发电企业绩效管理制度研究与方案设计

1、分类号： 学校代码：10079 密级：华 北 电 力 大 学 硕 士 学 位 论 文题 目：发电企业绩效管理制度研究与改革方案设计英 文 题 目：The performance management system of electricity power enterprise studies and reforms conceptual design研究生姓名：陈子波 专业：技术经济及管理研 究 方向：人力资源管理导 师 姓名：何永贵 职称：教授论文提交日期：2003年12月26日 华 北 电 力 大 学华 北 电 力 大 学硕 士 学 位 论 文 摘 要 论文题目： 发电企业绩效管理制度研究

2、与改革方案设计研究生姓名： 陈子波 专业： 技术经济及管理研究方向： 人力资源管理导师姓名： 何永贵 职称：教授2003年12月26日发电企业绩效管理制度研究与改革方案设计随着电力体制改革的全面深入展开,发电企业面临“厂网分开、竟价上网”的竞争格局，充分作好人力资源整合工作对提高企业的竞争力是一项非常重要的举措。其中，绩效管理是人力资源管理中的核心部分，是提高企业人力资源管理水平的一项重要的内容。本文通过对西方发达国家发电企业和国内发电企业的比较研究与分析，提出了适合我国发电企业改革的考核设计方案。本文主要研究内容：从战略的角度对发电企业的绩效考核工作进行分析、以系统的观点对企业的考核制度进行

3、优化设计，将原先的部门考核与个人绩效考核相结合，重点完善了发电企业二次分配制度。本文基于大型发电企业集团直属的一线单位发电厂的基础性研究，进而从最基本的单元清楚地了解到发电行业的整体绩效管理现状，形成了“绩效”=“结果+过程” 的设计思路。最终作者设计出了一套以结果考核和过程考核相结合的一种考核方式，改进了原来发电企业仅进行结果考核的现状。1发电企业绩效管理现状研究通过对若干家电厂进行了实地的考察以及资料的分析情况看，这些电厂目前基本都是采用如下考核机制：领导班子的三项责任制考核（资产经营目标责任制考核、安全生产责任制考核、党风廉政及精神文明建设考核）。这样的机制，一方面应该充分肯定多年来落实

4、考核工作中所取得的成绩，另一方面我们经过全面研究电厂绩效管理体系和广泛访谈调查后认为，电厂现行的绩效管理体系面对市场经济环境的变化尚存在有待改进的诸多问题，需要消除由此产生的诸多负面效用。电厂目前所进行的绩效考核，只是绩效管理中的一个环节，并没有系统的从提高企业绩效的角度来改善企业考核体系。几方面的考核工作或者是独立开展，或者是并行，导致各项考核工作在时间及内容出现重叠甚至冲突，造成管理成本浪费；而且，占用员工大量工作时间极易引起抵触情绪，不利于工作的有效开展。电厂现行上级考核下级的单方面的纵向考核，存在着监督机制缺位的问题。监督机制的存在主要是防止和纠正人为因素（如人际关系）等非考核因素对考

5、核过程和结果的影响，以保证考核的客观性、公正性。建立完善监督机制的同时，还需要配套建设考核结果申诉机制，接受处理职工对考核的申诉，并对不合理的考核结果进行调整。部门考核相对较为完善，但指标的选取缺乏规范。现行指标的选取并不是由上下级沟通制定，而是单项流程，导致指标没有达到按照关键绩效指标的原则进行选取，不能很好的支持企业战略目标的实现。电厂目前不论是进行部门考核、还是班组考核都是属于部门考核的范畴，而个人考核都是直接上级根据下级的工作情况、与同事、上级的关系情况进行考核，而没有明确的标准，随意性较强，导致员工对考核工作意见很大。考核的主要作用应该是发现问题并及时采取有效措施来加以解决，进而避免

6、产生问题，最终目的是调动职工工作积极性、改善工作行为与组织目标相吻合，提高工作绩效。从这一目的出发，考核应该更加重视过程，而不能过分强调结果以及结果的使用；当然，如果过于忽视结果的使用，也会使考核者和被考核者不重视考核过程、达不到考核的目的。从考核体系看，由于不能完全落实，考核只是为了员工的奖金分配，因此并不能体现对员工的激励。2.绩效考核制度设计思路：计路径根据对诸多家电厂考核制度的调研发现，目前发电企业“部门考核制度”相对较为完善，但考核仍不到位关键是因为部门内部考核工作没有依据可循，也就是说，电厂目前基本上都没有个人考核。根据这一特点，我们认为发电企业绩效考核制度设计的重点是个人绩效考核

