股份公司绩效考评体系研究报告

中国人民大学硕士学位论文摘要（中、英文合订）论文题目：扬子石化股份公司塑料厂中层干部绩效考评体系研究院、系、所：商学院专业：工商治理硕士作者：韩永进指导老师姓名、职称：王伟副教授扬子石化股份公司塑料厂中层干部绩效考评体系研究中国石化扬子石化股份公司是我国五大石油化工基地之一，生产规模、产品、产量、质量、市场占有率、技术进步都有相当的竞争实力，在行业中处于领先地位。

随着我国正式加入世界贸易组织，扬子石化股份公司将面临着跨国公司的激烈竞争，为了提升自己的竞争力，目前正和德国的BASF公司合作，筹建国内最大的合资企业，需要和吸引着大量的人才。

扬子石化股份公司塑料厂作为公司下属的二级企业，在如此的大环境下，面临着许多中层干部治理的新课题。

在这种时代背景和治理情景下，我们尝试建立一套适应厂情的绩效考评体系。

本文首先是从组织层面、治理者层面和考评现状这三个方面，对扬子塑料厂建立中层干部绩效考评体系的需求进行分析。

在组织层面分析中，简单介绍塑料厂的组织结构和概况后，重点陈述了它的“苦战三年，建百万吨塑料基地；锤炼千日，育第一流企业人才”进展战略和“产量、质量、单耗、能耗、安全环保和内部利润”的短期目标。

在组织的层次论述了建立绩效考评体系的必要性之后，进一步从厂领导和中层干部的角度，阐述对建立一套公平、公开、公正的绩效考评体系的需求。

塑料厂对中层干部进行绩效考评是为了实现以下几个目的：保证企业目标的实现；为中层干部的薪酬治理、特岗特薪治理提供依据；为制定中层干部晋升、调迁、辞退等决策提供依据；实现人力资源的合理配置；为奖惩提供依据；规范操纵中层干部行为，能关心和促进中层干部自我成长；能改进主管领导与下属中层干部之间的工作关系。

在进行中层干部绩效考评时，我们应遵循：客观公正原则、透明公开原则、定性考评与定量考评相结合原则、主观性考评与客观性考评相结合原则、分类考评的原则。

绩效考评的差不多内容体现在“德、能、勤、绩”四个方面。

它们分不是职业品德考评、能力考评、工作态度考评、实绩考评。

依照上面论述的绩效考评的原则、功能及要达到的目的，在具体设计塑料厂的绩效考评体系时，要紧从以下几点考虑：依照工作性质，建立量化、细化、类不化的干部考核标准；协同考核机制，多方面综合考评干部，体现公平、公正、公平的原则；应用科学先进的统计手段，确保考核结果的权威性；以考评结果为依据，有的放矢地加强干部队伍建设。

我们明白绩效评估标准包括绝对标准、相对标准和客观标准三种，要紧绩效考评方法包含排序法、强迫分配法、行为锚定评价量表法、关键事件法、360度考绩法等。

通过系统的了解各种考评方法的优缺点，结合塑料厂的实际情况，在设计扬子塑料厂绩效考评体系时，我们首先使用360度考绩法，通过被考评人上级、同级和下属的考评评价，全面掌握被考核人德、能、勤、绩情况；再次利用行为锚定评价量表法，在确定德、能、勤、绩等每一个考评项目设立评分标准，同时把各项得分相加，得出每个人的绩效评分；最后使用排序法，将中层干部的绩效表现进行比较，按照从好到差的顺序排出名单，形成被考核人的综合考评结果。

在具体进行绩效考评时，除“德、能、勤”三个方面的共性指标外，“绩”的方面按要紧生产车间、辅助生产车间、生产科室、治理科室和政工科室分五类，分不设立不同的关键绩效指标，区不开来进行考评。

要紧生产车间的中层干部，是对应公司给厂里的产量、质量、单耗、内利、环保、安全等指标，分解后制定相应的关键绩效指标。

关于辅助生产车间，我们将“无本单位的缘故造成停产事故；无来自生产车间的投诉；无安全、环保事故；财务指标完成良好；本人所负责的单位部门在公司处于先进行列”这五点列入关键绩效指标。

