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1、 南方医科大学 2010 级硕士学位论文 应用目标管理理论提升绩效的研究 以某事业单位为例 Study of performance improvement with objective management theory - a case study in an institution 课题来源：自选 学位申请人 林锦娜 导师姓名 陈立明教授 专业名称 社会医学与卫生事业管理 培养类型 学术性 培养层次 所在学院 人文学院 2013 年 5 月 28 日 广 州 应用目标管理理论提升绩效的研究 以某事 ilk单位为例 硕士研究生：林锦娜 指导老师：陈立明教授 摘要 目标管理是一种组织管理模式
2、，作为当今最有效的管鱼方法与理论之一，适 应了经济社会的发展潮流 ,在提高组织绩效水平、提升组织执行力、兼顾效益与 公平、实现效率与效益双赢等方面取得巨大成就。目标管理作为一种有效的绩 效管理手段和方法，已被广泛运用于企业管理、行政领域 ,并发挥着越来越重要 的作用。我国从上世纪 80年代开始，开始借鉴西方绩效管理理念，推行目标管理。 到目前为止，全国已有 200多个城市 (包括 20多个省会城市 )实行了地方政府工作 目标管理。广州市自 2009年在事业单位实行绩效工资制度，但因各事业单位未 建立与之对应的绩效考核制度，因此，必须逐步在全市事业单位推行建立与之 配套的岗位设置与职位说明以及绩
3、效分配制度。本研究先行一步，以广州市某 事业单位为例，应用目标管理理论对提升事业单位员工绩效进行相关的研究， 以期建立一套完善的绩效目标考核体系，为同行的其他事业单位提供参考。 研究目的及意义 本研究的目的及意义在于 .一、解决某事业单位普遍存在的绩效管理比较 落后的问题，应用目标管理理论来提升事业单位的员工绩效，实现员工与组织 目标，进而实现组织与个人利益相挂钩。二、构建事业单位目标管理的框架， 按目标分层次分系统进行管理，确定各类岗位的工作流。三、依据工作流进行 职位分析、 职位描述和任职规范，按目标管理和职位胜任情况确定绩效结果评 价。四、探索目标管理在提升事业单位员工绩效的实践应用过程
4、。 研究方法 1、 文献法 通过中国知网和书籍查阅了解国内外当前的研究现状与最新动态，系统分 析文献资料，收集国内外关于目标管理理论以及目标管理在事业单位员工绩效 的运用情况的文献材料，寻找研究的突破口，为本研究提理论基础。利用文 献分析法对某事业单位相关绩效管理的历史资料进行整理和分析，为建立适合 某事业单位的目标管理绩效考核体系做准备。 2、 调查法： (1) 实地调查法：通过某事业单位的绩效管理的现状，总结出某事业单位 应用目标管理于单位的绩效考核目标的分解、目标的过程管理以及目标成果 的应用方面存在的问题和不足。 (2) 问卷调查法：为具体了解某事业单位实施绩效管理存在的实际问题， 拟
5、对事业单位员工进行目标管理实施全过程的问卷调查，得出相关的统计数据， 分析现状，发现问题。问卷主要涉及 （ 1)某事业单位目前绩效管理的现状以及 员工对此的看法； （ 2)员工对目前的考核方式要求改进的决心以及提出相关的 建议； （ 3)探讨如何使目标管理在某事业单位提高员工绩效中的创新运 用等问 题。 3、 访谈法 在对某事业单位绩效的考核现状进行分析研究的过程中，需要组织某事业单 位人员进行大量的访谈，访谈对象分别有：单位领导 （ 3人 )、人事部门相关工 作人员（ 5人 )、各部门的负责人 （ 5人 )、一线员工 （ 10人）、服务对象 （ 10人 ） ， 以达到对其绩效考核的实际情况和
6、广大员工的真实心态的掌握和了解。 访谈提纲包括： （ 1)他们对单位目前的考核办法的看法； （ 2)员工是否明 确本岗位的岗位职责与目标； （ 3)在完成本岗位工作的过程中能否实现自我管 理、自我控制，发挥个人的主动性； （ 4)本岗位的绩效考核结果与本人的实际 工作的情况是否匹配； （ 5)考核结果的应用情况如何等。在访谈的过程中了解 某事业单位的组织目标，为帮助其构建目标体系、进行职位分析等工作提供借 _ 硕士学位论文 _ 鉴和参考。 研究内容和过程 目标管理的过程经历制定目标，分解目标，执行目标，结果考评、应用和 反馈的过程。它是以单位制定和实现目标，被管理者自主控制达标过程，管理 者实
7、行最终成果控制的一种管理思想和管理方法。 1、 以人为本，按层次制定目标，构建某事业单位目标管理的框架。 确定工作目标包括单位总目标和子目标，是某事业单位目标管理工作的起 始阶段。目标的制定要坚持以人为本的原则，从员工的综合能力、性格、兴趣 等因素出发，设置工作目标时要使目标与岗位和人员的能力匹配，使目标具有 一定的可行性与激励性。目标的确定既要定性又要定量，才有利于目标的实施、 控制及评估。如某事业单位是以为残疾人群体提供优质康复治疗、特練教育以 及预后的服务，和提高基层部门人员的积极性和满意程度为宗旨。绩效考核也 要融入目标的制定过程中，这可在一定程度上使得绩效标准的制定事项实现一 致性、
8、同步性。确定评估的 内容和标准是实现二者良性互动的关键。 2、 按目标分层次分系统进行管理，明确各部门工作与整个组织结构匹配。 所谓目标分解，是基层部门与职工对组织总目标，根据各自的整体情繚，进行 层层讨论，研究实现上级目标的各项问题，落实措施，制定自己的目标。在目 标分解上，一般有两个步骤：一是找出关键问题，明确主攻方向，下级在分解、 落实上级目标时，要根据实际情况和现有条件去找出自己为了实现上级目标的 关键问题。二是编制目标体系。在目标层层展开之后，编制目标体系加以公布 并加强管理，激发全体职工参与管理的意识更好地实现目标 管理。 3、 以授权管理思想及自主管理理论实现目标的过程管理。 授
9、权管理是目标的过程管理的核心，目标是授权的依据。通过管理者的授 权管理和员工的自主管理，能有效调动员工的工作积极性，优化团队组合。一 方面，管理者在实行授权管理的同时，对目标实施过程的控制和管理是不可缺 少的，管理者按照管理目标和绩效标准进行事中监控，加强指导。另一方面要 提倡部门、岗位的自我调节，自我控制、自我管理，把握以目标来激励人，发 _ 中文摘要 _ 挥员工的主动性。在此过程中强调对问题的及时反馈和处理，保障最终目标的 实现。实现目标的过程必须保证上下级之间责任明确，目标方向与指挥命令步 调一致。 4、以目标成果评价作为绩效考核结果的标准。 当总目标与各级子目标按照要求结束时，需对照管
10、理目标和绩效标准对实 际取得的成果做出客观、公正、准确的评价。目标成果的评价以自我评价为主， 结合部门主管以及服务对象的评价，把目标实现的程度与个人利益相挂钩，引 导目标成果评价的应用，对有效的绩效行为做出相应的奖励，对无效的绩效行 为进行惩罚外，更重要的是通过效果反馈和行 为改进，通过目标成果评价发挥 考核的整合效应，成果效应和激励效应，从而实现事业单位员工的管理水平和 服务水平的不断提高。 主要结论 与传统的事业单位考核模式相比较，新的绩效目标考核体系不论是在理论 的先进性方面，还是实施效果方面，都具有一定的先进性，新体系的实施对转 变事业单位管理方式和管理理念，提高事业单位效率和社会效益
11、、提升员工的 满意度，具有一定的实践意义。 1、 事业单位实行目标管理可提高工作效率和社会效益。 事业单位借鉴企业绩效目标管理模式，这对于提高服务效率，降低服务成 本能起到积极推动作用。由 于事业单位不存在激烈的市场竞争机制，也不像企业 那样存在个人利益，因此客观上容易出现效率低下的情况，通引入绩效目标 管理模式，建立竞争机制有助于事业单位取得更大的社会效益。 2、 事业单位实行目标管理，构建科学的体制和运行机制，能充分调动员工 的积极性。 事业单位的绩效目标管理模式应体现出事业单位的特点，事业单位不以利 润最大化为行为目标，不受利润最大化动机的驱使，而受社会责任的驱使，追 求社会效益的最大化
12、。在做目标分解时，必然要结合本单位的个性特点，使考 核切合本单位的实际需要。将自己的组织使命分解为明确的可以考核的各个具 体目标，使员工的工作目标明确，积极性得到充分发挥和引导，员工压力意识 和责任感增强。 3、 构建科学、规范的考核标准，完善激励机制。 科学合理的考核内容与考核标准是目标管理绩效考核的关键。制定科学的 岗位说明与绩效考核量表，完善的考核组织流程是保证完成目标管理绩效考核 的基础。依据目标成果评价对员工实施奖惩，考核体系的激励效果明显，整体 工作效率得到提高。 4、 建立反馈机制提升员工满意度。 绩效考核的反馈比考核结果本身更重要，要做到及时，准确反馈绩效考核 结果和评价意见，