7、。2.2 考核方案设计要求绩效考核方案是实施绩效管理的可操作方案。一个良好的考核方案需要满足以下几项要求：（1）全面、简单与有效；（2）明确与具体；（3）一致与可靠；（4）客观与公正；（5）参与和公开。2.3设计基本程序：绩效管理制度设计的最根本原则是支持企业战略目标的实现。首先，从了解企业的战略发展目标以及业务重点入手，对各岗位进行工作分析，设计出每个岗位的工作说明书；接着对所搜集上来的岗位进行分层分类，这样可以区分出各岗位之间的工作性质，针对各岗位之间的不同点，设计职业发展通道；然后针对不同类的员工分别设计考核流程、考核指标、考核标准、考核周期等；最后设计考核的组织与实施过程，以及结果运用

8、方式。最终形成一种绩效改进的效果，因为绩效改进才是绩效考核的最终目的。这样，我们就完成了整体的考核方案。3考核设计方案发电企业考核体系特点几乎每一家发电企业都十分重视对安全生产的考核，在几十年的工作中总结了相当细致的安全考核条例，也十分符合发电企业性质的需要。所以，我们把电厂考核体系分为安全生产行为规范考核和岗位工作绩效考核（包括平时考核和年度综合评价）两个维度构成，这也是与其他类型企业考核不同之处。安全生产行为规范考核，在电厂已经实行了若干年也比较完善，每个电厂都有统一的安全生产经济奖惩管理规定。这项规定是电力企业经过数十年的探索形成的相当完整的、操作性很强的考核制度。我们认为按照现行安全生

9、产行为规范考核是可行有效的。人员分类分层是企业人力资源管理的基础，也是考核有效实施的基础性环节。根据各个部门在实现电厂整体目标中发挥的作用不同，将部门内员工横向分为三类：生产类、管理职能类、辅助服务类。依据各个岗位的管理层级差别，纵向分为：部门管理者、班组负责人、一般员工三个层级，并据此建立三级考核体系。我们对三层三类人员分别进行考核制度的设计。每一项考核方案都是根据其工作特点、选用不同考核方法、考核周期、考核主体等予以设计，。4绩效管理制度改革效果分析及启示我们在对绩效管理制度的改革完善过程中，许多客户也提到了这样的问题：制度的完善到底对企业的效益有多大的提升？ 本文曾经试探着用有无对比的方

10、法以及其他的评价方法来做，但可靠性不强，缺乏说服力。本文试探着采用博弈分析的方法，对改革的效果进行分析，效果也不十分明显，只是谈出了个人对考核的一点启示。即关于这个问题的回答，只能通过另外一种方式，也就是说企业各个层面包括厂领导、中层领导、以及大部分员工，对绩效管理制度的改革完善给予企业的助推力和防止滑坡的作用得到大多数人的认定，我们就可以认为制度的建立和完善对企业是有效的。更何况现实中的海尔集团OEC绩效管理模式，为什么能够激活一个又一个“休克鱼”就是最有利的回答！ABSTRACT OF GRADUATE THESIS OF NORTH CHINA ELECTRICPOWER UNIVERS

11、ITYTHESIS TOPIC：The performance management system of electricity power enterprise studies and reforms conceptual designAUTHOR： Chen Zibo TUTOR：He YongguiSPECIALTY：Technological Economy and ManagementDIRECTION： Human Resources Management December 26,2003The performance management system of electricit

12、y power enterprise studies and reforms conceptual design With the launching overall and deeply of system reform of electric power, already the strong competition pattern has appeared in the electricity power enterprise. Finish human resources reform work, for improving the competitiveness of the ele

13、ctricity power enterprise, It is a very important action. It is a key part in the human resources management that the performance is managed, improve an essential reform content of current situation of enterprises human resources management. This text passes the investigation and research of the wes

14、tern electricity power enterprise of developed country and domestic electricity power enterprise directly or indirectly, Have put forward the plan of design of examination of the suitable national reform of electricity power enterprise. Main research contents of this text: It performance in electric

15、ity power enterprise examine work analyse in terms of strategy, Carry on reform with view system to assess in enterprise of system , examine and examines and combine together original department with the individual performance, Perfect the distribution system two times of electricity power enterpris

