转型背景下企业绩效考核目的研究
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摘要
改革开放政策的实施使我国步入了一个全面转型的时代。在此转型背景下,企业的管理方式和手段也在不断地调整与变化。在诸多的管理变革中,最引人瞩目的莫过于对组织或员工绩效考核的调整。为了应对与日俱增的市场压力,各类企业纷纷打破了原有的“大锅饭”分配体制,而采用了强制性的、硬性兑现的评估型考核方式,该考核方式对组织绩效起到了一定的促进作用。但是,随着评估强度的不断增加,这种考核方式也暴露出不少问题,甚至于影响到了企业的正常运作,这导致新的绩效考核变革又处于酝酿之中。那么,在转型时期的中国,究竟哪种管理(考核)方式最有效呢?本文尝试从绩效考核目的入手,对该问题做出初步的回答。
本文在对相关文献进行回顾的基础上,通过三个实证研究,分别检验了企业特征与绩效考核目的的关系(第四章)、绩效考核目的对员工考核反应的差异性影响(第五章)和绩效考核目的对组织公民行为的影响机制(第六章),其主要结论如下：
(1)所有制、行业和外部竞争程度会影响企业的绩效考核目的。具体而言,与国有企业和民营企业相比,外资企业无论是在实施评估型考核,还是在实施发展型考核时,其力度均要更大。这表明,国内企业需要进一步向外资企业学习,通过不断加强绩效考核的力度,以提升绩效考核的作用；与非高科技行业(传统行业)的企业相比,高科技企业在实施发展型绩效考核时的力度更大。这主要是由于知识员工的绩效特征具有较强的专业性,它导致企业难以用评估式考核来评价他们,唯有通过反馈等方式为员工提供发展和培训的机会,以最终实现企业的目标；由于竞争存在至上而下的传递机制,企业所面临的外部竞争程度与其内部实施评估型绩效考核的力度正相关。一方面,该结论为我国国企改革提供了重要的启示,即应该通过不断加强国企的竞争态势来增加这类企业的压力和活力；另一方面,由于过于激烈的竞争会产生巨大的压力,导致富士康跳楼等事件的发生,为了削弱来自外部的竞争压力,企业管理者应该扮演压力的化解者或调节者,采取人性化的企业文化、高质量的上下级关系等方式来削弱外部竞争带给员工的压力。
(2)四种绩效考核目的对员工的考核反应会造成差异性的影响。具体而言,当组织采用双管齐下型绩效考核目的时,员工的考核公平感和任务绩效会更高。当组织采用放任自流型绩效考核目的时,员工的考核满意度最低。从整体而言,双管齐下型绩效考核目的往往会带来积极的员工考核反应。进一步的路径分析也发现,相对于放任自流型和秋后算账型绩效考核目的,指点迷津和双管齐下型绩效考核目的均对组织公民行为均有显著的正向影响。这些研究结果均表明,当组织实施高发展导向的绩效考核时,员工会产生更积极的结果。
(3)社会交换感在指点迷津和双管齐下对组织公民行为的影响中发挥完全中介作用,而组织认同的中介作用不显著。这表明在转型时期,员工更加看重组织的管理策略是否为自己提供了长期的、社会性的交换关系,他们会根据这种判断进而来决定是否实施组织公民行为。
(4)传统性负向调节指点迷津和社会交换感的关系。具体而言,但个体的传统性较高时,指点迷津对社会交换感的影响会更弱；反之,当个体的传统较低时,两者的关系会更强。这对于当今我国的员工考核有非常重要的启示。由于80后、90后所持有的传统性文化价值观较弱并正逐步成为劳动力的主体,那么对于这些员工,实施指点迷津型绩效考核将更能促进其产生社会交换感。同时,学习目标导向正向调节指点迷津和组织认同的关系。具体而言,当个体的学习目标导向较高时,指点迷津绩效考核目的对组织认同的影响会更强;反之,当个体的学习目标导向较低时,两者的关系会更弱。
根据上述结论及我国的现实情况,本研究接着详细阐述了绩效考核目的的转移过程,提出了绩效考核目的变革的三个阶段,并认为指点迷津型绩效考核是未来绩效考核的发展方向。根据国外企业的成功案例,我们提出了一些如何做好指点迷津型绩效考核的原则和方法。论文最后对全文进行了总结,指出了本研究的局限性,并对未来的研究进行了相应的展望。
Since China started economic reform and began opening to the outside world, the country has entered a new transformable age. In this transformable context, management styles and methods of enterprises have been constantly changed. Among those managerial changes, it is special about the changes on organizational or employee performance appraisal (PA). In order to company with increasing market pressure, all kinds of enterprises have given up "communal pot" and then adopted enforceable and rigid PA, which has to a certain extent promoted organizational performance. With the strength of appraisal increases, however, many problems occur in this appraisal method. They negatively influence enterprises'development and lead to the appearance of the need of a new PA. Thus, which is the best efficient PA method during the transformable age? The present research will make a try to resolve the problem through studying PA purposes.
