随着我国经济发展进入新常态，各种行业竞争日益加剧，对国有监管企业 来说也不例外，其面临的最大问题就是在参与白热化的市场竞争时，如何实现 自身的生存和发展。绩效考核作为企业管理的基本手段之一，其核心是发掘与 管理人才资源，用考核的管理手段发现企业的优势与短板，并对企业资源进行 优化配置，从而增强企业的核心竞争力。结合两者背景，国有监管企业基于“调 结构稳增长”的发展目标，需不断完善企业制度体系建设，优化企业组织结构， 引导、激励和约束员工的行为，建立一套科学高效的、与企业发展相匹配的绩 效考核体系，来促进企业战略目标的实现，在市场竞争中立于不败之地。 本文立足于兰州新区党工委、管委会的监管要求，借助现代企业制度相关 理论，遵循市场规律和产权规律，结合兰州新区实际以及各集团公司的战略定 位，对兰州新区金融投资控股集团有限公司（以下简称“金控公司”）绩效考核 体系进行研究。在客观分析金融投资控股企业考核存在的问题的基础上，建立 以功能发挥和社会效益指标、经营指标、专项指标、重点工作指标和调整性指 标为考核内容，综合考虑各方面因素且运用客观标准进行对比分析的绩效考核 体系，并提出将其结果应用于金控公司经营业绩考核和企业负责人薪酬管理等 的建议。本文为兰州新区金融投资控股集团有限公司绩效考核制度体系设计做 了思考与研究，对考核指标的设计、考核实施流程以及考核实施的保障措施三 个方面提出可操作性的绩效考核方案，对于国有监管企业发展具有重要意义， 也为同类国有企业提供参考。 关键词：金控公司，绩效考核，KPI MBA学位论文作者：曹烨迪兰州新区金融投资控股集团有限公司绩效考核体系优化研究 II Abstract WithChina'seconomicdevelopmententeringthenewnormal,competitionin variousindustrieshasbecomeincreasinglyfierce,andstate-ownedenterprisesare noexception.Themostimportantproblemtheyfaceishowtoattaintheirown survivalanddevelopmentwhenparticipatinginthewhite-hotmarketcompetition. Asoneofthebasicmeansofenterprisemanagement,thecoreofperformance appraisalistoexploreandmanagetalentresources,discovertheadvantagesand disadvantagesoftheenterprisebymeansofmanagementassessment,andoptimize theallocationofenterpriseresources,soastoenhancethecorecompetitivenessof theenterprisebiningboththebackground,thestate-ownedenterprisesbased onthedevelopmentgoalof"steadygrowth"structure,needtoconstantlyimprove thesystemofenterprisesystem,optimizethestructureofenterpriseorganization, guidance,motivationandconstraintemployeebehavior,toestablishascientificand efficient,andtheperformanceappraisalsystemmatchingtheenterprisedevelopment, topromotetherealizationofenterprisestrategicgoals,inanimpregnablepositionin themarketcompetition. BasedfromLanzhounewdistrictpartyworkingcommitteeandmanagement committee,withtheaidofrelevanttheoriesofmodernenterprisesystem,follow marketlawandpropertylaw,combiningtherealityofLanzhounewdistrictandthe strategicpositioningofeachgroupcompanyinLanzhoudistrictfinancialinvestment holdinggroupco.,LTD.(hereinafterreferredtoasthe"goldenpointcompany")to studytheperformanceevaluationsystem.Inobjectiveanalysisofthefinancial investmentholdingcompanies,onthebasisofproblemsexistingintheassessment, basedonfunctionandsocialefficiencyindex,operationindex,specificindicators, keyperformancemeasuresandadjusttheindicatorsforassessmentofthecontent, consideringthefactorsanduseobjectivecriteriaforcomparisonandanalysisof performanceevaluationsystem,andputsforwardtheresultwasappliedtogold control,headofthecompanyoperatingperformanceevaluationandenterprise compensationmanagementrecommendations.ThisarticleforLanzhounew financialinvestmentholdinggroupco.,LTD.Thinkingandresearchtothe performanceevaluationsystemdesign,thedesignofevaluationindex,evaluation processofimplementationandtheinspectionontheimplementationofsafeguard MBA学位论文作者：曹烨迪兰州新区金融投资控股集团有限公司绩效考核体系优化研究 III measuresinthreeaspectsputforwardtheoperationalperformanceevaluation scheme,itisofgreatsignificancetothedevelopmentofstate-ownedenterprises,and providereferenceforthesimilarstate-ownedenterprises. Keywords:Financialinvestmentholdingcompany,performanceappraisal, KPI MBA学位论文作者：曹烨迪兰州新区金融投资控股集团有限公司绩效考核体系优化研究 IV 目录 第一章绪论..............................................................................................1 1.1研究背景与意义...........................................................................................1 1.1.1研究背景...........................................................................................1 1.1.2研究意义...........................................................................................1 1.2研究思路与方法...........................................................................................3 1.2.1研究思路...........................................................................................3 1.2.2研究方法...........................................................................................4 1.3研究内容与创新...........................................................................................5 第二章绩效考核相关理论......................................................................6 2.1绩效考核概述...............................................................................................6 2.1.1绩效考核的概念...............................................................................6 2.1.2绩效考核的原则...............................................................................6 2.2企业绩效考核理论.......................................................................................7 2.2.1激励理论...........................................................................................7 2.2.2权变理论...........................................................................................8 2.3企业绩效考核评价方法...............................................................................8 2.3.1目标管理法.......................................................................................8 2.3.2360度考核法....................................................................................9 2.3.3KPI关键绩效指标法........................................................................9 2.3.4平衡计分卡（BSC）.......................................................................10 第三章兰州新区金融投资控股集团有限公司绩效考核的现状与 问题............................................................................................11 3.1金控公司概况..............................................................................................11 3.1.1金控公司成立与发展.....................................................................11 MBA学位论文作者：曹烨迪兰州新区金融投资控股集团有限公司绩效考核体系优化研究 V 3.1.2金控公司的组织结构.....................................................................12 3.1.3金控公司部门情况简介.................................................................12 3.1.4公司子公司及主要业务.................................................................14 3.1.5公司人员结构.................................................................................15 3.2金控公司绩效考核现状.............................................................................16 3.2.1部门绩效考核.................................................................................17 3.2.2员工绩效考核.................................................................................18 3.2.3绩效考核结果的应用.....................................................................21 3.2.4公司目前绩效考核的效果评价和分析..........................................22 3.3金控公司绩效考核存在的问题.................................................................25 3.3.1考核指标设置不当.........................................................................26 3.3.2考核主体不当.................................................................................26 3.3.3考核方法不合理.............................................................................26 3.3.4绩效考核的反馈渠道不畅通.........................................................27 3.3.5绩效考核运用不充分.....................................................................27 3.4金控公司绩效考核存在问题的原因............................