13、保证目标成果的评价科学合理，并应用到实际的绩效分配当 中，实现公平公正的考核原则。 特色及创新之处 应用目标管理理论，制定某事业单位的目标管理体系，将各子目标转化成 工作流。根据工作流设定岗位和进行职位分析，落实各子目标的任务。根据总 目标构建某事业单位考核评估指标体系，完善激励机制。 应用目标管理理论、人力资源管理理论和绩效考评方法构建某事业单位目 标管理体制和运行机制进行的探索。 关键词：事业单位目标管理职位分析 Study of performance improvement with objective management theory - a case study in an in
14、stitution Master Srudent： Lin Jinna Supervisor： Professor Chen Li-Ming ABSTRACT Objective management, as one of todays most effective management methods and theory, is an organizational management model. It adapted to the socio-economic development trends, and has made extraordinary achievements , s
15、uch as raising the level of organizational performance, improving organizational execution, balancing between efficiency and equity, efficiency and effectiveness. Objective management as an effective performance management tools and methods， have been widely used in the fields of business management
16、, administration, and is playing an increasingly important role. Starting from the 1980s, China began to draw on Western concepts of performance management, and implement objective management. To date, more than 200 cities (including more than 20 capital cities) has introduced target management of l
17、ocal Government in China. Guangzhou has implemented pay-for-performance system in public institutions since 2009, but the institutions have not established as corresponding to the performance appraisal system. Therefore, in public institutions, distribution of jobs, job descriptions, and performance
18、 systems must be established progressively. In this study? a case study of a public institution in Guangzhou City was chosen as object to research the relation between job analysis, objective management and employees* performance of public institutions, so as to establish a perfect performance targe
19、t assessment system which will be treated as references by other public institutions. Purpose and Significance The purpose and significance of this study: First, applying job analysis and objective management theory to solve some problems amongst the pervasive performance management in public instit
20、utions, and to improve staff performance in public institutions and achieve employee and organizational goals* thus achieving the organizations and individuals interests linked. Second, building a framework of institutions management by objectives, management by different levels in the target system
21、, determines the positions of work flow. Third? job analysis, job description and representation specification based on workflow, determine performance results by objectives management and evaluation of competency. Fourth, to explore objective management in practice application process of improving
22、staff performance in public institutions. Methods 1. Literature review With the purpose of looking for breakthrough and theoretical basis for this study, we learned about theory of management by objectives and current research situation and the latest developments on the employees9 performance of pu
23、blic institutions through CNKI and library. Material collected would serve as the theoretical basis of establishing the target management performance assessment system in public institutions. 2. Questionnaire Survey Staffs of public institutions were chosen as subjects to investigate via questionnai
24、re to learn some practical problems in implementing performance management. Survey involves: (1) the current status of performance management in public institutions and staffs5 views on it; (2) determination of Staffs on shifting the current assessment style, and related recommendations; (3) how app
