I 摘要 由于我国国有企业发展体制机制决定，军工科研院所一直以来形成了浓厚的计划 经济特色，加之航天项目研发本身具有研制风险大、技术含量高以及项目组织管理复 杂等特点，导致科研人员绩效考核难度加大，多数军工科研院所绩效考核体系运行效 果不佳，考核流于形式。长此以往，将对关系到国家、国防安全和国民经济发展的军 工技术研究造成很大影响。 特别是当前，在国家创新驱动战略和新时代发展要求的背景下，国有企业要面向 世界科技前沿、面向国家重大战略发展需要、面向国民经济主战场竞争，都需要不断 提升自身的创新能力并全方位提高自身的综合管理水平。A研究院作为我国西部地区 航天科技发展重要的研究机构，在目标管理和绩效考核方面已经进行了多年的管理尝 试，成效突出，但就现状来看仍然难以满足“十三五”新形势下的战略发展需要，特别 是难以满足党的十九大明确提出的中国特色社会主义新时代吹响的“航天强国”要求。 对此，本文基于目标管理、KPI和绩效管理理论，综合运用专家问卷调查法、层 次分析法等研究方法，针对A研究院部门层面的绩效考核体系进行改进研究。首先， 在分析A研究院部门绩效考核现状的基础上，查找其绩效考核存在的主要问题和原 因，其存在的问题主要包括：A研究院绩效考核指标设计不合理并缺乏系统性、绩效 考核过程复杂且主观性太强、绩效考核未形成有效的激励作用、绩效考核结果在部门 和员工之间认可度不高；针对以上问题，文章逐一分析其具体原因有：A研究院绩效 考核顶层重视度不够、绩效管理未采取科学有效的方法、绩效考核的反馈纠正力度不 足、绩效考核不够公开透明。其次，结合理论知识，论文研究提出A研究院科学合 理地构建更有效的部门绩效考核体系。具体包括：绩效目标体系的建立、目标分解、 分部门确定关键绩效指标、专家问卷调查与各部门指标权重计算。在论文第五章中， 重点针对绩效考核的实施策略与组织进行描述，提出了考核实施过程中应该注意和优 化改进的关键项目。 通过本文的研究分析，笔者以期建立一套更加完善的部门绩效考核体系，更好地 激发部门及员工的工作积极性，从而提高A研究院的整体管理能力。在提出加强A 研究院绩效考核体系的实施分析对策建议之后，本文归纳了研究结论，分析不足之处 并展望了对A研究院绩效管理改革的期待，希望后续能针对A研究院的中心任务承 担部门——科研生产主体部门绩效考核进行专门分析研究。 关 键 词：关键绩效指标，目标管理，绩效管理，管理能力提升 ABSTRACT III ABSTRACT Due to the distinctive administration system of state-owned enterprises in China, the military research institutes of science and technology have formed a mechanism for development with a strong feature of planned economy. In addition, the R & D of aerospace project itself is characterized by high risk, high technical content and complicated project management. Performance appraisal system of most military research institutes is insufficient and formalistic. In a long run, it will damage the researches of military technology related to the development of the country, national security, and national economy. Under the current situation of China’s Innovation-driven Development Strategy, state-owned enterprises are required to stand in line with the world's scientific and technological frontiers, to satisfy the needs of major national strategies and to join the competition in the main battlefield of national economy. They must continuously improve their own innovative abilities and their overall management standard in an all-round way. As an important research Institute for the development of space science and technology in the western region of China, A Research Institute has conducted reforms in target management and performance appraisal for many years. Despite outstanding achievements, they still cannot meet the needs of strategic development under the new situation, especially the aim of "thirteen-five planning" and also the target of becoming "a strong power in aerospace" proposed in 19th CPC national congress. Based on the theories of target management, KPI and performance management, this paper synthetically uses the methods of expert investigation and analytic hierarchy process to research the performance appraisal system on department level of A Institute. First of all, based on the analysis of the status quo of performance appraisal on department level, the main problems of performance appraisal and their causes are found out. The existing problems are as follows: A Institute's top management team paying less attention to performance appraisal, subjective factors surpassing objective factors, the lack of quantitative indicators, and the lack