基于平衡计分卡的R单位科研部门绩效考核体系研究

论文题目：（中文）基于平衡计分卡的R单位科研部门绩效考核体系研究（外文）ThestudyofperformanceevaluationsystembasedonBSCforUNITRscientificresearchdepartment所在院、系、所：中国人民大学劳动人事学院专专业、名、称：人力资源管理指专导专教专师姓专名、职专称：石伟教授论文主题词：平衡计分卡；科研部门；绩效管理学习专期专限：2005年9月至2007年7月论文提交时间：2010年4月30日1摘要平衡计分卡（BalancedScorecard）它是由美国著名的管理大师罗伯特·卡普兰(RobertS.Kaplan)和复兴方案国际咨询企业总裁戴维·诺顿(DavidP.Norton)总结了十二家大型企业的业绩评价体系的成功经验的基础上提出的具有划时代意义的战略管理业绩评价工具。卡普兰和诺顿将平衡计分卡比作“飞机驾驶舱”，在这个驾驶舱的仪表盘上显示了与企业战略相关的各种信息。平衡计分卡能从四个层面来观察企业，这四个层面是财务、客户、内部业务流程、学习与成长。作为执行绩效管理的工具，近十年来平衡计分卡在全球的管理实践中得到了广泛的运用，在我国也有众多的知名企业将平衡计分卡应用于企业的绩效管理实践中，并取得了一定的效果，但将平衡计分卡应用于科研机构的理论研究与实践却不多。本文以R单位作为案例研究对象，深入剖析了单位科研部门的绩效考核现状，结合绩效管理理论，全面、系统地分析了R单位科研部门绩效考核中存在的问题，找出问题产生的根源，并提出解决问题的措施，建立基于平衡计分卡的绩效考核体系。从引入平衡计分卡必要性、可行性，建立的步骤，设计具体的绩效考核指标、实施考核与结果应用，到应用效果的分析以及发现的不足等方面进行了详细的阐述，并提出了进一步优化平衡计分卡的建议。其中本文在确定关键绩效指标时，结合R单位科研部门的具体实际，加了了第三方评价层面的考核指标，由相关业务部门进行评分，以达到全面、客观地考核科研部门的整体绩效，为R单位建立一套适用于本单位科研部门的绩效考核体系提供了有意义的研究与指导。本文的研究对平衡计分卡应用于科研部门的绩效考核实践进行了探讨，对行业内其它相似单位完善科研部门绩效考核体系，在理论和实践上都具有可借鉴的意义。关键词：平衡计分卡；科研部门；绩效考核2AbstractTheBalancedScoreCard(BSC)issummedbythewellknownUSAmanagementGurusMRRobertS.Kaplan,andtheinternationalconsultingfirmpresidentofRenaissanceSolutionsMRDAVIDP.Norton,proposedlandmarkStrategicmanagementtoolforperformanceevaluation,basedon12largeenterprisesSuccessfulExperiencesoftheperformanceevaluationsystem.Mr.KaplanandMr.Norton,comparetheBalancedScorecardtoanaircraftcockpit,theinstrumentpanelofwhichdisplaysvariousinformationrelatedtotheenterprisestrategy.BSCobservestheEnterprisefromfouraspects,thatis,finance,client,internalbusinessprocess,learningandgrowth.Asatoolofimplementingperformancemanagement,theBalancedScorecardhasbeenwidelyusedintheglobalmanagementfortherecenttenyears,inChina;manywell-knownenterprisesuseBSCinperformancemanagementpractice,andachievedsatisfactoryresults.However,theoreticalresearchesandpracticesontheapplicationsofBalancedScorecardinscientificresearchinstitutionsarefew.Thearticle,takingunitRastheobjectofcasestudy,offersdeepinsightintotheperformanceevaluationcurrentsituationoftheunit'sscientificresearchdepartment,combingwithperformancemanagementtheory,acomprehensive,systematicanalysisofproblemsexistingintheperformanceevaluationofRunitscientificresearchdepartmentiscarriedout,therootofproblemisidentified,andthesolutionsofproblemareproposed,hence,theperformanceevaluationsystembasedonBSCisestablished.Inthearticle,awiderangeofissuesareexpatiated,fromthenecessityandfeasibilityfortheintroduceofBalancedScorecard,theestablishmentprocedures,thespecificdesignedperformanceevaluationindexes,theenforcementandresultapplication,toanalysisofapplicationeffectaswellastheshortagefoundintheuse,etc.,andafurthersuggestionforoptimizedBalancedScorecardismade.Whendesigningkeyperformanceindicators,thearticlecombinedwiththespecific3conditionsofscientificresearchdepartmentofRunit,increasetheappraisalindicatorofathird-partyappraisallevel,gradedbyrelevantbusinessdepartments,inordertoachieveacomprehensiveandobjectiveappraisaloftheoverallperformanceofscientificresearchdepartment,whichprovidesignificantresearchandguidanceforunitRtoestablishaperformanceevaluationsystemapplicabletoitsscientificresearchdepartment.Inthestudyofthearticle,theperformanceevaluationpracticesthatBalancedScorecardisappliedinscientificresearchdepartmentsarediscussed,whichhaveareferentialsignificanceforperfectingperformanceevaluationsystemofsimilardepartmentswithinthesameindustrywithinthetheoryandpractice.Keywords:BalancedScorecard;ScientificResearchDepartment;PerformanceEvaluation1目录第1章前言.............................................11.1选题的背景及意义............................................11.1.1选题的背景..............................................11.1.2选题的意义..............................................21.2研究的思路与方法............................................31.2.1研究的思路..............................................31.2.2研究的方法..............................................41.3研究内容与论文框架..........................................41.3.1论文的框架结构..........................................41.3.2研究内容................................................51.4论文的贡献..................................................6第2章文献综述..........................................72.1绩效管理的理论..............................................72.1.1绩效....................................................72.1.2绩效管理................................................92.1.3绩效考核...............................................102.1.4绩效考核与绩效管理的区别...............................112.1.5绩效考核的方法综述.....................................132.2平衡计分卡理论.............................................182.2.1平衡计分卡理论的简介...................................182.2.2平衡计分卡理论的核心...................................202.2.3平衡计分卡战略地图.....................................202.2.4平衡计分卡理论的特点与优势.............................222.2.5平衡计分卡理论的主要内容...............................252.3平衡计分卡的应用...........................................2722.3.1平衡计分卡的应用基础分析...............................272.3.2平衡计分卡在科研机构应用分析...........................30第3章R单位绩效管理现状及问题分析.....................323.1R单位基本概况..........