国有企业绩效管理变革研究
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摘要
加入WTO以后，我国国有企业将面临日趋激励的竞争，这将迫使国有企业以更快的速度相应市场、以更高的效率运行。然而，长期以来，由于种种原因，国有企业一直存在员工积极性不高，效率低下的问题，而国有企业的管理者在思考和解决其绩效管理的问题时，一般情况下，都将目光聚焦在员工培训、员工绩效评估、员工收入分配等方面，虽然也收到不同程度的效果，但一直没有从根本上解决问题。如何以一种系统的眼光审视国有企业的绩效管理问题，厘清表象，洞察问题的本质，从而找到能真正解决问题的思路和方法，实现绩效管理质的突破和变革，无疑具有重要的意义。
本论文以最新的有关研究为基础，以案例研究为依据，根据系统论的观点，针对国有企业的具体实际，提出了系统地变革国有企业绩效管理的思路。本论文主要内容如下：
首先，本论文针对国有企业员工绩效评估中存在的问题，从如何保证绩效评估体系的战略一致性、效度、信度、可接受性和明确性入手，以案例研究为基础，就选择绩效评估工具、构建绩效评估系统、制定科学合理的评估指标以及如何对绩效评估结果进行处理进行了专门的论述，针对国有企业在绩效评估过程中进行全员排名容易出现的误差，构建了员工考评得分二次调整模型，在很大程度上规避了由于不同部门打分标准宽严不一而导致的误差。
接着，针对当前国有企业在设计员工报酬体系、强化激励机制中存在的具体问题，本论文根据公平理论的观点，完善了颇具先进性的岗位价值评价工具——得分因素法，通过案例研究，构建起比较完整的得分因素法评分量表，从而为国有企业变革员工报酬体系，评定岗位价值提供了基本依据。
然后，本文进一步指出要从根本上解决当前国有企业所面临的绩效低下的问题，必须从源头上着手，调整组织结构与发展战略的匹配性，通过职能制管理和流程化管理的比较分析，论述了针对国有企业条块分割的职能式组织进行流程化再造的必要性，并且阐述了流程化再造基本步骤以及如何看待和处理在流程化再造中出现的问题。
最后，以流程化组织再造为基础，本论文论述了国有企业进行工作再设计的必要性及具体实施办法，特别地，针对国有企业的具体现实，本论文揭示了国有企业中管理职位设计经常出现的问题，并且提出了相应的解决办法。
After entry into WTO, the competition that Chinese state-owned enterprises face will upgrade. This threat will force state-owned enterprises to adapt market with higher speed and efficiency. But state-owned enterprises always confront with the problem of low enthusiasm and efficiency. To solve this difficulty, the managers do a great many efforts and focus on staff training, performance measurement and income allocation. Yet it works a little. Therefore it is bound to be great significant if we scan state-owned enterprises' performance with a systematic attitude and apperceive truth in the fact, which aiming to search the right idea the method, make breakthrough and innovation in performance management.
Based on the recently research work and supplied by case research, this paper brings forward the systematic idea of reform state-owned enterprises' performance management according to the system theory and actual situation. The main points is as followed.
Firstly, as for the problem in the staff performance measurement, we specially dissertate how to choose performance measurement tools, how to design performance measurement system and how to confirm scientific evaluation index. After that we design staff evaluation second-adjustment model to resolve the error in all staff evaluation. As a result, it can escape the errors in evaluation disagreement.
Secondly, concerning the difficulties appeared in staff income design and incentive
system, we perfect the advanced position value evaluation tool------score-factor method.
And by the help of case analysis, we create the score-factor evaluation table, provided the foundation for position value evaluation.
Thirdly, in order to solve the problem of low-performance radically, we shall start from the root and adjust the fitness between organizational structure and development strategy. We also analyze the necessity of process re-engineering on the ground of comparison between functional management and process management. Moreover we discuss the basic step of process re-engineering and how to handle the emergency in it.
Last, we probe into the necessity and concrete implementary ways based on the research of general organizational structure reform. Especially this paper opens out the problems that often happens in position design and gives the relevant resolution.
