1 摘要 人力资源是组织生产中最重要的资源之一。绩效管理是人力资源管理的 核心。目前，我国科研机构的绩效管理大多过分注重结果考核而轻视过程管 理，其绩效指标设计笼统、激励机制设计也不甚科学。因此，探寻一种符合 高校科研机构发展路径的绩效管理体系，使之能结合机构现状科学地评价每 一位员工的工作产出，同时最大限度激发员工科研积极性尤为重要。 学术界对公益性科研机构的研究相对欠缺，且通常以科研机构作为研究 整体，很少单独解剖机构内不同部门。本文致力于从高校科研机构 XX 大学 C 研究中心绩效管理这个点切入，通过对 C 研究中心绩效管理体系深入透彻的 分析，找出其在设计中不完善的地方和执行中不科学的地方。结合绩效管理 系列研究方法，重新完善研究中心绩效管理体系的构建和考核指标的设计， 以达到提高员工积极性，从而增加成果产出，最终提升研究中心在学术界、 业界、社会界影响力的目的。在方案设计中，文章还充分考虑了 C 研究中心 作为一个公益性科研机构既依靠政府拨款又需要自主创收的典型特点，尝试 对其绩效管理方案进行研究和优化，具有较好的理论意义和现实意义。 本文首先分析了 C 研究中心的基本情况。C 研究中心是一个新兴科研机 构，拥有合理的组织结构、年轻有为的高素质人才、广阔的发展空间。但同 时，因为管理水平有限，缺乏人才培养机制，导致员工工作积极性不高，无 法达到研究中心理想的绩效状态。所以 C 研究中心急需从绩效计划、绩效实 施、绩效考核、绩效反馈、绩效结果运用方面，优化设计出新的绩效管理方 案，以期减少发展阻力，加速组织发展。 本文遵循规范人力资源管理、明确绩效管理目的、优化绩效考核体系、 激发员工工作动力的目标，本着全面系统性、战略导向性、目标针对性、方 案可行性、广泛参与性、动态可变性的原则，来设计适合 C 研究中心的绩效 管理模式。结合研究中心结构扁平化、研究部和非研究部人数比例几乎各占高校科研机构绩效管理方案研究——以 XX 大学 C 研究中心为例 2 一半的特点，文章将工作性质不同、成果产出不同的部门区分对待，详细设 计了绩效计划、绩效实施、绩效考核、绩效反馈、绩效结果应用五个环节的 方案。具体来说，以目标管理为导向，对研究部以定量考核为主，兼顾定性 考核。其中定量考核将平衡计分卡考核法、关键指标考核法和新兴的积分制 管理三者结合来考察；定性考核以每个季度的部门内部打分来进行考察。对 非研究部则以定性考核为主，兼顾定量考核。以 360 度绩效考核法为基础， 分工作业绩、工作能力、专业技能、工作态度四个方面来考察，其中工作业 绩方面采用目标与关键成果法（OKR）来进行员工测评。 同时，新的绩效管理方案应该有配套的绩效管理保障措施。好的保障措 施是绩效管理方案执行的润滑剂。文章结合 C 研究中心的特点设立了五项保 障措施，以辅助 C 研究中心新的绩效管理方案顺利实施。 总的来说，随着创新型国家的组建，如何通过优良的绩效管理留住具有 强大竞争力的知识型人才，是每一个组织都应该深深思考的问题。现阶段高 校科研机构急需打破“拿政府拨款，做内部科研”的传统观念，放眼未来， 以“走出去、引进来”的姿态，与更多高校、企业精诚合作，将产、学、研 三者有机结合，让更多的理论知识转化为推动国家经济发展和进步的成果产 品。 关键词：科研机构 绩效管理 绩效考核 激励Abstract 1 Abstract Human resources are one of the most important resources in organizational production. Performance management is the core of human resource management. Currently performance management in Chinese research institutes focus on result assessment rather than process management. The performance evaluation indices are quite general and the incentive mechanism is also inadequate. Thus, a performance management system in line with the development path of scientific research institutes is really needed, namely a fairly evaluation of the output and a scientific and efficient incentive mechanism. The research on nonprofit scientific research institutes is rare, and always from an overall perspective. This paper chose the C Research Center of XX University as a research object, and tried to figure out its imperfect design and execution on the performance management. Then this paper proposed an evaluation index system of performance management to improve staffs’ enthusiasm, to increase the research output, and finally expand the influence of the C Research Center in academy, industry and society. Additionally, this paper considered the typical characteristic of nonprofit scientific research institutes, namely relying on both government funding and independent income, to make our research be properly calibrated to the world. Firstly, this paper described the fundamental picture of the C Research Center. The C Research Center was an emerging research institute with a reasonable organization structure, young and high-quality personnel and broad development prospects. However, due to the limited management level and the lack of personnel training mechanism, employees were not motivated to work and could not reach the ideal performance status. Therefore, the C Research Center needed to design an optimization performance management program in terms of planning, implementation, appraisal, feedback and application so as to speed up organization development.Study on Performance Management Program of University Research Institutes 2 Secondly, this paper designed the performance management mechanism which aimed to standardize human resource management, to clarify the purpose of performance management, to optimize performance appraisal system and motivate employees to work in the C Research Center. The mechanism was designed based on the principals such as systematically, strategic oriented, targeted, feasibly, involvement, and dynamic variability. More specifically, this paper distinguished the research department and non-research department and designed a “five links” performance management framework including planning, implementation, appraisal, feedback and application on account of their different job nature and outputs, respectively. Oriented by target management, the research department was conducted by quantitative assessment combined by the balanced score card (BSC), the key performance indicator (KPI), and the work-points system. For the non-research department, the qualitative assessment was used. Based on the 360-degree Feedback method, staffs would be evaluated from four aspects, namely work output, work ability, professional skills and work attitude. And the objectives and key results method (OKR) was used to evaluate the work output. Additionally, the performance management program included the safeguarding measures, which played a lubricating role in execution. This paper proposed five safeguarding measures to confirm the new performance management program to be successfully implemented. In general, how to retain knowledgeable and talented people with strong competitiveness through a good performance management mechanism, should be thought about deeply. We suggest the university research institutes to break the traditional concept of “taking government funding and doing internal research”, and cooperate with other universities and enterprises in order to transform more theoretical knowledge into real-world products which can promote economic development. Keywords: Research Institute；Performance Management; Performance Appraisal; Incentive目 录 1 目 录 1 绪论 ........................................................................................................... 1 1.1 选题背景 ....................................................................................................... 1 1.2 研究目的和意义 ........................................................................................... 2 1.2.1 研究目的................................................................................................ 2 1.2.2 研究意义................................................................................................ 3 1.3 研究内容以及重点难点 ............................................................................... 5 1.3.1 研究内容................................................................................................ 5 1.3.2 研究重点难点........................................................................................ 5 1.4 研究思路和方法 ........................................................................................... 6 1.4.1 研究思路................................................................................................ 6 1.4.2 研究方法........