-I- 摘要 多年来，国有煤炭企业对管理和专业技术人员(以下简称“管技人员”)绩效考核 工作的淡化、弱化、虚化问题，使得管理团队整体效能一直处于低位运行，严重制 约企业内部新机制、新工艺、新技术的投入和应用。打破传统经验型绩效考核方式， 研究绩效考核体系，改善管技人员绩效现状，是国有煤炭企业挖掘潜力、降低成本、 提高效益、立足市场，实现国有资本保值增值的内在要求和重要举措，也是推进企 业转型发展过程中的识别人才、培养人才、使用人才，激发人力资源在企业经营管 理中发挥效能的重要途径。 本文应用绩效考核相关理论，以DHT公司为研究对象，对管技人员的绩效考 核体系进行研究。过对目前企业绩效考核运转过程中存在的问题进行多角度、全方 位剖析，有针对性的研究制约绩效考核效用发挥的各种不利因素，追溯本源，充分 应用国内外先进绩效考核相关理论，进行设计研究，构建一套标准量化、业务简化、 统计自动化、反馈实时化、对比可视化、结果价值化的相对科学、合理、可操作的 绩效考核体系，对管技人员进行有效的激励和约束，充分调动他们工作积极性和主 动性，盘活人力资源潜能，在提高企业生产经营质量和效率、促进效益最大化工作 上发挥绩效考核的引导和引领作用。 关键词:绩效管理；绩效考核；管技人员绩效考核；DHT公司 燕山大学工商管理硕士学位论文 -II- Abstract Overtheyears,thestate-ownedcoalenterpriseshavethoughtlittleabout performanceappraisalofmanagementandtechnicalpersonnel,andtheoverall effectivenessofthemanagementteamhasbeenrunningatalowlevel,whichseriously restricttheinvestmentandapplicationofnewmechanism,newprocessesandnew technologieswithinenterprises.Breakingthetraditionalexperience-basedperformance appraisalmethod,studyingperformanceappraisalsystem,improvingtheperformanceof managementandtechnicalpersonnelarenotonlyintrinsicrequirementsandimportant initiativesofexploitingpotential,costingdown,improvingefficiency,beingbasedon market,preservingofincreasingthevalueofgovernmentcapital,butsignificantwaysof givingfullplaytotheeffectivenessinbusinessmanagementduringpromotingtheprocess ofenterprisetransformationanddevelopment. Thispaperappliestherelevanttheoryofperformanceappraisal,andtakesDHT companyastheresearchobject,studyingtheperformanceappraisalsystemofthe managementtechniciansandconductingmulti-angleandall-roundanalysisofthecurrent processofenterpriseperformanceappraisal.Thispaperalsofullyapplytherelevant theoryofadvancedperformanceassessmentathomeandabroad,establishasetof relativelyscientific,reasonableandoperationalperformanceappraisalsystemforstandard quantification,businesssimplification,statisticalautomation,feedbackreal-time, comparativevisualization,andvalueofresults,inordertoeffectivelymotivateand constrainthemanagementstaff,fullymobilizetheenthusiasmandinitiativeofthe managementandtechnicalpersonnel,improvethequalityandefficiencyofproduction andoperation,andplayaleadingroleinperformanceappraisal. Keywords:performancemanagement;performanceassessment;performanceassessment ofmanagementandtechnicalpersonnel;DHTcompany 目录 -III- 目录 摘要....................................................................................................................................I Abstract.................................................................................................................................II 第1章绪论.....................................................................................................................1 1.1研究背景及研究意义................................................................................................1 1.1.1研究背景...............................................................................................................1 1.1.2研究意义...............................................................................................................2 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.......................................................................................................4 1.2.3国内外研究评述...................................................................................................6 1.3研究内容和研究方法................................................................................................7 1.3.1研究内容...............................................................................................................7 1.3.2研究方法...............................................................................................................7 第2章绩效考核理论基础.................................................................................................9 2.1绩效的内涵与特征....................................................................................................9 2.1.1绩效的内涵...........................................................................................................9 2.1.2绩效的特征...........................................................................................................9 2.2绩效考核的概念及其作用......................................................................................10 2.2.1绩效考核的概念.................................................................................................10 2.2.2绩效考核的作用.................................................................................................10 2.3绩效考核的方法.....................................................................................................11 2.3.1KPI关键指标考核法.........................................................................................11 2.3.2MBO目标管理法...............................................................................................12 2.4绩效考核的流程......................................................................................................13 2.4.1绩效考核计划的制定.........................................................................................13 2.4.2绩效考核的实施.................................................................................................14 燕山大学工商管理硕士学位论文 -IV- 2.4.3绩效考核结果的应用.........................................................................................14 2.5本章小结..................................................................................................................14 第3章DHT公司管技人员绩效考核现状与问题分析..................................................15 3.1DHT公司概况.........................................................................................................15 3.2DHT公司组织结构与部门分类.............................................................................16 3.2.1组织结构............................................................................................................16 3.2.2部门分类............................................................................................................17 3.3核心业务流程.........................................................................................................18 3.4管技岗位人员特点.................................................................................................19 3.5DHT公司管技人员绩效考核现状.........................................................................21 3.5.1绩效考核方法....................................................................................................21 3.5.2绩效考核与薪酬分配关系................................................................................25 3.5.3绩效考核与职业发展关系................................................................................26 3.6DHT公司管技人员绩效考核存在的问题.............................................................27 3.6.1现行绩效考核满意度调查................................................................................27 3.6.2绩效考核业务流程方面问题............................................................................31 3.6.3指标设计与使用方面问题................................................................................32 3.6.4结果运用方面问题