25、lying objective management to improve employees performance, and so on. 3. Interview The status of the performance appraisal was understood by interviews with the staff of an institution. Interviewees include: leaders of institution (3 people). personnel sector related staffs (5 people)， the departm
26、ent heads (5 people), lower-level employees (10 people), and service objects (10 people). Interview outline includes: (1) perception of the current assessment methods; (2) whether staffs have clear position duties and objectives; (3) whether staffs can carry out self-management, self-control, and ex
27、hibit individual initiative in the process of working; (4) whether performance evaluation results matches staffs9 actual work status; (5) the application of assessment results， and so on. We could know about organizational goals of public institution in the process of interview, which will help us t
28、o construct objective system, job analysis and others work. Content and Process Goal management is the process of setting goals, goal decomposition, executing the target, result evaluation， and feedback. It is a management thought and management methods that goals were set and achieved by institutio
29、n, outcomes were monitored by supervisees and managers. 1. Follow the principle of people-oriented, building a framework of objective management in public institutions according to their different objectives. Determine objectives including goals and sub-goals, is a starting stage of objective manage
30、ment in public institutions. Setting goal must adhMe to the people-oriented principle, take the employees ability, personality, interests and other factors into account. Setting work objectives must keep target， position and employees9 capacity in balance, and make the target have certain feasibilit
31、y and incentive. Detennining the goals should both qualitative and quantitative, and is conducive to the target implementation, control and evaluation. Meantime， performance appraisal should integrate into the target -setting process, which to some extent, makes the development of performance standa
32、rds keep compliance, syiichronicity. Determine content and criteria for evaluating are key to achieving positive interaction between performance appraisal and target -setting. 2. Implementing objective management can make the work of departments be specific and match the organizational structure. Ob
33、jective decomposition is, under the guidance of the overall objective, the primary sector and workers through discussion develop their own goals according to their respective situation. The objective decomposition has two steps. First， identifying key issues. When objective was decomposed and implem
34、ented, the sector and workers should find out the key issues in order to achieve higher goals according to the actual situation and the existing conditions. Second, preparing target system, constructing the target system and strengthening management could stimulate the awareness of all employees inv
35、olved in the management， thus achieve objective management better. 3. Applying empowerment management and self-management theory to achieve process management of goals. Empowerment management is a core of process management, goal is the basis of erapowemient. Empowerment management of managers and s
36、elf-management of employees can effectively mobilize the enthusiasm of employees and optimize teams* One hand， in process of Empowerment management of managers, process monitoring in accordance with the management objectives and monitoring performance standards is essential. On the other hand, manag
37、ers should advocate self-regulation, self control, self management of the sector and employees, make incentive decision according to goals, and mobilize initiative of staff. During process management, timely feedback and problems-solving can ensure realization of the ultimate goal. In the process of
