【作者】 牛昆仑；

【导师】 李德志；

【作者基本信息】 吉林大学 ， 行政管理， 2004， 硕士

【摘要】 绩效考核是公共部门人力资源管理活动的重要内容。本文从我国的实际情况出发，借鉴西方发达国家的先进经验，对我国当前公共部门人力资源绩效考核实践的现状、存在的问题以及改进的措施进行了分析。本文共分为四部分。第一部分对我国公共部门人力资源绩效考核的理论基础、涵义与作用进行了分析。我国当前公共部门人力资源绩效考核活动的理论基础主要有两方面：一是马克思主义关于公职人员的考察、考核理论，二是西方学者关于绩效考核的研究成果。马克思主义理论方面主要以列宁、毛泽东和邓小平同志的一些思想为代表，西方学者中主要有麦格雷戈、德鲁克和怀特，以及一些工业心理学领域的学者。尽管对绩效考核存在着诸多不同的定义，但作为一种人力资源管理活动，绩效考核的核心始终是作为度量工具精确地测定个人的工作表现，把不同个体区分开来，并把测量结果相应地转化为代表组织看法的对其成员工作的评价。绩效考核的作用主要有五个方面：为其他人力资源管理活动提供客观依据；对被考核者起到激励和导向的作用；为被考核者提供信息反馈，促进其绩效改进和发展；为组织的人力资源管理研究提供必要的信息；有利于公众对公共部门工作人员实行监督。第二部分对我国当前的公共部门人力资源绩效考核实践进行了分析。首先简要回顾了我国绩效考核活动的发展史。从发展历程的角度看，主要经历了这样一些阶段：新民主主义革命时期的干部“审查”，建国初期的干部“鉴定”与“考察”，七十年代末开始实行的干部考核制度，以及之后考核制度的完善发展。在回顾历史之后，分别从法律法规以及实践运作的角度对国家机关、事业单位和国有企业的绩效考核活动进行了分析，其中，实践运作部分涉及的问题有考核的对象、原则、种类、内容、标准、方法、程序、结果使用和组织实施等。第三部分对西方发达国家公共部门人力资源绩效考核实践进行了分析，并在结尾对我国同发达国家的绩效考核活动进行了简单的对比。首先对发达国家的绩效考核实践中涉及的十个问题进行了分析，它们分别是：考核评估的对象，这里区分了人员导向和绩效导向的评估体系；考核评估的前提基础，主要是工作分析以及以其为基础制订的职位说明书；针对不同的目的使用不同的评估体系；评估者的选择，主要有上级、下级、同事、被评估者本人、其他较多接触被评估者的人士等选择；对评估者的培训；常用的绩效评估方法，主要有8种，分别是业绩评定表法、叙述法、关键事件法、目标管理法、硬性分布法、行为固定业绩评定表法、作业标准法和排列法，并对不同评估方法的属性与适用的目的进行了分类；考核评估中常见的错误，主要有7种，分别是光环效应、分布效应、近期行为偏见、溢出效应、个人偏见、我同性与异己性错误，以及评估者的结论性角色；评估会见；文书记录与法律诉讼；其他工作表现管理手段，主要是以团队为单位进行的绩效评估。通过分析总结出有效评估体系的9个特征。然后对我国与西方发达国家的绩效考核以及整个公共人力资源管理体系之间的差别进行了简单的分析。第四部分分析了我国当前公共部门人力资源绩效考核中存在的问题与完善措施。按照国家机关、事业单位和国有企业三部分分别进行分析。国家机关人力资源绩效考核工作中存在的问题可以从10个方面进行概括：从考核对象的角度看，现行的绩效考核体系类似人员导向与绩效导向的混合；从考核的前提基础看，目前职位分类处于初级阶段，工作分析较为欠缺，职位说明书内容模糊，不易操作；现行绩效考核制度未针对不同目的使用不同的评估体系；以直接主管为主要评估者；很少为评估者与被评估者提供培训；评估方法单一，类似叙述法与硬性分布法的结合体；没有评估会见的环节；现行评估体系中文书记录与法律诉讼仍是空白；其他工作表现管理手段尚未应用；无法为其他人力资源管理活动提供客观依据。在此基础上，简单分析了一些体制性制约因素。改善国家机关人力资源绩效考核活动的途径主要有6点，分别是：从根本上规范人力资源管理活动，保证法律法规政策的切实执行；加强工作分析与职位分类，撰写针对性更强、更实用的职位说明书，分级分类考核；明确具体地规定考核内容；适度增加考核等次；实行考核责任制；协调党委组织部门与政府人事部门的关系。事业单位人力资源绩效考核工作中的问题除了同整个事业单位管理体制相关的之外，主要是考核规章得不到有效遵守与平时考核无法发挥作用。改善事业单位绩效考核工作的方法主要有3个：加强重视程度，做好三结合；规范考核工作，加强考核制度建设；严格按照考核结果执行奖惩措施。国有企业人力资源绩效考核工作中存在的问题主要在于国有资产管理体制不完善，以及考核内容与体系的不完善。改善国有企业绩效考核活动的途径是健全与完善国有资产管理体制，完善考核内容与方法，建立起完备的考核体系。更多还原

