面对激烈的金融科技行业竞争，国内很多中小型民营创业企业，为谋求生存与发 展，对外，全身心投入业务开拓，对内，则学习大型成熟公司的管理经验，希望通过 借用完善体系化的管理规范，提高部门工作效率、提升员工的主人翁精神，特别是公 司的盈利水平。然而，照搬照抄的结果是，经营业绩不佳，人员流失严重等一系列问 题。关键原因就在于，成熟集团公司的考核办法，不适用于创业阶段的中小企业，无 法满足其实际管理需求及承载能力。 ZR普惠金融数据科技公司（以下简称“ZR公司”）是一家江西民营企业排名前五 集团公司的下属全资子公司，其人力资源管理体系承袭自集团公司。然而，成立初 期，公司外部面对国家金融政策变革，宏观发展环境的巨大变化，内部面临盈利模式 变更，职责分工模糊，公司领导没认识到人力资源管理重要性等诸多问题，导致原有 绩效考核办法完全无法满足公司发展需要，造成了一系列问题，如公司人员流失率增 加，经营业绩难以提升等。 本文遵循提出问题、分析问题及解决问题的思路，主要通过文献检索、案例分 析，来阐述论文的研究目的和思路、研究的内容和结构，通过对ZR公司的实地研究， 探索创业型中小企业优化绩效考核的思路以及实施保障举措。第一，通过文献检索和 现场调查，基于绩效考核理论，剖析ZR公司绩效评估体系的现状、问题不足及发生的 原因。其次，根据ZR公司战略目标及运营规划，分解部门与企业战略目标相关的绩效 指标，结合工作实践分析和理论学习，对ZR公司的绩效考核办法进行优化设计。第 三，根据企业特性，为优化方案的落地执行拟定各项保障措施，帮助中小企业领导层 意识到绩效考核优化的重要性。 总之，企业绩效考核工作不仅是员工奖金发放的基础，而且是企业在管理过程中 掌握和反馈各类信息的渠道和手段，不能随意借用其他公司的成功管理制度，必须根 据自身条件“量身打造”。只有正确理解绩效考核的深层含义，才能真正实现绩效考 核的预期目的和作用。希望ZR公司绩效考核管理的各个环节，可以随着公司的逐步发 展成熟，不断优化落实。 关键词：绩效考核；优化设计；中小企业；ZR公司 iii Abstract With the increasingly fierce competition, most of the small and medium–sized private enterprises in China want to improve their competitiveness, in order to better adapt to the change of market demand promptly. The human resource management system plays an essential role in the success of management model, especially its core performance evaluation methods, must be determined according to the company's development stage and actual needs. However, many business owners learn the management experience of large mature companies, and hope to perfect the systematic Management norms to improve the department's work efficiency, employee ownership and company profitability. However, the result of copying and copying is a series of problems such as poor business performance and serious staff turnover. ZR Co., Ltd. is a Wholly–owned subsidiaries controlled by a located private enterprise ranking the top five group companies, and its human resources management system is inherited from the group company. With the demand for development, ZR Co., Ltd. start to face challenge from changes in national financial policies，business model etc. Company leaders did not recognize the importance of human resource management. The method was completely unable to meet the company's development needs, which caused a series of problems, such as the increase in the company's staff turnover rate and difficulty in improving business performance. This article follows the ideas of asking questions, analyzing problems and solving problems. The first part of the thesis puts forward the research background and case analysis to explain the research purpose and ideas of the thesis. The second part introduces the theory of performance management, motivation and principles in all aspects, characteristics and key elements. Third, according to the characteristics of the enterprise, formulate various guarantee measures for the implementation of the optimization plan, help the SME leadership realize the importance of performance evaluation optimization, improve the organizational system guarantee, and create a healthy and good implementation environment for the optimization of the performance plan. In short, corporate performance appraisal work is not only the basis for employee bonus awards, but also the channels and means for companies to grasp and reflect various types of information in the management process. Only by fully recognizing the deep meaning and role of performance appraisal can we truly achieve the expected purpose of performance appraisal, and make this work the link and bridge between decision makers and managers. I hope that with the development and maturity of ZR, we can further strengthen the optimization of all aspects of the company's performance assessment management. Keywords: Performance Appraisal; Optimization; Medium–sized and small enterprise; ZR Co., Ltd iv 目录 摘要 ............................................................. ii Abstract ............................................................. iii 第1章绪论 ............................................................ 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 国内外研究现状 ................................................ 2 1.2.1 国外研究现状 ............................................ 2 1.2.2 国内研究现状 ............................................ 3 1.3 研究方法与思路 ................................................ 5 1.3.1 研究方法 ................................................ 5 1.3.2 研究思路 ................................................ 5 第2章相关理论基础 .................................................... 7 2.1 绩效考核理论 .................................................. 7 2.1.1 绩效考核理论概述 ........................................ 7 2.1.2 绩效考核方法概述 ........................................ 7 2.2 认知评价理论 .................................................. 8 2.3 目标设置理论 .................................................. 8 2.4 工作特征模型 .................................................. 9 第3章ZR公司绩效考核的现状分析 ...................................... 10 3.1 ZR公司发展概况 .............................................. 10 3.1.1 ZR公司数据科技公司成立背景 ............................ 10 3.1.2 ZR公司当前发展阶段及业务状况 .......................... 10 3.1.3 ZR公司组织架构及部门设置 .............................. 11 3.2 ZR公司绩效考核现状 .......................................... 13 3.2.1 考核流程 ............................................... 13 3.2.2 考核内容 ............................................... 14 3.2.3 考核效果 ............................................... 15 第4章ZR公司绩效考核存在的问题及原因分析 ............................ 16 4.1 ZR公司绩效考核存在的问题 .................................... 16 4.1.1 问卷调查 ............................................... 16 4.1.2 存在的问题 ............................................. 17 4.2 原因分析 ..................................................... 19 4.2.1 外部环境的影响 ......................................... 19 4.2.2 领导对人事管理的认识偏差 ............................... 19 v 4.2.3 经营目标设定过高 ....................................... 19 4.2.4 集团制度水土不服 ....................................... 20 4.2.5 职责分工不清晰 ......................................... 20 4.2.6 绩效反馈机制不健全 ..................................... 21 第5章ZR公司绩效考核优化对策 ........................................ 22 5.1 ZR公司绩效考核优化的目标 .................................... 22 5.1.1 明确公司经营战略 ....................................... 22 5.1.2 契合公司战略制定绩效考核目标 ........................... 22 5.2 具体对策 ..................................................... 23 5.2.1 明确绩效考核主体 ....................................... 23 5.2.2 优化设计考核指标 ....................................... 23 5.2.3 简化绩效考核流程 ....................................... 26 5.2.4 完善绩效反馈机制 ....................................... 28 5.2.5 增加考核结果运用范围 ................................... 28 5.2.6 强化绩效考核组织 .......