西安理工大学工商管理硕士学位论文 II摘要 论文题目，X 财政局绩效考核方案研究 专 业，工商管理 学员姓名，王 璇 学员签名， 导师姓名，张永进 教授 导师签名， 摘要 一个地区的公共部门人力资源管理水平是否完善体现了一个地区的人力资本水平的 高低，自然而然地也影响了政府部门的工作效率以及现代化发展程度，因此强化公共部门 的绩效考核机制对于人力资源管理水平的提升以及我国整个公共部门的绩效考核工作的 完善具有较为重要的现实价值。随着科学技术的不断发展以及社会的不断进步，我国各个 地区的政府部门也应该与时俱进，适应社会发展需求，主动迎合“互联网+”时代的挑战， 政府部门的人力资源绩效考核机制，是提高公共部门的人力资本水平的一个重要途径，是 实现科学化、专业化政府管理工作的核心。 本文以 X 财政局的员工为主要研究对象，进行绩效考核探究。本文所研究的基层公共 部门绩效考核等问题，国际上的许多发达国家已经做了较为深入且比较系统的研究，但就 我国的实际情况来看，国内关于绩效考核的研究力度较薄弱，且重视程度不够高，因此， 在完善公共部门绩效考核层面还有很大的进步空间；在研究方法方面，为了能提高研究的 科学性、说服力，在研究这一课题以及论文的写作过程中，应用了多层次的研究方法，比 如比较法、实地调研法、文献分析法等。本文共六章，第一章是绪论，主要介绍了 X 财政 局的绩效考核机制该项研究的社会背景、现实意义与理论价值，国内外研究综述，该项目 的研究方法、研究的技术路线图；第二章是理论基础概述，对公共部门、绩效考核、360 度绩效考核法等进行概念界定，其次，就本文的相关理论依据进行较为详细的介绍；第三 章主要介绍郑州市 X 财政局的人力资源绩效考核现状及存在的问题，介绍了 X 财政局的组 织现状、绩效考核现状等，最后对郑州市 X 财政局绩效考核机制存在的问题进行分析；第 四章为完善郑州市 X 财政局绩效考核机制的方案设计；第五章为 X 财政局绩效考核方案实 现的措施保障；第六章为结论。 本文的创新点主要体现在运用国家治理现代化的理论就现实中的基层公共部门的绩 效考核机制进行研究，研究的理论基础紧随时代发展需求。通过注重引入多元化的绩效考 核主体，使绩效考核的结果更为客观、民主，更能够代表大多数人的意愿及需求。总之， 在借鉴了国际上的先进经验的基础上，对郑州市 X 财政局的绩效考核机制进行完善，也可 以为其他基层政府部门的绩效考核完善或者绩效系统的改进提供一定的思考。 【关 键 词】人力资源 绩效考核 机制 治理现代化 【论文类型】应用研究西安理工大学工商管理硕士学位论文 Title，Research on performance evaluation of X Financial Bureau Major，Master of Business Administration Student，Wang Xuan Signature， Director，Zhang Yongjin Signature， Abstract Public sector human resource management level of a region is perfect reflects a regional level of human capital, naturally also affects the work efficiency of the government departments and the level of modernization, has important value to improve the reality therefore strengthen the public sector performance evaluation mechanism for human resource management and enhance the level of China's public sector performance appraisal work. With the development of science and technology and society, each area of our country government departments should also keep pace with the times, to meet the needs of social development, take the initiative to meet the challenges in the era of Internet plus, government departments of human resources performance evaluation mechanism is an important way to improve the public sector level of human capital is the core. To achieve scientific and professional management of the government. In this paper, the X Financial Bureau staff as the main object of study, performance evaluation research. Public sector performance appraisal problems in this research, many international countries have done in-depth study and comparison of the system, but the actual situation in our country, the domestic research efforts on performance appraisal is weak, and the degree of attention is not high enough, therefore, on the improvement of public sector performance appraisal level and great progress in space; the research methods, in order to improve the scientific research force, in this study, the thesis writing process, application of the research method of multiple levels, such as comparative law, investigation method, literature analysis method etc.. This paper consists of six chapters, the first chapter is the introduction, mainly introduces the practical significance and the theory of social background, the value of X Finance Bureau performance appraisal mechanism of the study, the domestic and foreign research review, research methods and technology roadmap of the project; the second chapter is the theoretical basis, the public sector performance evaluation 360 degree performance appraisal method for defining the concept, secondly, makes a detailed introduction of the relevant theoretical basis of this paper; performance assessment of human resources situation the third chapter mainly introduces the X of Zhengzhou City Bureau of Finance and the existing problems, introduces the current situation of organization, X Financial Bureau performance IVAbstract appraisal situation, at the end of the existence of X in Zhengzhou city the Bureau of finance performance evaluation mechanism analysis of the problems; the fourth chapter is the perfect X of Zhengzhou City Finance Bureau performance appraisal system design; the fifth chapter is X Financial Bureau performance appraisal program Measures to achieve the protection; the sixth chapter is the conclusion. The innovation of this paper is mainly reflected in the application of the theory of national governance modernization, and study the performance evaluation mechanism of the grass-roots public sector. The theoretical basis of the study follows the development needs of the times. By focusing on the introduction of a wide range of performance evaluation subjects, the results of performance appraisal are more objective and democratic, and more representative of the wishes and needs of most people. In short, in reference to the basis of the international advanced experience on the X in Zhengzhou City Bureau of finance performance evaluation mechanism to improve, provide some thoughts on improving and other grass-roots government performance appraisal system or improve performance. 【Key Words】 Human resources performance appraisal mechanism Modernization of governance 【Type of thesis】Application Study V目 录 目 录 1.绪论 ...........................................................................................................................................1 1.1 研究背景和意义.................................................................................................................. 1 1.1.1 研究背景 .................................................................................................................... 1 1.1.2 研究意义 .................................................................................................................... 1 1.2 国内外研究综述及述评...................................................................................................... 