本论文以最新的有关研究为基础，以案例研究为依据，根据系统论的观点，针对国有企业的具体实际，提出了系统地变革国有企业绩效管理的思路。本论文主要内容如下：
首先，本论文针对国有企业员工绩效评估中存在的问题，从如何保证绩效评估体系的战略一致性、效度、信度、可接受性和明确性入手，以案例研究为基础，就选择绩效评估工具、构建绩效评估系统、制定科学合理的评估指标以及如何对绩效评估结果进行处理进行了专门的论述，针对国有企业在绩效评估过程中进行全员排名容易出现的误差，构建了员工考评得分二次调整模型，在很大程度上规避了由于不同部门打分标准宽严不一而导致的误差。
接着，针对当前国有企业在设计员工报酬体系、强化激励机制中存在的具体问题，本论文根据公平理论的观点，完善了颇具先进性的岗位价值评价工具——得分因素法，通过案例研究，构建起比较完整的得分因素法评分量表，从而为国有企业变革员工报酬体系，评定岗位价值提供了基本依据。
然后，本文进一步指出要从根本上解决当前国有企业所面临的绩效低下的问题，必须从源头上着手，调整组织结构与发展战略的匹配性，通过职能制管理和流程化管理的比较分析，论述了针对国有企业条块分割的职能式组织进行流程化再造的必要性，并且阐述了流程化再造基本步骤以及如何看待和处理在流程化再造中出现的问题。
最后，以流程化组织再造为基础，本论文论述了国有企业进行工作再设计的必要性及具体实施办法，特别地，针对国有企业的具体现实，本论文揭示了国有企业中管理职位设计经常出现的问题，并且提出了相应的解决办法。
After entry into WTO, the competition that Chinese state-owned enterprises face will upgrade. This threat will force state-owned enterprises to adapt market with higher speed and efficiency. But state-owned enterprises always confront with the problem of low enthusiasm and efficiency. To solve this difficulty, the managers do a great many efforts and focus on staff training, performance measurement and income allocation. Yet it works a little. Therefore it is bound to be great significant if we scan state-owned enterprises' performance with a systematic attitude and apperceive truth in the fact, which aiming to search the right idea the method, make breakthrough and innovation in performance management.
Based on the recently research work and supplied by case research, this paper brings forward the systematic idea of reform state-owned enterprises' performance management according to the system theory and actual situation. The main points is as followed.
Firstly, as for the problem in the staff performance measurement, we specially dissertate how to choose performance measurement tools, how to design performance measurement system and how to confirm scientific evaluation index. After that we design staff evaluation second-adjustment model to resolve the error in all staff evaluation. As a result, it can escape the errors in evaluation disagreement.
Secondly, concerning the difficulties appeared in staff income design and incentive
system, we perfect the advanced position value evaluation tool------score-factor method.
And by the help of case analysis, we create the score-factor evaluation table, provided the foundation for position value evaluation.
Thirdly, in order to solve the problem of low-performance radically, we shall start from the root and adjust the fitness between organizational structure and development strategy. We also analyze the necessity of process re-engineering on the ground of comparison between functional management and process management. Moreover we discuss the basic step of process re-engineering and how to handle the emergency in it.
Last, we probe into the necessity and concrete implementary ways based on the research of general organizational structure reform. Especially this paper opens out the problems that often happens in position design and gives the relevant resolution.
引文
[1]彼得 圣吉著．郭进隆译．第五项修炼——学习型组织的艺术与实务．上海三联出版社．2000．9．P61—81
[2]谢鼎昆．谁说人是最重要的．中外管理．2001．8．P31—33
[3]盛宇华、潘勤．绩效工资与技能工资的合理选择．科技管理研究．2000．6．P34—38
[4]张鼎昆．人类绩效技术及其在企业中的应用．中国管理科学．2001．2．P53—57
[5]郑烧濂、骆品亮．分成制与相对绩效评价机制及其效率研究．管理科学学报．1998．1．P26—29
[6]陈捷．绩效评估研究的新进展．南京师范大学学报(社科版)．1997．3．P81—85
[7]顾琴轩．提升企业竞争优势的薪酬战略研究．上海交通大学学报．2001．1．P55—59
[8]斯蒂芬P罗宾斯．孙建敏、李原等译．组织行为学．第七版．中国人民大学出版社．2000．8．P174—177
[9]劳伦斯S克雷曼．孙非等译．人力资源管理——获取竞争优势的工具．1999．9．P218—219
[10]罗伯特·巴克沃著．陈舟平译．绩效管理．中国标准出版社、科文(香港)出版有限公司．2001．1．P27—42
[11]Huselid.M.A.Documenting. HR's.effect,on.company.performance. HRMagazine. January. 1994. P79—85
[12]彭璧玉．现代工资决定理论的新发展．南方经济．2000.6.P41—45 [13]R. Griffin and G. McMahan. Motivation through Job Design. In OB:The State of the Science.ed. J. Greenberg (Hillsdale,NJ:Lawrence Erlbaum Associates. 1993