38、 realizing objective, managers must ensure that responsibility is clear, and command is consist with objective direction. 4* Regarding the goal outcome as standards of perfonnance evaluation. When the overall objectives and sub-goals are over, objective, impartial and accurate assessment of the actu
39、al results is made in accordance with management objectives and performance standards. The evaluation of the achievement is focus on self-assessraent? and take into account the evaluation of department heads and service objects. On the premise of taking full account of the degree of goals and person
40、al interests, managers make the appropriate incentives or punitive measures according to the performance of employees. More importantly, the assessment can achieve integration efifect, results effect and incentive effect through effect feedback, acts improved, and target results evaluation, so as to
41、 achieve constant improvement of management level and service level. Conclusions Compared to traditional assessment model of institution, new performance evaluation system based on management by objectives has some advanced in terms of the theory and practice. Besides, implementation of the new syst
42、em in public institutions has some practical significance in transforming the styles and concepts of management， improving efficiency and social benefits, and enhancing employee satisfaction. 1. Implementing management by objective could improve efficiency and social benefits. Public institution , i
43、ntroduced enterprise performance management bybjectives mode , can improve efficiency and reduce service costs. Due to public institutions does not exist fierce market competition mechanism, so inefficiency is prone to occiir. Establishing a competitive mechanism by introducing management mode of pe
44、rformance objectives contribute institutions to achieving greater social benefits. 2. Scientific system and good operating mechanism, built by the public institutions based on objective management, are able to folly mobilize the enthusiasm of the staff. Performance objective management in public ins
45、titutions should reflect the characteristics of the institution, public institution is not to pursuit maximize profits for its behavior target, and not driven by profit motives, contrary, it should be driven by social responsibility, and pursuit of maximization of social benefits. When the target is
46、 decomposed， the manager must take fully into account the traits of institution， thus make evaluation in line with the actual needs. The institutions mission is decomposed into a series of specific targets which are clear and measurable, so that employees are able to have clear working objectives， m
47、obilize fblly their enthusiasm and enhance their stress awareness and responsibility. 3. Building a scientific and standardized assessment criteria, and perfecting the incentive mechanism. Scientific and rational assessment contents and assessment criteria is the key to performance appraisal of mana
48、gement by objectives. Scientific job descriptions and performance evaluation checklist, perfecting evaluation of organization performance review process is the basis of completing performance assessment. Based on objective outcome evaluations on employees 1 punishments, examination system of incentive effect is clear, and overall efficiency is improved. 4. Create a feedback mechanism to enhance employee satisfaction. Performance appraisal feedback of assessment results timely is more important than the results, accurate feed