3 1.2.1 国外研究综述 ............................................................................................................ 3 1.2.2 国内研究综述 ............................................................................................................ 5 1.2.3 研究述评 .................................................................................................................... 7 1.3 研究方法与创新点.............................................................................................................. 8 1.3.1 研究方法 .................................................................................................................... 8 1.3.2 研究技术路线 ............................................................................................................ 8 1.3.3 研究创新点 ................................................................................................................ 9 2.公共部门人力资源绩效考核相关概念及理论介绍 ............................................................. 11 2.1 相关概念界定.................................................................................................................... 11 2.1.1 公共部门 .................................................................................................................. 11 2.1.2 绩效考核 .................................................................................................................. 11 2.1.3 360 度绩效考评法 ................................................................................................... 12 2.2 理论基础............................................................................................................................ 13 2.2.1 国家治理现代化理论 .............................................................................................. 13 2.2.2 绩效考核理论 .......................................................................................................... 15 3.郑州市 X 财政局人力资源绩效考核现状 ............................................................................17 3.1 郑州市 X 财政局绩效考核概况 ....................................................................................... 17 3.1.1 目前采用的绩效考核指标 ...................................................................................... 17 3.1.2 目前的绩效考核实施方法 ...................................................................................... 19 3.2 工作人员对考核满意度调查............................................................................................ 20 3.2.1 问卷调查的设计 ...................................................................................................... 20 3.2.2 问卷调查的开展 ...................................................................................................... 20 3.2.3 问卷调查的数据汇总 .............................................................................................. 21 3.3 郑州市 X 财政局绩效考核机制存在的问题 ................................................................... 23 3.3.1 考核主体中群众参与度不高 .................................................................................. 23 3.3.2 缺乏专业化的培训 .................................................................................................. 25 3.3.3 绩效考核指标体系不健全 ...................................................................................... 26 3.3.4 绩效考核激励与反馈机制不完善 .......................................................................... 28 1西安理工大学工商管理硕士学位论文 4.郑州市 X 财政局绩效考核机制方案设计 ............................................................................ 30 4.1 绩效考核注重发挥群众作用............................................................................................ 30 4.1.1 绩效考核重视服务对象的有效评价 ...................................................................... 30 4.1.2 建立绩效考核结果公示机制 .................................................................................. 31 4.2 形成专业化的绩效考核培训机制.................................................................................... 31 4.2.1 对绩效考核主体加强专业培训 .............................................................................. 31 4.2.2 创新绩效考核培训方式 .......................................................................................... 32 4.3 完善绩效考核指标体系.................................................................................................... 33 4.3.1 组织绩效方案 .......................................................................................................... 33 4.3.2 个人绩效方案 .......................................................................................................... 36 4.3.3 加减分及满意度绩效方案 ...................................................................................... 41 4.4 完善绩效考核激励机制与反馈机制................................................................................ 46 4.4.1 适当增加考核等次，完善激励机制 ...................................................................... 46 4.4.2 建立绩效考核的反馈机制 ...................................................................................... 47 5.完善 X 财政局绩效考核机制的保障 .................................................................................... 49 5.1 完善 X 财政局绩效考核机制的理念保障....................................................................... 49 5.2 完善 X 财政局绩效考核机制的措施保障....................................................................... 50 5.2.1 考核过程注重双向沟通 .......................................................................................... 50 5.2.2 绩效考核主体多元化 .............................................................................................. 50 5.2.3 全面的绩效考核内容 .............................................................................................. 51 5.2.4 注重人力资本开发与专业化培训 .......................................................................... 51 6.结论 ......................................................................................................................................... 53 致谢..........................................................................................................................................54