[13]Rosenbery. M. J. Performance technology. Working the system [J]. Training,. 1990. P42—48
[14]Krzystofiak. F. Cardy. R. and Newman. J(1988). Implicit personality and performance appraisal: the influence of trait inferences on evaluations of behavior. Journal of Applied Psychology. P515—521
[15]Cellar. DF. Curtis,Jr. Kohlepp. K. Poczapski, P, and Mohiuddin. S(1989). The format and congruence of training on job evaluation ratings. Journal of Business and Psychology. 3(4). P387—401
[16]乔·佩皮帕德、菲利普·罗兰，《BUSINESS PROCESS RE—ENGINEERING》. 1997.10.P35—46
[17]E. McCormick and R. Jeannerette."The Position Analysis Questionnaire." In the Job Analysis Handbook for Business, Industry, and Government. P880—901
[18]E. Primhoff. How to Prepare and Conduct Job Element Examinations (Washington DC: U. S. Government Printing Office. 1975
[19]E. Fleishman and M. Reilly. Handbook of Human Abilities (Palo Alto. CA: Consulting
Psychologists Press. 1992)
[20]S.E. Forrer and Z. B. Leibowitz. Using Computers in Human Resources (SanFrancisco: Jossey—Bass. 1991)
[21]E. Locke and G. Latham. A Theory of Goal Setting and Task Performance(Englewood Cliffs. NJ:Prentice-Hall. 1990)
[22]C. R. Gowen and S. A. Jennings. "The Effects of Changes in Participation and Group Size on Gainsharing Success:A case Study". Journal of Organizational Behavior Management 11(1991). P147—169
[23]R. S. Kaplan and D. P. Norton "Using the Balanced Scorecard as a Strategic Management System". Harward Business Review(January-February 1996). P75—85
[24]G. E. Schneier. D. G. Shaw, and R. W. Beatty. "Performance Measurement and Management, A Tool for Strategy Execution. "Human Resource Management. 1991. P279—301
[25]K. Murphy and J. Cleveland. Performance Appraisal: An Organizational Perspective. (Bodton: Allyn & Bacon. 1991)
[26]D. Antonioni. "The Effects of Feedback Accountability on Upward Appraisal Ratings." Personnel Psychology 47(1994). P349—356
[27]American Management Association. CompFlash. April 1991. P3. General Motors Saturn division has also scaled back its reliance on profit sharing because of lower-than-expected profits
[28]F. P. Morgeson and M. A. Campion. "Social and Cognitive Sources of Potential Inaccuracy in Job Analysis". Journal of Applied Psychology 82(1997),P627—655
[29]M. Campion and C. Berger. "Conceptual Integration and Empirical Test of Job Design and Compensation Relationship". Personnel Psychology 43(1990). P525—553
[30]R. Griffin and G. McMahan. "Motivation through Job Design". In OB:The State of the Science. ed. J. Greenberg(Hillsdale. NJ:Lawrence Erlbaum Associates. 1993
[31]R. Griffin. Task Design:An Integrative Approach (Glenview. IL:Scott Foresman. 1982)
[32]M. Campion. "Ability Requirement Implications of Job Design:An Interdisciplinary Perspective". Personnel Psychology 42(1989) P1—24
[33]R. N. Ashkenas. "Beyond the Fads:How Leaders Drive Change with Results" Human Resource Planning 17(1997). P25—44
[34]L. Axline. "Performance Biased Evaluations". Supervisory Management (November1991). P3
[35]王磊．人力资源管理．北京大学出版社．2001．11．P169—203
[36]乔纳森·斯迈兰斯基著．孙晓梅译．东北财经大学出版社．1999．8．P43—48
[37]高乾源．企业的变革．华文出版社．2001．9．P301—325
[38]何传启．分配革命——按贡献分配．经济管理出版社．2001．1P203—304
[39]迈克尔·比尔．程化、潘洁夫译．管理人力资本．1998．10．P140—174
[40]郑晓明．职务分析：人力资源管理的基础．中外管理导报．北京．2000．12
[41]弗雷德·R．戴维．李克宁译．战略管理．第六版．1998．6．P265—271
[42]孟莉．设计薪酬应注意的问题．中国人力资源开发．北京．2001．1．P16—20
[2]谢鼎昆．谁说人是最重要的．中外管理．2001．8．P31—33
[3]盛宇华、潘勤．绩效工资与技能工资的合理选择．科技管理研究．2000．6．P34—38
[4]张鼎昆．人类绩效技术及其在企业中的应用．中国管理科学．2001．2．P53—57
[5]郑烧濂、骆品亮．分成制与相对绩效评价机制及其效率研究．管理科学学报．1998．1．P26—29
[6]陈捷．绩效评估研究的新进展．南京师范大学学报(社科版)．1997．3．P81—85
[7]顾琴轩．提升企业竞争优势的薪酬战略研究．上海交通大学学报．2001．1．P55—59
[8]斯蒂芬P罗宾斯．孙建敏、李原等译．组织行为学．第七版．中国人民大学出版社．2000．8．P174—177
