大连理工大学专业学位硕士学位论文
摘
要
近年来，在经济增速放缓、产业结构调整、监管规范日趋严格等多重因素影响下，
商业银行传统粗放经营模式下所长期积累的资产质量、综合经营水平、人才结构等方面
的短板问题加速暴露。银行间竞争的本质是人才的竞争，面对新的发展形势，如何进一
步完善绩效考核机制，充分利用绩效管理手段加大人员激励，保障未来经营的可持续性
发展，是目前商业银行所面临的一个重要课题。
本研究以 DL银行总部 T机构为例，从人力资源管理、绩效考核管理以及商业银行
经营理论出发，结合多年在银行工作的实践经验，对其绩效考核体制进行了深入剖析,归
纳总结目前存在的主要问题，并基于 DL银行经营与发展的实际情况，参考学习国内外
先进商业银行在绩效考核方面较为成功的做法，提出具体可行的改进对策和相应的配套
保障措施。本研究以 DL银行 T机构为切入点，以其存在的问题为出发点深入剖析并形
成了相应的改进对策，有助于 DL银行识别其现阶段绩效考核存在的普遍问题，从而达
到优化绩效激励机制，提高人才管理能力，提升市场竞争力的目的，对 DL银行下辖分
支机构、经营性职能部门以及同规模、存在类似问题的其他银行也可提供借鉴和参考。
本研究分为五部分，第一部分，主要介绍本研究的选题背景、国内外研究现状，明
确本研究的主要内容、目标、技术路线等；第二部分，介绍绩效考核相关理论知识，为
商业银行绩效考核研究提供了充分的理论支持；第三部分，对 DL银行 T机构绩效考核
现状进行深入分析，重点分析了 T机构的现有等级管理方案和业绩考评方案，然后通过
问卷调查和实地访谈，剖析现有绩效考核方案中所存在的问题；第四部分，结合现有存
在问题提出具体的改进对策和配套保障措施；第五部分是研究结论及展望。
关键词：绩效考核方案；等级管理；业绩考评；改进对策
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DL银行T机构绩效考核方案改进对策研究
Research on Improvement Countermeasures of Performance Appraisal
Program of DL Bank T Institution
Abstract
In recent years, under the influence of various factors such as economic growth slowdown,
industrial structure adjustment and increasingly strict regulatory norms, the asset quality of
commercial banks has declined, the comprehensive operation level has declined, and the
problem of talent structure has accelerated to be exposed. The essence of industry competition
is talent competition. In the face of the new development situation, how to further improve the
performance appraisal mechanism, make full use of the performance management means to
increase the incentive to personnel and ensure the sustainable development of future operation,
is an important issue.
This study takes DL Bank T Institution as an example, from the human resources
management, performance appraisal and management and commercial bank management
theory, combined with years of work experience in the bank, researches in the performance
appraisal system, and summarizes the existing main problems. Basing on the actual operation
and referring to the successful performance appraisal practices of advanced commercial banks
at home and abroad, this thesis puts forward specific and feasible performance appraisal
improvement countermeasures and supporting safeguard measures. This study is helpful for DL
Bank to identify the common problems, and at the same time, it can also provide reference for
the performance management of other banks.
This research is divided into five parts. The first part mainly introduces the background of
the research topic, the research status at home and abroad, the main content, target and technical
route of the research. The second part introduces the relevant concepts and theoretical
knowledge of performance appraisal, which provides sufficient theoretical support for the
research on performance appraisal of commercial banks. The third part makes an in-depth
analysis of the current situation of performance appraisal, focusing on the existing hierarchical
management scheme and performance appraisal scheme, and then analyzes the existing
problems through questionnaire survey and field interview. The fourth part, combined with the
existing problems put forward specific improvement countermeasures and supporting measures.
The fifth part is the conclusion and prospect.
Key Words：Performance appraisal program; Hierarchical management; Performance
evaluation；Improvement countermeasures
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大连理工大学专业学位硕士学位论文
目录
摘
要.............................................................................................................................I
Abstract ............................................................................................................................. II
1绪论.............................................................................................................................. 1
1.1研究背景与研究意义....................................................................................... 1
1.1.1论文的选题背景.................................................................................... 1
1.1.2论文的研究意义.................................................................................... 1
1.2国内外研究现状分析....................................................................................... 2
1.2.1国内研究现状及发展趋势.................................................................... 2
1.2.2国外研究现状及发展趋势.................................................................... 3
1.2.3文献评述................................................................................................ 4
1.3研究内容、目标与技术路线........................................................................... 5
1.3.1论文的研究内容.................................................................................... 5
1.3.2论文的研究目标.................................................................................... 6
1.3.3论文的研究方法与技术路线................................................................ 6
2相关概念及基本理论.................................................................................................. 8
2.1相关概念........................................................................................................... 8
2.1.1绩效的概念............................................................................................ 8
2.1.2绩效考核的概念.................................................................................... 8
2.1.3绩效考核体系........................................................................................ 9
2.2绩效考核方法................................................................................................. 10
2.2.1经济增加值（EVA）.......................................................................... 10
2.2.2关键绩效指标（KPI） ....................................................................... 11
2.2.3平衡计分卡（BSC） .......................................................................... 12
2.2.4目标管理法（MBO）......................................................................... 13
2.2.5 360度绩效评估................................................................................... 14
2.2.6方法对比与选择.................................................................................. 15
3 DL银行 T机构绩效考核现状与问题分析............................................................. 17
3.1 DL银行及下辖 T机构情况介绍.................................................................. 17
3.1.1 DL银行及下辖 T机构简介............................................................... 17
3.1.2 T机构组织架构及职能介绍 .............................................................. 17
3.2 DL银行 T机构现行绩效考核方案.............................................................. 18
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