经济新常态下，企业经营也必须向精细化方向转变，企业管理的重要性愈发突出， 而高管则是实现企业高质量和精细化发展的关键角色。高管在企业中既是决策者又是 管理者，他们的素质和水平对企业的战略目标实现与业绩提升具有至关重要的作用。 在企业的实际经营过程中，由于体量的增大和业态的增多，高管角色不仅仅局限在某 个单独的法人实体当中，越来越多的子集团、子公司和分公司高管开始登上企业管理 的舞台，而对较为庞大的高管团队如何进行全面系统的绩效考核，是一个值得研究的 重要现实问题。胜任力作为一项衡量高管的重要因子，如何将其充分应用到高管的绩 效考核体系当中去，对企业的管理提升和绩效实现具有至关重要的作用。 近些年随着大型集团企业的多元化发展，公司高管已不仅局限在公司总部，越来 越多的子公司、控股公司甚至是参股公司高管分部在不同业务板块、不同城市甚至是 不同国家。这给传统的监管式企业高管考核带来了较大冲击。目前来看，国内大部分 公司对于高管的考核要么是处于放任不管的阶段，完全靠高管的自我约束力和敬业精 神，考核效果及可持续性有待商榷。TX 公司作为当地的一家地方政府平台公司，近 些年采取了多元化发展道路，对我国多元化集团公司具有一定的代表性，通过对该公 司进行满意度调查及基于胜任力模型的绩效考核体系优化，理论和现实意义较为突 出。 本文依据现代企业人力资源管理的相关理论，在全面系统回顾国内外关于胜任力 相关研究成果的基础上，通过对高管人员、绩效考核体系、胜任力等核心概念以及相 关理论概述，立足于 TX 企业高管绩效考核现行体系现状及问题的综合分析，结合企 业高管的实地调研方案的设计及实施，通过构建基于胜任力定量模型，重点对 TX 企 业高管绩效考核体系问题进行实证研究，最终提出基于胜任力模型的 TX 企业高管绩 效考核体系的优化思路及实施策略，该指标体系主要包括决策能力、组织能力、专业 能力、人格魅力、廉洁奉公五大模块。相关研究成果不仅为 TX 企业的高管人员的绩 效考核体系的优化提供理论指导，也将为国内类似企业提供可资借鉴的经验启示。 关键词：胜任力模型；企业高管人员；员工绩效；绩效考核体系基于胜任力模型的 TX 公司高管绩效考核体系优化研究 I ABSTRACT As my country’s economy enters a new normal, the downward pressure on the economy is gradually increasing, and business operations must also shift to a more refined direction. The importance of corporate management is becoming more and more prominent, and executives play a key role in achieving high-quality and refined corporate development . Senior executives are both decision makers and managers in an enterprise, and their quality and level play a vital role in the realization of the company's strategic goals and performance improvement. In the actual business process of enterprises, due to the increase in volume and business formats, the role of executives is not limited to a single legal entity. More and more executives of subgroups, subsidiaries and branches are beginning to register. On the stage of corporate management, how to conduct a comprehensive and systematic performance appraisal of a relatively large senior management team is an important practical issue worthy of research. Competency is an important factor for measuring executives. How to fully apply it to the performance appraisal system of executives plays a vital role in the management improvement and performance realization of enterprises. In recent years, with the diversified development of large group companies, company executives have not only been confined to the company’s headquarters, more and more subsidiaries, holding companies, and even shareholding companies’executive branches are in different business sectors, different cities and even different countries. This has brought a greater impact to the traditional supervisory assessment of corporate executives. At present, most domestic companies' assessments of senior management are either in a laissez-faire stage, relying entirely on the self-discipline and professionalism of senior management, and the effectiveness and sustainability of the assessment are open to question. As a local government platform company, TX company has adopted a diversified development path in recent years, which is representative of my country's diversified group companies. It has conducted a satisfaction survey on the company and a performanceABSTRACT II evaluation system based on a competency model. Optimization, the theoretical and practical significance is more prominent. This article is based on the relevant theories of modern enterprise human resource management, and on the basis of a comprehensive and systematic review of domestic and foreign research results on competence, through an overview of core concepts and related theories such as senior management, performance appraisal system, competence, etc, based on TX Comprehensive analysis of the current status and problems of the current corporate executive performance appraisal system, combined with the design and implementation of the corporate executives’on-site survey plan, and through the construction of a quantitative model based on competence, focus on the empirical research on the TX corporate executive performance appraisal system. The optimization ideas and implementation strategies of TX corporate executive performance appraisal system based on the competency model are proposed. The index system mainly includes five modules: decision-making level, organizational ability, professional ability, personality charm, and integrity. Relevant research results will not only provide theoretical guidance for the optimization of the performance appraisal system of TX companies' executives, but also provide experience and inspiration for similar domestic companies. KEYWORDS:Competency model; Top managers; Employee performance; Performance appraisal system基于胜任力模型的 TX 公司高管绩效考核体系优化研究 1 目录 第一章 绪论 ····1 第一节 研究背景及意义·····1 一、研究背景·················1 二、研究意义·················1 第二节 国内外研究综述·····2 一、国外相关研究 ··········2 二、国内相关研究 ··········3 三、国内外研究评述 ·······4 第三节 研究思路及方法·····4 一、研究思路及内容结构 ·4 二、研究方法·················5 第四节 本文的创新之处·····6 第二章 相关理论概述 ··········7 第一节 基本概念··············7 一、企业高管及其角色定位 ················7 二、胜任力··7 三、绩效考核·················8 第二节 相关理论概述········9 一、激励理论·················9 二、胜任力相关理论 ·······9 三、目标设置理论 ········10 四、绩效考核的主要方法 ·················11 第三章 TX 公司高管人员绩效考核现状分析················12 第一节 TX 公司概况及其高管人员情况分析·············12 一、TX 公司概况··········12 二、公司高管人员的基本情况 ···········13 第二节 TX 公司高管人员现行绩效考核办法的实施····14目录 2 一、考核原则及管理机构 ·················14 二、主要内容与流程 ·····14 三、考核方法···············15 四、结果应用···············15 第三节 TX 公司高管现行绩效考核实施的满意度调查·15 一、调研目的···············15 二、调研问卷设计 ········15 三、调研实施···············16 四、调研结果的分析 ·····16 第四节 TX 公司高管人员绩效考核问题及其诊断·······18 一、绩效考核指标设计不科学 ···········18 二、绩效考核目标与公司经营战略目标相脱节 ········19 三、考核结果应用单一 ··19 四、绩考核流于形式 ·····19 五、考核分数过于平均 ··20 六、存在任人唯亲现象 ··20 第四章 TX 公司高管人员胜任力模型的构建················21 第一节 指标设置及模型构建···············21 一、指标体系设计 ········21 二、问卷设计···············22 三、问卷发放及数据收集 ·················24 第二节 描述性统计分析···24 第三节 信效度及因子分析27 一、信效度分析············27 二、探索性因子分析 ·····28 三、胜任力公共因子权重确定 ···········30 第四节 相关性与回归分析·················31 一、相关性分析············31 二、回归分析··········