The present research reviewed related literatures, and then conducted three empirical studies. They respectly examined the relationships between organizational characteristics and PA purposes (chapter 4), tested the different impact of PA purposes on employee reactions (chapter 5), and established the relationship between PA purposes and organizational citizenship behaviors (OCB) and examined the influencing mechanisms of PA purposes (mediating and moderating) (chapter 6). Main conclusions are following:
Firstly, ownership, industry and external competition significantly influenced performance appraisal purposes. Specifically, comparing to state-owned and private enterprises, foreign-invested enterprise have bigger strengths in both developmental PA and evaluative PA. This indicated that domestic enterprises should increase appraisal streangth by learning from foreign-invested enterprises in order to promote appriasl effectiveness; the implement strength of developmental PA in high-tech enterprises is bigger than in non-high-tech enterprises. The reason is that performance characteristic of the knowledge worker is professional. Thus, it is very difficult for managers to rate the knowledge worker through evaluative appraisal. The right way is to provide feedback and developmental and training opportunities to attain enterprises'purposes. As the competition can be transferred from top to bottom, the market competition degree is positively related to the strength of evaluative PA. On the one hand, this conclusion brings an important implication for reforming state-owned enterprises in China. To keep their stress and vitality, competitive degree should be gradually improved in state-owned enterprises. On the other hand, when the pressure is oversize, negative impact may appear such as Foxconn Jumping Event. At this time, managers should try to reduce pressure by adoptin some measures such as hommization enterprise culture, leader-member exchange relationship with high quality.
Secondly, the influencing extents of four appraisal purposes on appraisal reactions are significantly different. Specifically, employees have higher PA justice perceptions and task performance when organizations implement "work along both lines" PA purpose rather than other PA purposes. Employees have lowest PA satisfaction in "laissez-faire" PA purpose. Overall, "work along both lines" PA purpose can lead to positive employee PA reactions. Comparing to "laissez-faire" and "settle old accounts in future" PA purpose, "point out a pathway" and "work along both lines" PA purpose positively influenced OCB. All of these conclusions indicate that employee will have positive outcomes when their organizations implement highly developmental performance appraisal.
Thirdly, Perceived social exchange fully mediated the relationship between "point out a pathway" PA purpose and OCB, but the mediating role of organizational identification did not exsit. This implied that emoloyees focused more on whether or not their organizations established long-term and social exhange relationships with them in transition. Based on the relationshios, they would then decide whether or not conduct OCB.
Fourthly, Traditionality negatively moderated the relationship between "point out a pathway" PA purpose and perceived social exchange in such a way that their relationship was weaker for employees with high traditionality and it was stronger for lowly traditional employees. This brings important implications for Chinese employee appraisal. As the generations after 80s and 90s have lower traditional cultural value and are becoming core part of employees, it is more helpful for their social exchange perceptions to implement "point out a pathway" performance appraisal. Meanwhile, learning orientation positively moderated the relationship between "point out a pathway" and organizational identification in such a way that their relationship was stronger for employees with high learning orientation and it was weaker for employees with low learning orientation.
