II 摘要 近今年国内企业尤其是高新技术企业对自主研发的重视程度逐渐提升到战 略发展研究的高度上，伴随而来的是研发部门和研发人员逐渐成为企业长远发展 中不可或缺的核心力量。但这些企业对研发部门和研发人员的管理却缺乏成熟经 验，导致研发部门人员流失严重，关键研发技术突破受阻。国内企业对研发部门 和人员的绩效管理体系向科学性、激励性、有效性等方向进一步优化的需求趋势 愈加明显。 YL公司是一家集高新技术材料研产销于一体的企业，拥有100多项自主发 明专利。从研到产仅用了3年时间，其主营的材料及相关制品便成为世界上第二 家拥有该行业自主知识产权制备技术和万吨产能的企业。但伴随着企业快速发展 的脚步，研发技术型人才引进难、流失大、创新慢等问题，逐渐引起了公司高管 团队对研发部门和技术人才管理的重视，如何有效解决以上问题，已是YL公司 未来发展能力的重中之重。 本文从绩效管理的基本理论出发，通过运用文献研究法、问卷调查法、比较 分析法、系统分析法等方法，对YL公司研发部门人员的绩效管理运行过程进行 了全面的分析，梳理出目前绩效管理体系中存在的不足，并找出问题背后的原因。 本文通过对研发部门与研发人员现行绩效管理的各环节进行补充与优化，体现了 绩效管理工作的科学性与有效性。特别是针对目前绩效管理过程中目标不清晰、 考核不落地、沟通不畅、辅导不足等问题进行了优化，本文健全了研发部门和研 发人员的目标管理；在绩效考核方面由使用单一考核工具改进为采用组合工具进 行多维度考核评价；同时建立了有效的绩效沟通渠道，最终形成了完整的闭环绩 效管理模式，对提高知识型员工持续绩效改进做出尝试，以期对YL公司的绩效 管理实际工作提供借鉴作用。 关键词：研发部门；研发人员；绩效管理 山东理工大学硕士学位论文ABSTRACT III ABSTRACT Inrecentyears,domesticenterprises,especiallyhigh-techenterprises,have graduallychangedtheirfocusesonindependentresearchanddevelopmenttothelevel ofstrategicdevelopmentresearch.Whileatthesametime,R&Ddepartmentsand R&Dpersonnelhasgraduallybecomeanindispensablecoreforceinthelong-term developmentofenterprises.However,theoutflowofR&Dtalentsintheseenterprises issevereandbreakthroughsinkeyR&Dtechnologiesarehardtomakeduetothe lackofexperienceinthemanagementofR&Ddepartmentsandrelativepersonnel.As fortheoptimisationoftheperformancemanagementsystemofR&Ddepartmentsand personnel,thetrendsofdomesticenterprises’demandsareapparentlyheadingforthe directionofbecomingmorescientific,incentiveandeffective. YLisanenterprisewithmorethan100independentinventionpatentsintegrating research,productionandmarketingofhigh-techmaterials.Thecompanytookonly3 years’timetofinishthewholeprocessfromresearchtoproduction.Dependingonits mainmaterialsandrelatingproducts,ithasbecamethesecondenterpriseintheworld withindependentintellectualpropertyrightsintheindustrywithitsproduction capacityreachingtenthousandtons.Butwiththethecompanyevolvingatafastpace, issueslikedifficultyinintroducingR&Dtechnicaltalents,largeoutflowoftalentsand slowinnovationspeedhavegraduallyattractedtheattentionofthecompany'ssenior managementteamonR&Ddepartmentsandtechnicians.Findtheeffectivesolution fortheaboveissueshasoccupiedthetoppriorityofYL'sfuturedevelopment. ThispaperhasmadeacomprehensiveanalysisofR&Ddepartments’s performancemanagementoperationprocessofYLcompanywiththebasictheoryof performancemanagementasastartingpoint,togetherwiththeapplicationof literatureresearch,questionnaireinvestigation,comparativeanalysisandsystem analysismethodtofindoutthedeficienciesofthecurrentperformancemanagement systemaswellasthereasonslyingbehind.Thispaperreflectsthatperformance managementisbothscientificandeffectivebysupplementingandoptimisingalllinks 山东理工大学硕士学位论文ABSTRACT IV ofthecurrentperformancemanagementofR&DdepartmentandR&Dpersonnel, particularlyproblemslikeuncleargoals,ineffectiveassessment,poorcommunication andinsufficientguidance.ThispaperimprovedthetargetmanagementofR&D departmentsandR&Dpersonnel.Asforperformanceassessment,thepaperchanged fromsingleassessmenttooltothecombinationofvarioustoolssoastoachieve multi-dimensionalassessment.Atthesametime,thispaperhasdevelopedeffective performancecommunicationchannelsandfinallyestablishedacompleteperformance managementmodelthatisclosed-loop.Inaddition,theauthorhasalsomadeattempts toimprovethecontinuousperformanceimprovementofknowledgetalented employees,inordertoprovidereferenceforYL'sactualperformancemanagement work. Keywords：R&Ddepartment;R&Dpersonnel;Performancemanagement 山东理工大学硕士学位论文目录 V 目录 摘要......................................................................................................................I ABSTRACT.......................................................................................................III 第一章绪论........................................................................................................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..........................................................................................2 1.2国内外文献综述......................................................................................2 1.2.1国外文献综述...................................................................................2 1.2.2国内文献综述..................................................................................3 1.2.3文献评述..........................................................................................4 1.3研究内容和方法.....................................................................................5 1.3.1研究内容..........................................................................................5 1.3.2研究方法...........................................................................................6 1.3.3技术路线..........................................................................................6 第二章绩效管理相关理论基础..........................................................................8 2.1绩效管理的概念......................................................................................8 2.1.1绩效的概念......................................................................................8 2.1.2绩效管理的概念..............................................................................8 2.1.3绩效管理的误区..............................................................................9 2.2绩效考评方法.......................................................................................11 2.2.1关键绩效指标（KPI）法..............................................................11 2.2.2关键胜任能力指标（KCI）法.....................................................11 2.2.3目标与关键成果(OKR)法.............................................................11 2.3与绩效管理相关的激励理论...............................................................12 2.3.1ERG理论.....................................................................................12 2.3.2期望理论........................................................................................13 2.3.3公平理论........................................................................................14 2.4研发部门人员实现激励目标的动力因素...........................................14 第三章YL公司研发部门和人员绩效管理现状与分析.................................16 3.1YL公司及其研发部门基本情况..........................................................16 3.1.1公司及部门简介............................................................................16 3.1.2人力资源概况................................................................................16 山东理工大学硕士学位论文目录 VI 3.2YL公司研发部门人员绩效管理现状..................................................17 3.2.1设计问卷背景................................................................................17 3.2.2设计调查问卷................................................................................17 3.2.3YL公司研发部门人员绩效管理现状分析...................................18 3.3YL公司研发部门和人员绩效管理存在问题及原因分析..................20 3.3.1YL公司研部门和人员绩效管理存在的问题........................