生产科室则把“保质保量地完成全年本职工作任务；本人所负责的单位部门未出现因打算不周而阻碍正常生产；装置生产出现问题时，及时赶到现场，协助车间解决问题；无来自生产车间和上级机关的投诉”四点列入关键绩效指标。

职能科室则把“保质保量地完成全年本职工作任务；协助车间做好人、财、物治理工作，无重大违纪发生；本人分管工作有进步、有进展、有突破、有创新、有实实在在的成绩；无来自生产车间和上级机关的投诉”这四点列入关键绩效指标。

政工科室把“保质保量地完成全年本职工作任务；不发生职工越级上访事件；在公司内部的报纸、刊物上有宣传塑料厂的文章发表；无来自生产车间和上级机关的投诉”这四点列入关键绩效指标。

“德、能、勤”三个方面各设有三个指标，“绩”的方面按不同类不的中层干部分四至六个指标，每个指标的分值最高10 分，最低1分。

“德、能、勤、绩”内的各个指标的得分和换算成百分制后，得到“德、能、勤、绩”四个方面的得分；我们给予“德、能、勤、绩”四个方面0.2、0.2、0.2、0.4的权重，得分乘以权重后再相加，得出每个考评者的打分值。

打分者的权重也不同，用厂领导、中层干部、下属职工代表打分的均值乘以0.4、0.3、0.3的权重，得到被考评者的最后得分。

为了明了中层干部的强弱项，我们在“德、能、勤、绩”四个单项设定了A、B、C、D四个等级。

得分在90以上为A，75－89之间为B，60-74之间为C，60以下为D。

此外，还设定了一个综合评价等级A、B、C、D。

A类是可擢升重用的干部，B类是单位的中坚干部， C类是重点谈话对象，D类是治理水平低，应该被撤职的干部。

综合上述，设计出七份塑料厂中层干部绩效考评表和一张排序表。

文章最后探讨了绩效考评的实施过程的绩效打算、绩效实施、绩效检查、绩效处理四个时期以及在实施过程中存在的难点，为了更好的地实施绩效考评，我们所要采取的事前、事中、事后操纵措施。