Based on the above conclusions and management practice in China, the present research analyzed transferring process of PA purpose and proposed three transferring stages of PA purposes. We argued that "point out a pathway" is the future directions of PA purposes. Some principals and methods were proposed about how to successfully carry out "point out a pathway" PA purpose based on cases from foreign enterprises. Finally, we summarized the whole research and indicated research limitations and directions for the future study.
本文在对相关文献进行回顾的基础上,通过三个实证研究,分别检验了企业特征与绩效考核目的的关系(第四章)、绩效考核目的对员工考核反应的差异性影响(第五章)和绩效考核目的对组织公民行为的影响机制(第六章),其主要结论如下：
(1)所有制、行业和外部竞争程度会影响企业的绩效考核目的。具体而言,与国有企业和民营企业相比,外资企业无论是在实施评估型考核,还是在实施发展型考核时,其力度均要更大。这表明,国内企业需要进一步向外资企业学习,通过不断加强绩效考核的力度,以提升绩效考核的作用；与非高科技行业(传统行业)的企业相比,高科技企业在实施发展型绩效考核时的力度更大。这主要是由于知识员工的绩效特征具有较强的专业性,它导致企业难以用评估式考核来评价他们,唯有通过反馈等方式为员工提供发展和培训的机会,以最终实现企业的目标；由于竞争存在至上而下的传递机制,企业所面临的外部竞争程度与其内部实施评估型绩效考核的力度正相关。一方面,该结论为我国国企改革提供了重要的启示,即应该通过不断加强国企的竞争态势来增加这类企业的压力和活力；另一方面,由于过于激烈的竞争会产生巨大的压力,导致富士康跳楼等事件的发生,为了削弱来自外部的竞争压力,企业管理者应该扮演压力的化解者或调节者,采取人性化的企业文化、高质量的上下级关系等方式来削弱外部竞争带给员工的压力。
(2)四种绩效考核目的对员工的考核反应会造成差异性的影响。具体而言,当组织采用双管齐下型绩效考核目的时,员工的考核公平感和任务绩效会更高。当组织采用放任自流型绩效考核目的时,员工的考核满意度最低。从整体而言,双管齐下型绩效考核目的往往会带来积极的员工考核反应。进一步的路径分析也发现,相对于放任自流型和秋后算账型绩效考核目的,指点迷津和双管齐下型绩效考核目的均对组织公民行为均有显著的正向影响。这些研究结果均表明,当组织实施高发展导向的绩效考核时,员工会产生更积极的结果。
(3)社会交换感在指点迷津和双管齐下对组织公民行为的影响中发挥完全中介作用,而组织认同的中介作用不显著。这表明在转型时期,员工更加看重组织的管理策略是否为自己提供了长期的、社会性的交换关系,他们会根据这种判断进而来决定是否实施组织公民行为。
(4)传统性负向调节指点迷津和社会交换感的关系。具体而言,但个体的传统性较高时,指点迷津对社会交换感的影响会更弱；反之,当个体的传统较低时,两者的关系会更强。这对于当今我国的员工考核有非常重要的启示。由于80后、90后所持有的传统性文化价值观较弱并正逐步成为劳动力的主体,那么对于这些员工,实施指点迷津型绩效考核将更能促进其产生社会交换感。同时,学习目标导向正向调节指点迷津和组织认同的关系。具体而言,当个体的学习目标导向较高时,指点迷津绩效考核目的对组织认同的影响会更强;反之,当个体的学习目标导向较低时,两者的关系会更弱。
根据上述结论及我国的现实情况,本研究接着详细阐述了绩效考核目的的转移过程,提出了绩效考核目的变革的三个阶段,并认为指点迷津型绩效考核是未来绩效考核的发展方向。根据国外企业的成功案例,我们提出了一些如何做好指点迷津型绩效考核的原则和方法。论文最后对全文进行了总结,指出了本研究的局限性,并对未来的研究进行了相应的展望。
Since China started economic reform and began opening to the outside world, the country has entered a new transformable age. In this transformable context, management styles and methods of enterprises have been constantly changed. Among those managerial changes, it is special about the changes on organizational or employee performance appraisal (PA). In order to company with increasing market pressure, all kinds of enterprises have given up "communal pot" and then adopted enforceable and rigid PA, which has to a certain extent promoted organizational performance. With the strength of appraisal increases, however, many problems occur in this appraisal method. They negatively influence enterprises'development and lead to the appearance of the need of a new PA. Thus, which is the best efficient PA method during the transformable age? The present research will make a try to resolve the problem through studying PA purposes.