of feedback on the results of performance. The reasons are listed as follows: the top management team’s lack of strategic plan on performance appraisal, the old system of performance management constraints, the unreasonable 西安电子科技大学硕士学位论文 IV performance appraisal targets, especially the weight set, and a weak connection between performance appraisal and individual performance feedback. Then, this paper proposes A Institute to construct a more effective department performance appraisal system. They include the establishment of performance goals, the selection of key performance indicators for different departments, expert questionnaire and indicators weight calculation for each department and implementing performance appraisal. In Chapter 5, the paper describes in detail the conduct of performance appraisal and analyze its process, proposing the key items that need to be noticed and improved in future. This paper hopes to establish a system of performance appraisal to stimulate the enthusiasm of staff and improve the management of A Institute. Based on all the analysis and discussion, this article makes a brief conclusion and presents the shortcomings of the research. It expects future researches pay specific attention to the R&D department, the core department in research institute. Keywords: KPI, Target Management, Performance appraisal Management Ability Improvement 插图索引 V 插图索引 图1. 1 研究框架图 .................. 4 图4. 1 绩效考核体系设计流程 ........................... 25 表格索引 VII 表格索引 表4. 1 A研究院关键绩效考核指标的选择标准 28 表4. 2 科研生产主体部门绩效指标分解表 ....... 32 表4. 3 院办公室绩效指标分解表 ....................... 33 表4. 4 经营发展部绩效指标分解表 ................... 33 表4. 5 财务金融部绩效指标分解表 ................... 34 表4. 6 市场研发部绩效指标分解表 ................... 34 表4. 7 质量技术部绩效指标分解表 ................... 35 表4. 8 物资部绩效指标分解表 ........................... 35 表4. 9 人力资源部绩效指标分解表 ................... 36 表4. 10 政治工作部绩效指标分解表 ................. 36 表4. 11 审计监察与风险管理部绩效指标分解表 ............................ 37 表4. 12 通信所一级指标权重计算表 ................. 38 表4. 13 通信所科研生产类二级指标权重计算表 ............................ 39 表4. 14 通信所技术创新类二级指标权重计算表 ............................ 39 表4. 15 通信所其他业务工作类二级指标权重计算表 .................... 39 表4. 16 通信所各层指标权重表 ......................... 39 表4. 17 导航所各层指标权重表 ......................... 40 表4. 18 数传所各层指标权重表 ......................... 40 表4. 19 雷达所各层指标权重表 ......................... 41 表4. 20 微波所各层指标权重表 ......................... 41 表4. 21 天线所各层指标权重表 ......................... 42 表4. 22 制造中心各层指标权重表 ..................... 42 表4. 23 载荷总体部各层指标权重表 ................. 43 表4. 24 武器装备事业部各层指标权重表 ......... 43 表5. 1 部门考核等级对应表 51 目录 XIII 目录 摘要 .... I ABSTRACT ................... III 插图索引 ......................... V 表格索引 ....................... VII 目录 ............................. XIII 第一章 绪论 .................... 1 1.1 研究背景 ................ 1 1.1.1 现实背景 ........ 1 1.1.2 理论背景 ........ 2 1.2 研究目的和意义 .... 2 1.3 研究方法 ................ 3 1.4 研究内容与研究框架 ........................... 3 第二章 文献综述与相关理论 ....................... 5 2.1文献综述 ................ 5 2.1.1 国外文献综述 5 2.1.2 国内文献综述 6 2.2 理论基础 ................ 9 2.2.1 目标管理理论 9 2.2.2 绩效考核理论 ............................. 10 2.3 论文创新之处 ...... 11 第三章 A研究院部门绩效考核的现状、问题及成因 ............ 13 3.1 A研究院基本情况 .............................. 13 3.1