16、e especially. 1、Manage the current situation to study in a performance of electricity power enterpriseThrough go on observation and collection of the materials on the spot to several electrical home appliances factory, We find that these power plants all adopt the following mechanism of examining ba

17、sically at present at present: Namely three responsibility system of leading group examine(assets management target responsibility system examine, system of responsibility in safe production examine, Party conduct clean government and construction of spiritual civilization examine). Affirm fully pow

18、er plant implement while examining score that work make for many years, We think after study the performance management system of power plant and interview investigation extensively all-sidedly, Power plant current performance management system a great deal of issues have , and a lot of negative uti

19、lity has produced from this.What power plant carry on at present but performance examine, performance a link of management, Have a systematic one from improve enterprise angle of performance improve the system of examining of enterprises. Several examination work of respect launch independently , ru

20、n side by side , cause every examination work overlap even conflict in the time and content , Causing and manage the cost wastes; And take a large number of very much easy to cause staffs resentment working time, Do not benefit the effective development of the work .Power plant current higher author

21、ities examine subordinate one-sided vertical examination, the a question that examination have the supervision mechanism omission. Chief value that supervision mechanism exist to prevent and correct human factor( such as interpersonal relationships),etc. not to examine factor to examine course and i

22、nfluence of result, Objectivity, fairness guaranteed to examine . While setting up supervision mechanism of perfecting, need and form a complete set and build result of appraisal appeal the mechanism, Accept and deal with the worker to the appeal that is examined , and adjust the unreasonable result

23、 of appraisal.It is comparatively perfect for department to examine, but the index chooses the standard of lacking. The choosing of the index is not made by the superior and the subordinate communication, but it is the individual event procedure, Cause index reach and choose according to key perform

24、ance principle of index, Realization of enterprises strategic objective of support that it cant be very good.Power plant carry on department examine or teams and groups it examines to be categories that departments examine at present, And individual it examines to be direct higher authorities accord

25、ing to subordinate working condition, examine with colleague, relation situation of higher authorities, Have clear standard is random and relatively strong, cause staff to examine work have many complaints.Main function that examine should pinpoint the problems and take measures and come and solve,

26、And then avoid question of producing, the final purpose is to shift workers enthusiasm of working, Improve the working behavior, improve the working performance. Proceed from this purpose , examine and should add and pay attention to course is but cant excessive to emphasize result and use of result

27、 even more; Besides, ignore use of result overly , will make person who examine and person examined pay attention to course of examining, Cant achieve the goal of examining either. By the look of every system examined, every system cant be totally implemented either, all examination, just for the di

28、stribution of the staffs bonus, Can not reflect the encouragement to the staff .2、performance system to assess mentality of designing:2.1 wholes mentality of designingAccording to a lot of investigation and research of system to assess, factory of electrical home appliances, we find electricity powe

29、r enterprise department system to assess comparatively perfect at present, Examine key because department examine work have basis can be followed incompletely, That is to say power plant have individual examine basically at present. According to this characteristic, we think that the focal point of

30、examining system design of the performance of electricity power enterprise is that the personal performance is examined .2.2 Examine the designing requirement of schemesPerformance manage scheme to implement performance management but operation scheme. The focal point of the scheme is to examine sch

31、emes. Use the theory and method of the performance to be designed meticulously on the basis of actual conditions of power plant when design and examine schemes. A good scheme needs to meet the following several requests: (1)Overall and effective(2) clear and concrete(3) unanimous and reliable(4)obje

32、ctive with participating in just(5)ly and make2.3 designs the basic procedure :Performance manage system design cardinal principle to support enterprise realization of strategic objective most. Proceed with the strategic objectives of enterprises, find out about the strategic development goal of ent

33、erprises and business focal point; Carry on to every post work analyses, design each work manual of post. Then to collect post that come up go on and divide layers of classification, so can distinguish and happen working nature of all post, To the difference between every post, design the job and de

34、velop the passway. Direct against similar staff design procedure of examining, examine the index, assessment criteria, examining cycle,etc. separately. Design the organization that examines and implementation course finally, and the result uses the way. Final everything relevant to improve on perfor

35、mance, because performance it improves to be only the final purpose that a performance is examined. In this way, we finish the examination scheme of the whole .3、examines the plan of design3.1 electricity power enterprises examine the overall introduction of the systemBecause nearly every electricit

36、y power enterprise attaches great importance to the examination to the safety in production at present, Have summarized quite careful security examination regulations in the work of decades, Meet enterprises needs very much, so we examine power plant system divide into safety in production behaviour