The present research reviewed related literatures, and then conducted three empirical studies. They respectly examined the relationships between organizational characteristics and PA purposes (chapter 4), tested the different impact of PA purposes on employee reactions (chapter 5), and established the relationship between PA purposes and organizational citizenship behaviors (OCB) and examined the influencing mechanisms of PA purposes (mediating and moderating) (chapter 6). Main conclusions are following:
Firstly, ownership, industry and external competition significantly influenced performance appraisal purposes. Specifically, comparing to state-owned and private enterprises, foreign-invested enterprise have bigger strengths in both developmental PA and evaluative PA. This indicated that domestic enterprises should increase appraisal streangth by learning from foreign-invested enterprises in order to promote appriasl effectiveness; the implement strength of developmental PA in high-tech enterprises is bigger than in non-high-tech enterprises. The reason is that performance characteristic of the knowledge worker is professional. Thus, it is very difficult for managers to rate the knowledge worker through evaluative appraisal. The right way is to provide feedback and developmental and training opportunities to attain enterprises'purposes. As the competition can be transferred from top to bottom, the market competition degree is positively related to the strength of evaluative PA. On the one hand, this conclusion brings an important implication for reforming state-owned enterprises in China. To keep their stress and vitality, competitive degree should be gradually improved in state-owned enterprises. On the other hand, when the pressure is oversize, negative impact may appear such as Foxconn Jumping Event. At this time, managers should try to reduce pressure by adoptin some measures such as hommization enterprise culture, leader-member exchange relationship with high quality.
Secondly, the influencing extents of four appraisal purposes on appraisal reactions are significantly different. Specifically, employees have higher PA justice perceptions and task performance when organizations implement "work along both lines" PA purpose rather than other PA purposes. Employees have lowest PA satisfaction in "laissez-faire" PA purpose. Overall, "work along both lines" PA purpose can lead to positive employee PA reactions. Comparing to "laissez-faire" and "settle old accounts in future" PA purpose, "point out a pathway" and "work along both lines" PA purpose positively influenced OCB. All of these conclusions indicate that employee will have positive outcomes when their organizations implement highly developmental performance appraisal.
Thirdly, Perceived social exchange fully mediated the relationship between "point out a pathway" PA purpose and OCB, but the mediating role of organizational identification did not exsit. This implied that emoloyees focused more on whether or not their organizations established long-term and social exhange relationships with them in transition. Based on the relationshios, they would then decide whether or not conduct OCB.
Fourthly, Traditionality negatively moderated the relationship between "point out a pathway" PA purpose and perceived social exchange in such a way that their relationship was weaker for employees with high traditionality and it was stronger for lowly traditional employees. This brings important implications for Chinese employee appraisal. As the generations after 80s and 90s have lower traditional cultural value and are becoming core part of employees, it is more helpful for their social exchange perceptions to implement "point out a pathway" performance appraisal. Meanwhile, learning orientation positively moderated the relationship between "point out a pathway" and organizational identification in such a way that their relationship was stronger for employees with high learning orientation and it was weaker for employees with low learning orientation.
Based on the above conclusions and management practice in China, the present research analyzed transferring process of PA purpose and proposed three transferring stages of PA purposes. We argued that "point out a pathway" is the future directions of PA purposes. Some principals and methods were proposed about how to successfully carry out "point out a pathway" PA purpose based on cases from foreign enterprises. Finally, we summarized the whole research and indicated research limitations and directions for the future study.
引文
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