[9]劳伦斯S克雷曼．孙非等译．人力资源管理——获取竞争优势的工具．1999．9．P218—219
[10]罗伯特·巴克沃著．陈舟平译．绩效管理．中国标准出版社、科文(香港)出版有限公司．2001．1．P27—42
[11]Huselid.M.A.Documenting. HR's.effect,on.company.performance. HRMagazine. January. 1994. P79—85
[12]彭璧玉．现代工资决定理论的新发展．南方经济．2000.6.P41—45 [13]R. Griffin and G. McMahan. Motivation through Job Design. In OB:The State of the Science.ed. J. Greenberg (Hillsdale,NJ:Lawrence Erlbaum Associates. 1993
[13]Rosenbery. M. J. Performance technology. Working the system [J]. Training,. 1990. P42—48
[14]Krzystofiak. F. Cardy. R. and Newman. J(1988). Implicit personality and performance appraisal: the influence of trait inferences on evaluations of behavior. Journal of Applied Psychology. P515—521
[15]Cellar. DF. Curtis,Jr. Kohlepp. K. Poczapski, P, and Mohiuddin. S(1989). The format and congruence of training on job evaluation ratings. Journal of Business and Psychology. 3(4). P387—401
[16]乔·佩皮帕德、菲利普·罗兰，《BUSINESS PROCESS RE—ENGINEERING》. 1997.10.P35—46
[17]E. McCormick and R. Jeannerette."The Position Analysis Questionnaire." In the Job Analysis Handbook for Business, Industry, and Government. P880—901
[18]E. Primhoff. How to Prepare and Conduct Job Element Examinations (Washington DC: U. S. Government Printing Office. 1975
[19]E. Fleishman and M. Reilly. Handbook of Human Abilities (Palo Alto. CA: Consulting
Psychologists Press. 1992)
[20]S.E. Forrer and Z. B. Leibowitz. Using Computers in Human Resources (SanFrancisco: Jossey—Bass. 1991)
[21]E. Locke and G. Latham. A Theory of Goal Setting and Task Performance(Englewood Cliffs. NJ:Prentice-Hall. 1990)
[22]C. R. Gowen and S. A. Jennings. "The Effects of Changes in Participation and Group Size on Gainsharing Success:A case Study". Journal of Organizational Behavior Management 11(1991). P147—169
[23]R. S. Kaplan and D. P. Norton "Using the Balanced Scorecard as a Strategic Management System". Harward Business Review(January-February 1996). P75—85
[24]G. E. Schneier. D. G. Shaw, and R. W. Beatty. "Performance Measurement and Management, A Tool for Strategy Execution. "Human Resource Management. 1991. P279—301
[25]K. Murphy and J. Cleveland. Performance Appraisal: An Organizational Perspective. (Bodton: Allyn & Bacon. 1991)
[26]D. Antonioni. "The Effects of Feedback Accountability on Upward Appraisal Ratings." Personnel Psychology 47(1994). P349—356
[27]American Management Association. CompFlash. April 1991. P3. General Motors Saturn division has also scaled back its reliance on profit sharing because of lower-than-expected profits
[28]F. P. Morgeson and M. A. Campion. "Social and Cognitive Sources of Potential Inaccuracy in Job Analysis". Journal of Applied Psychology 82(1997),P627—655
[29]M. Campion and C. Berger. "Conceptual Integration and Empirical Test of Job Design and Compensation Relationship". Personnel Psychology 43(1990). P525—553
[30]R. Griffin and G. McMahan. "Motivation through Job Design". In OB:The State of the Science. ed. J. Greenberg(Hillsdale. NJ:Lawrence Erlbaum Associates. 1993
[31]R. Griffin. Task Design:An Integrative Approach (Glenview. IL:Scott Foresman. 1982)
[32]M. Campion. "Ability Requirement Implications of Job Design:An Interdisciplinary Perspective". Personnel Psychology 42(1989) P1—24
[33]R. N. Ashkenas. "Beyond the Fads:How Leaders Drive Change with Results" Human Resource Planning 17(1997). P25—44
[34]L. Axline. "Performance Biased Evaluations". Supervisory Management (November1991). P3
[35]王磊．人力资源管理．北京大学出版社．2001．11．P169—203
[36]乔纳森·斯迈兰斯基著．孙晓梅译．东北财经大学出版社．1999．8．P43—48
[37]高乾源．企业的变革．华文出版社．2001．9．P301—325
[38]何传启．分配革命——按贡献分配．经济管理出版社．2001．1P203—304
[39]迈克尔·比尔．程化、潘洁夫译．管理人力资本．1998．10．P140—174
[40]郑晓明．职务分析：人力资源管理的基础．中外管理导报．北京．2000．12
[41]弗雷德·R．戴维．李克宁译．战略管理．第六版．1998．6．P265—271
[42]孟莉．设计薪酬应注意的问题．中国人力资源开发．北京．2001．1．P16—20