【Abstract】 Performance appraisal is an important aspect for human resource management of public sector. This paper, basing on the situation of China and using the advanced experience of developed countries, analyses the actuality, existing problem, and improving measures of performance appraisal practice on Chinese public sector’s human resource management.This paper has four parts. In the first part, it analyses the performance appraisal’s basic theory, meaning and role on Chinese public sector’s human resource management. In China, there’re two main sides of basic theory on public sector’s human resource management. One side is official’s appraising theory of Marxism. The typical representatives are Lenin, Mao Zedong and Deng Xiaoping’s theories. The other hand is western scholars’ studying achievement, such as McGregor, Drucker, White and other scholars on industrial-psychology field. As a kind of human resource management activity, the core of performance appraisal is used as a measurement tools to precisely mensurate individual performance, differentiate individuals, and correspondingly change the measuring results into the workers’ performance estimate which stands for leader’s opinion, although it has many different definition.The role of performance appraisal mainly has five ways: providing objective basis to other human resource management activity; motivating and guiding those examinees; providing information feedback and promoting their development or increasing their performance; providing necessary information to the research of human resource management; and it is propitious for the public to monitor those workers in public department. The second part has put its emphasis on analyzing the practice of current performance appraisal in human resource management of public section in our country. At the beginning, the evolution history of China performance evaluation activities has been reviewed briefly. And from the point of view of evolution progress, the history has experienced the following steps: “Cadre Censoring” during new democratism revolution; appraising and reviewing of staff at early days after 1949; and at the end of 1970’s the evaluation system for the cadres has been established and after that the evaluation system has been developed perfectly. After the review of history, the article analyzes the performance appraisal activities of state organs, institutions and state-owned business enterprise based on the viewpoint of law and practicing operation. And the problems involved in the practicing operation is the objects of the appraisal, principles, classes, contents, standards, programs, usage of the result, organization, operation and so on.In the third part this article has analyzed the performance appraisal practice in public human resource department of developed countries. And at the end of this part, simple contrasts have been used for China performance appraisal activities. In the beginning, ten problems related to performance appraisal activities practice of developed countries have been analyzed, which are objects of evaluating, distinguish between person-based rating system and performance-based rating system; basis and foundation of evaluating which is mainly job analysis and job description which is formulated based on job analysis; different evaluating system for different purpose. Choices for examiners, which is including superior, junior, colleagues, examinee himself, other persons who are familiar with him; training course for the examiners. There are eight methods for common use during performance evaluating: rating scales method, essay method, critical incident method, management by objectives (MBO) evaluation method, forced distribution method, behaviorally anchored rating scales (BARS) method, work standards method and ranking method. It classifies these different evaluating methods by their attribution and applicability. There are mainly seven kinds of frequently rating errors in performance appraisal: halo effects, distributional effects, r更多还原