V 摘 要 随着近些年科学技术的迅猛发展，科技创新是企业生存之本，研发人员成为企业的重要生产力，尤其对于信息安全这一新兴行业，研发能力的强弱将决定企业的兴衰成败，研发人员的管理也将成为企业人力资源管理的重中之重，合理绩效考制度的实施为其中的关键一环，依靠一个先进的绩效考核机制建立一支优秀的研发队伍，以此来提升企业竞争力。 本文以CA信息安全公司为研究对象，对研发人员绩效考核问题进行了研究。在研究中，首先对绩效考核的相关理论进行了论述，探讨了绩效考核的基本概念，常用考核工具，知识型员工的特点，知识型团队绩效考核指标，为本文的研究奠定了理论基础。在理论分析的基础之上，本文针对CA公司研发人员绩效考核的现状以及存在的问题进行了分析，通过本文的研究看出，当前该公司绩效考核主体不全面，仅以部门为单位进行考核，而没有从项目团队层面进行考核；绩效考核指标不科学，考核指标模糊，无法量化，无法进行客观的考核；考核执行不严肃，缺乏绩效考核的沟通反馈，考核结果也没有合理运用，无法起到绩效激励作用。针对这样的问题和研发人员的工作特点，本文提出了将部门绩效、团队绩效、个人绩效三者相结合起来进行综合考核的思路，并给出了每个层面的考核指标、权重分布、考核周期、考核方法及考核结果运用的具体建议。 通过本文的研究，不仅清楚的认识到了CA公司绩效考核存在的问题，同时也为该公司研发人员的绩效考核体系建立了一套客观、全面的考核体系。旨在提升企业人力资源管理能力和促进企业战略目标的实现。

关键词：绩效考核；研发人员；知识型员工；信息安全 V

Abstract With the rapid development of science and technology in recent years, innovation of scientific and technological is the basis of enterprises existence. R&D personnel have become important productivity of enterprises, especially for the emerging industry of information security. The strength of R&D capabilities will determine the success or failure of enterprises. Management for R&D personnel will also become the top priority of the enterprise's human resource management. The implementation of the rational performance appraisal system is one of the key steps. It depends on an advanced performance appraisal mechanism to establish an excellent R&D team, and it will enhance the competitiveness of the enterprise. This paper takes CA Information Security Company as the research object and research the question of performance appraisal for R&D personnel. The related theory of performance appraisal was discussed first in this study, including the basic concepts of performance appraisal, common assessment tools, the characteristics of knowledge workers, and performance evaluation indicators of knowledge-based teams, which establish the theoretical foundation for this study. Based on the theoretical analysis, the current CA’s R&D staff performance appraisal system and existing problems were evaluated. We can see that the current performance appraial system in CA is not comprehensive through this study. Just performance appraisal was excecuted in department unit, but not in project team. Performance assessment indicators are not scientific. They are ambiguous and cannot be quantified. The result of performance appraisal is not objective. The excecution of performance appraisal is not seriously. There is no communication feedback. The results of performance appraisal have not been applied rationally. Performance incentives can not be excerted. Considering work characteristics of the R&D staff, this study proposes a comprehensive way of performance appraisal combining of departmental performance, team performance and personal performance in order to resolve these problems. It also provides suggestion for assessment indicators, weight distribution, assessment period, appraisal methods and application of appraisal results for every appraisal level. We can clearly understand the problems of CA's performance appraisal through this study. We can establish an objective and comprehensive assessment system for the R&D personnel, which improve the human resource management capabilities of enterprises and promote the realization of corporate strategic goals V

KEY WORDS: Performance appraisal, R&D staff, Knowledge workers, Information security V 目录

第1章 绪论 ....................................................................................................................... 1 1.1 研究背景 ............................................................................................................... 1 1.2 国内外绩效考核研究现状 ................................................................................... 2 1.2.1 国外绩效考核的研究 ................................................................................. 2 1.2.2 国内绩效考核的研究 ................................................................................. 4 1.3 研究目的及意义 ................................................................................................... 5 1.4 研究思路及方法 ................................................................................................... 5 1.4.1 研究思路 ....................................................................................................... 5 1.4.2 研究方法 ..................................................................................................... 6 1.5 研究内容 ............................................................................................................... 6 第2章 绩效考核相关理论基础 ......................................................................................... 7 2.1 绩效考核的概念 ................................................................................................... 7 2.1.1 绩效考核的维度 ........................................................................................... 7 2.1.2 绩效考核的方法 ........................................................................................... 7 2.2 绩效考核的工具 ................................................................................................... 8 2.2.1 360度考核法 .............................................................................................. 8 2.2.2 关键绩效指标(KPI) ...................................................................................... 8 2.2.3 平衡计分卡（BSC） ................................................................................ 10 2.4 研发人员绩效考核理论 ....................................................................................... 10 2.4.1知识型员工的特点 ...................................................................................... 10 2.4.2知识型团队绩效考核指标 .......................................................................... 12 第3章 CA公司绩效考核体系现状分析 ......................................................................... 15 3.1 概要 ..................................................................................................................... 15 3.1.1 现状概述 ................................................................................................... 15 3.1.2 公司人力资源状况 ................................................................................... 17 3.2 公司绩效考核制度现状分析 ............................................................................. 20 3.2.1 现有人员绩效考核制度 ............................................................................. 20 3.2.2 研发人员绩效考核中存在的问题 ............................................................. 20 3.2.2 管理人员访谈结果 ................................................................................... 21 3.3 研发部门绩效考核中存在的问题及原因分析 ................................................... 22 3.3.1 仅对个人进行考核而不对项目团队考核 ................................................. 22 3.3.2 考核指标体系不合理 ............................................................................... 23 3.3.3 绩效考核的执行不严肃 ............................................................................. 23 3.3.4 考核结果没有被合理运用 ......................................................................... 24 第4章 CA公司知识型员工绩效考核体系构建 ............................................................. 25 4.1 设计思路 ............................................................................................................. 25 4.1.1采用科学的考评方式，选择恰当的考评主体 .......................................... 25 4.1.2 构建科学的考核指标 ................................................................................. 25 4.1.3 建立沟通反馈，合理运用绩效考核结果 ................................................. 26 4.2 绩效考核体系的构成 ......................................................................................... 26 4.3 绩效考核内容 ................................................................................................ 27