薪酬作为激励中最基本的表现形式，与适当的业绩评价方法关联使用会产生更
大的效用。因此对业绩评价和薪酬激励的效果进行研究是很有意义的课题。本
文在委托代理理论基础上，融入行为科学来研究相对业绩评价应用及其薪酬激
励效果。研究内容主要分为两个部分：
一是通过问卷调查的方法，分析我国企业员工对 RPE 应用状况的主观感知
程度及差异，RPE 对员工潜在的激励效果及影响因素。研究结果表明，我国大
型企业和非国有企业对 RPE 的应用程度相对较高，而企业员工对 RPE 应用的
主观感知程度整体较低；RPE 的潜在激励效果受到环境风险的影响。在工作任
务不确定性越大和行业竞争程度越高的环境中，员工对RPE的认同度越高，RPE
的潜在激励效果越好
二是基于问卷调查中对 RPE 潜在激励效果影响因素的研究结果，本文使用
实验研究的方法，结合环境风险因素对 RPE 的激励效果进行深入分析，研究基
于相对业绩评价的薪酬激励效果。研究结果表明，与传统薪酬制度相比，基于
相对业绩评价的薪酬制度具有更好的激励效果。同时，RPE 的激励效果在行业
竞争程度越大的环境中，表现得越明显
从本文的研究结论思考，可以对我国相对业绩评价的应用提供数据支持和
参考。结合员工对 RPE 的感知状况和 RPE 的薪酬激励效果，我国企业可以从
广度和深度上加强 RPE 的应用，完善绩效评价体系，并对不同工作背景的员工
针对性地使用 RPE 评价方法，更好地评价和激励员工，提高企业经济效益
本文在研究角度、研究思路和研究方法三个方面具有创新之处。分别是从
一般代理人角度出发，寻找激励效果的有效替代变量，利用问卷调查和实验研
究的方法对相对业绩评价进行研究
关键词：相对业绩评价，薪酬激励，问卷调查，实验研究，行为科学II
ABSTRACT
Relative Performance Evaluation(RPE) is a kind of measurement of performance
evaluation, which chooses a suitable standard when evaluating managers’
performance thus decreasing the interference of system factors and increasing the
connection between managers’ performance and working behaviors. In
principal-agent relations, an effective motivation is not only the compensation to
managers but also the reflection of optimal cost-benefit results to principals. As the
primary form of incentives, salaries can bring more utility when correlated with
suitable measurements. Therefore it is meaningful to study the effects of RPE and
salary incentives. This thesis based on principal-agent theories, taking general agents
into account, combined with behavioral sciences to study the application of RPE and
its salary reward incentive effects. The research are divided into two parts:
First, questionnaire survey was used to study the applying situations of RPE in
enterprises from employees’ cognitive perspective and the potential incentive effects
of RPE. The results implies that the levels of RPE application in large enterprises
and non-state-owned enterprises are higher, though the whole level of employees’
cognition on RPE application is low. Also the potential incentive effects of RPE are
influenced by the environmental risks. When the environment is faced with more
uncertainties and industrial competitions, employees’ identity for RPE is higher
consequently leading to the better potential incentive effects of RPE.
Second, basing on the results of the influencing factors on the potential incentive
effects of RPE, experimental research was used to study the incentive effects of RPE
combined with environmental risks. The results implies the salary system based on
RPE has better incentive effects than the conventional system. Also the incentive
effects of RPE explode more in environment with more industrial competitions.
The conclusion provides the data supports and references for RPE application in
China. Considering the employees’ cognition for RPE and the incentive effects of
RPE-salary combination, the enterprises should enforce the use of RPE in the extent
of both width and depth according to the working environment to better evaluate and
inspire employees, which will finally improve the enterprise’s beneifts.
KEY WORDS: RPE, Salary incentives, Questionnaire survey, Experimental
research, Behavioral sciencesIII
目 录
摘要........I
ABSTRACT......II
第 1 章 绪论......1
1.1 研究背景.........1
1.2 研究意义.........2
1.3 研究内容和结构.........3
1.4 研究思路和技术路线.4
1.5 研究创新点.....5
第 2 章 文献综述和理论基础..7
2.1 相对业绩评价的文献综述.....7
2.1.1 相对业绩评价理论......7
2.1.2 相对业绩评价与薪酬激励......9
2.1.3 相对业绩评价的研究现状......9
2.2 研究的理论基础.......10
2.2.1 相对业绩评价理论基础........10
2.2.1.1 委托代理理论.10
2.2.1.2 行为科学理论.10
2.2.2 薪酬激励理论基础....11
2.3 小结...12
第 3 章 问卷调查的研究问题和假设13
3.1 问卷调查的研究问题...........13
3.1.1 问卷调查的意义........13
3.1.2 问卷调查的内容........14
3.1.3 问卷的设计和发放....14
3.2 问卷调查研究的理论分析和假设...15
3.2.1 员工感知的 RPE 应用状况 ..15
3.2.2 员工感知的 RPE 激励差异 ..16
3.3 小结...18
第 4 章 问卷调查研究的过程和结果19
4.1 员工感知的 RPE 应用现状研究 .....19
4.2 员工感知的 RPE 应用差异研究 .....22IV
4.3 相对业绩评价的潜在影响因素研究...........25
4.3.1 信度和效度检验........26
4.3.2 平均数差异检验........28
4.3.3 回归分析........30
4.4 小结...31
第 5 章 实验研究
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