37、al norm examine and examine ( including examining with annual comprehensive appraisal at ordinary times), two link degree form, this examine different places with other type enterprise too, Special place. 3.2 The behavioral norm of safety in production is examinedThe behavioral norm of the safety in

38、 production is examined and already implemented several years in the power plant, Relatively more perfect, each power plant has a unified regulation of management of economic rewards and punishments of the safety in production. This regulation is that electric power enterprises are quite intact thro

39、ugh what the exploration in decades transform into, Operating very strong system to assess. We think safety in production behavioural norm examine and go on according to the current system.Post working achievement examine and go on and divide layer classified and managedPersonnel classify divide lay

40、er enterprise foundation of human resources management, examine the basic link implemented effectively too. According to each function that department give play to of realizing the goal of whole power plant being different, Divide the staff in the department horizontally into three kinds: Production

41、, management functions, assisting the serving type. Basis each administration and supervision authorities grades of difference of post, vertical to divide 3 each into: Departments administrator, directors of teams and groups, general staff. Set up the tertiary system of examining in view of the abov

42、e. We carry on the design of the system to assess to three floors and three kinds of personnel separately. Every examination scheme to design according to working characteristic their , select different examination method, examine cycle, examine subject,etc. for use.4、The management system of the pe

43、rformance reforms the result analysis and enlightenmentWe in the course of making the perfection of the system, a lot of customers have referred to such question too: What size does the perfection of the system have to the benefits of enterprises on earth promotion? About this question, we have no i

44、dea to answer directly, can only pass another way , That is to say and include factory leader, middle level leader, and most staff pass to project approval of itself, From thinking the perfection of the system beneficial to enterprises subjectively, through such a direction which most people assert,

45、 We can think that the setting-up and perfection of the system are helpful to enterprises .I sound out and make with method and other appraisal methods that compare with once, Not basically very feasible, there is no convincingness. This text sound out and adopt the way of playing chess and analyses

46、, result in reform analyses, The result is not very obvious either, have just talked about any views to examining of the individual.摘 要绩效管理是人力资源管理的核心内容，它决定着企业的人力资源管理水平。随着电力市场改革的逐步深入，发电企业竞争日趋激烈，从长远看，其人力资源管理水平决定着该企业的核心竞争力提升水平。本文通过对发电企业绩效管理现状的分析，结合发电企业的特点，提出了一套适合我国发电企业特点的绩效管理体系。本文遵循着简单规范、实用有效的原则，对企业进行绩

47、效管理制度的系统化设计，以实现个人绩效与部门绩效的有机结合，并将设计重点放在了个人绩效考核方案设计上，进而完善了企业个人绩效考核制度。这对我国目前发电企业开展有效的绩效管理具有重要的指导意义和应用价值。关键词：绩效，绩效管理，关键绩效指标 ABSTRACTPerformance Management is the key content of human resources management, it determines the human resources management levels of enterprises. The ones that reformed were dee

48、pened gradually with the electric power market, the electricity power enterprise is fierce gradually in competition, In the long term, its human resources management level determines the key competitiveness of this enterprise in certain respect. According to analysis of current situation to electric

49、ity power enterprise, This text combines the characteristic of it, put forward a set of system of performance management suitable for electricity power enterprise of our country. Following the simple and practical principle, use the management theory of human resources to carry on the reform of syst

50、em of performance management of the complete set to enterprises, our focal point is on personal performance design, perfect enterprise personal performance system to assess. Have realized the combination of the personal performance and departments performance. It has important directive significance

51、 to electricity power enterprise on effective performance management.Chen Zibo(Technological Economy and Management)Directed by prof. He YongguiKEY WORDS: Performance, Performance Management, KPI目 录中文摘要英文摘要第一章 绪论1研究的背景与意义1我国电力市场改革的现状1绩效管理在人力资源管理中的作用1该领域内最新成果和发展动态2西方国家发电企业与我国发电企业研究概况及对比2西方国家发电企业的概况2我