Yangzi Petrochemical Company (YPC), which belongs to Sinopec, is a gigantic state own petrochemical enterprise. It is also one of five big petrochemical bases in our country. It has strong competitive abilities in many aspects, such as production scales, product quantity and quality, the share of market, and technology innovation. As our country formally joins the World Trade Organization, YPC will face increasingly intense competition of the multinational corporations. In order to improve its competitive ability, now it is cooperating with the German company ---BASF to build up the biggest joint venture enterprise in China. It needs and attracts a lot of talented people inside and outside the company. The Plastic Plant is the subordinate factory of YPC. Now it faces many challenges in the management of medium ranking managers, such as promotion, special salary, and recommending people to JVC. In this special time and management scene, we attempt to set up a new performance appraisal system, which is suitable to our factory.Firstly, I analyze the needs of the plastic plant to build up the performance appraisal system from three aspects,including organizational aspect, manager’s aspect, and the situation of evaluated system. In the organizational aspect, I pay more attention to its strategy and temporary targets after simply introducing the organizational structure and information. The strategy is to build up the plastic base of one million tons product and to train the first classic enterprise talents through three years hard work. The temporary targets are to finish the tasks of product quantity and quality, etc. Then I talk about the need of a new performance appraisal system from the standings of the high and medium ranking managers.The purposes of medium ranking managers’evaluation are ensuring to realize the enterprise target, providing the basis for the management of salary, promotion, transferring, reward, and punishment. It is also used to allocate the human resources and shape the managers’performance. It can improve the work relationship between the high and medium ranking managers.The principles of performance appraisal are fair and objective principles, open principle, the combination of quantitative and qualitative evaluation, the combination of subjective and objective, classified principle. The basic contents of performance appraisal are ‘e thic, competence, diligence and achievement’ four aspects.According to these principles, functions and purposes of performance appraisal, when I designed the performance appraisal system, I considered the following aspects. Firstly, we must build up quantitative, detail and classified evaluation criteria based on the work characteristics. Secondly, it is to set up the coordinative mechanism to fully evaluate medium ranking managers. Thirdly, it is to ensure the authority of the final results by applying advanced statistics methods. Lastly, it is to reinforce the management team based on the evaluated results. The main performance appraisal techniques include Graphic Rating Scale, Ranking Methods, Forced-choice Rating, Behaviorally Anchored Rating Scale, Critical Incident Appraisal, and 360 Degrees System. By comparing advantages and disadvantages of all the performance appraisal techniques, we combined 360 degrees system, behaviorally anchored rating scale, and ranking methods together to form our appraisal technique when we design our performance appraisal system. Firstly, we can fully grasp the medium ranking managers’ performance through their supervisors, subordinates and medium ranking managers. Then utilizing the technique of behaviorally anchored rating scale, we can get everyone’s performance appraisal scores. Lastly, we use the rankingmethods and can obtain a ranking order from high score to low score.When we designed the appraisal indexes, except the common indexes, we classified the medium ranking managers for five types according to their positions. There are managers of key production plants, assistant production plants, production management sectors, administrative management sectors, party and union sectors.To the medium ranking managers in the key production plants, the key performance indexes are made according to the indexes given by the company about quantity, quality, internal profit, production rate, environment protection, and safety.To the medium ranking managers in the assistant production plants, the key performance indexes are about ‘no accident caused by the unit，no complaints from the key production plant, no environment accident, good financial indexes, and being leadership in the same system of the company’.To the medium ranking managers in the production management sectors, the key performance indexes are about ‘well-done job, no accident of affecting the normal production caused by the unit’s bad plan， going to the production plant swiftly and helping them solve problemswhen production line is broken down, no complaints from production plant s and supervisors’.To the medium ranking managers in the administrative management sectors, the key performance indexes are about ‘well-done job, helping the plants to manage people and deal with money and materials well to avoid criminality, making progress in the work and having creative spirits, no complaints from production plant s and supervisors’. To the medium ranking managers in the party and union sectors, the key performance indexes are about ‘well-done job, no employees going to the company’s departments to complain, writing articles in the internal newspapers and magazines of the company to propagate the Plastics Plant, no complaints from production plant s and supervisor ’. Th ere are three indexes respectively in the ‘ethic, competence, diligence’ aspects. There are four to six indexes in the ‘achievement’ aspect. The high score is ten and low score is one. We change the total scores respectively in the ‘ethic, competence, dili gence and achievement’ aspects into percentage scores, then times the ratio of ‘0.2,0.2,0.2,0.4’, and then add them together, we get the manager score given by each appraiser. Then we calculate the average score of supervisors, subordinates and same ranking managers respectively. Wetimes every average scores with the ratio ‘0.4, 0.3, 0.3’, then add the three numbers together, so we obtain the final scores of each manager. In order to differ the strong and weak aspects of the medium ranking managers, we des ign ‘A, B, C, D’ four classifications. ‘A’ means that the manager gets score above 90 and can be promoted. ‘B’ means that the manager gets score between 75 and 89, and can be trusted. ‘C’ means that the manager gets score between 60 and 74, and needs to be trained. ‘D’ means that the manager gets score below 60 and should be dismissed. We draw 7 tables about the performance appraisal of medium ranking managers and one table of the ranking order.Finally, we discuss the four phases about ‘plan, do, check, an d act’ of implementing the new performance appraisal system. We also point out the difficulties of implementing the new performance appraisal system. In order to implement the system more effectively, we should take measures during the whole process.目录第一章绪论 (1)第二章扬子塑料厂绩效考评需求分析 (2)第一节组织层面分析 (2)第二节治理者层面分析 (8)第三节考评现状分析 (10)第三章中层干部绩效考评体系的设计 (13)第一节绩效考评体系的设计总构思 (14)第二节绩效考评的方法 (20)第三节绩效考评指标体系 (22)第四章中层干部绩效考评体系的实施 (28)第一节绩效考评体系的实施过程 (28)第二节绩效考评体系的实施难点 (32)第三节实施绩效考评体系的保证措施 (33)后记 (36)１ / 2。