ 32 2.完善绩效考核程序................................................................................ 32 （二）企业文化.............................................................................................. 33 1.企业文化的概念 ................................................................................... 33 2.Y 公司企业文化现状............................................................................. 34 3.建立公司的企业文化............................................................................ 34 4.绩效文化 ............................................................................................... 34 六、结论与展望..................................................................................................... 35 （一）结论...................................................................................................... 35 （二）进一步研究方向 .................................................................................. 35