52、国发电企业概况2西方发达国家发电企业与我国发电企业绩效管理现状及对比2第二章 概念界定4发电企业4绩效4“绩效”=“完成了工作任务”4“绩效”=“结果”加“产出”4“绩效”=“行为”4“绩效”=“结果+过程”5“绩效”=“做了什么（实际收益）+能做什么（预期收益）”5绩效管理5绩效管理是管理者和员工就工作目标与如何达成目标达成共识的过程6绩效管理的程序包括计划/目标、辅导/教练、考核/检查、回报/反馈四个循环6绩效管理与绩效考核的区别7第三章 发电企业绩效管理现状研究9总体评价9目前电厂绩效管理现状分析9绩效管理目标错位9考核缺乏标准化的参照系指导9考核“政出多方”，缺乏规范的组织管理10工作

53、任务考核相对薄弱，缺乏规范的目标管理10缺乏足够的双向沟通，不利于提高员工自我管理意识和整体绩效10没有层层分解企业目标，工作任务考核难以服务于电厂整体业绩的提高10简单分派安全生产责任制考核目标，无法实现管理目的11简单区分工作任务的重要程度，难以满足考核评级的准确性要求11缺乏考核的监督、申诉机制11考核过于强调扣罚为主的负强化11只有部门考核，缺乏个人考核，导致二次分配时考核流于形式，随意性较强123.2.6 考核目的不够明确，忽视考核过程12第四章 绩效管理方案设计的思想体系13绩效管理体系整体设计思路13绩效管理方案的设计要求13全面和有效13明确与具体13一致与可靠13客观与公正1

54、3参与与公开14设计考核方案的具体思路14对中高级管理人员采用目标管理评价法14其他从事常规性工作的人员采用工作标准法14重视自我评价14将考核内容分为工作业绩考核和工作态度考核两部分，以业绩考核为主14短期考核与长期（年度）考核相结合15建立考核的监督机制15建立考核的调整机制15设计绩效管理体系思路的基本程序15了解企业的战略发展目标以及业务重点16以工作分析为基础，设计岗位说明书16对员工进行分层分类，设计职业发展通道16针对不同员工设计考核流程，考核方法的选择17确定绩效考核指标，即KPI设计17确定绩效考核目标18绩效考核的组织与实施19绩效结果应用19绩效改进辅导19第五章 考核设

55、计方案20发电企业考核体系总体介绍20安全生产行为规范考核20岗位工作绩效考核20安全生产行为规范考核20岗位工作业绩考核进行分层分类管理20平时工作业绩考核21一级考核21考核内容：部门工作目标的完成情况21考核周期：季度考核22考核方法：目标管理法22考核主体：厂领导评价工作业绩，被考核者进行工作态度事实记录22二级考核22考核内容：班组工作目标的完成情况。22考核周期：月度考核23考核方法：目标管理法23考核主体：部门主任评价工作业绩，被考核者进行工作态度事实记录23三级考核23考核内容：岗位职责的完成情况。23考核周期：月度考核23考核方法：工作标准法23考核主体：直接上级评价工作业绩

56、，被考核者进行工作态度事实记录24年度综合评价24一级考核24考核项目24考核项目的加权25考核方法25年度述职评议27划分年度综合评价等级27二级考核28考核项目28考核项目的加权28考核方法29考核的实施29划分年度评价等级29三级考核29考核项目29考核项目的加权29考核方法29考核的实施29划分年度综合评价等级29工作目标体系30目标体系的建立30电厂目标分解举例31考核结果的应用32平时工作业绩考核结果是兑现绩效工资的依据32安全生产行为规范考核结果在绩效工资中扣罚32年度综合评价用于调整工资32年度评优33建立完善的沟通机制，及时反馈考核结果33考核能够有效而顺畅地实施需要建立良好

57、的沟通机制33重视考核结果的及时反馈，旨在强调结果反馈对绩效改进的作用34电厂考核设计体系中，充分体现沟通与反馈原则34健全考核的管理机构，规范考核工作34建立绩效考核的申诉、监督机制34考核体系的评审和不断改进35第六章 绩效管理制度改革效果分析及启示36为什么需要绩效管理体制改革：博弈分析模型36理论假设36模型构建：36模型分析37如何有效率地进行绩效评价：成本收益模型38企业角度38员工角度39经济学分析的启示40参 考 文 献42致谢43附录44在学期间的研究成果及发表的学术论文52第一章 绪论改革开放以来，我国电力工业发展迅速，有力地支持了国民经济的快速发展。但是，垂直一体化垄断经营的体制越来越不适应市场经济的要求和多元投资主体的新形势，现行的电力体制已经不能适应建立社会主义市场经济体制的要求。根据党中央对垄断行业进行改革的总体部署，国务院于2002年4月11日正式发布了电力体制改革的消息。12月29日，包括国