【正文】 論文題目：（中文） 基于平衡計(jì)分卡的 R 單位科研部門(mén) 績(jī)效考核體系研究 （外文） The study of performance evaluation system based on BSC for UNIT R scientific research department 所在院、系、所 ： 中國(guó)人民大學(xué)勞動(dòng)人事學(xué)院 專(zhuān)專(zhuān)業(yè)、名、稱(chēng) ： 人力資源管理 指專(zhuān)導(dǎo)專(zhuān)教專(zhuān)師 姓專(zhuān)名、職專(zhuān)稱(chēng) ： 石偉 教授 論 文 主 題 詞 ： 平衡計(jì)分卡；科研部門(mén)；績(jī)效管理 學(xué) 習(xí)專(zhuān)期專(zhuān)限 ： 2022 年 9 月至 2022 年 7 月 論文提 交 時(shí) 間 ： 2022 年 4 月 30 日 1摘 要平衡計(jì)分卡（Balanced Scorecard）它是由美國(guó)著名的管理大師羅伯特卡普蘭(Robert S. Kaplan)和復(fù)興方案國(guó)際咨詢(xún)企業(yè)總裁戴維諾頓(David P. Norton)總結(jié)了十二家大型企業(yè)的業(yè)績(jī)?cè)u(píng)價(jià)體系的成功經(jīng)驗(yàn)的基礎(chǔ)上提出的具有劃時(shí)代意義的戰(zhàn)略管理業(yè)績(jī)?cè)u(píng)價(jià)工具?？ㄆ仗m和諾頓將平衡計(jì)分卡比作“飛機(jī)駕駛艙” ，在這個(gè)駕駛艙的儀表盤(pán)上顯示了與企業(yè)戰(zhàn)略相關(guān)的各種信息。平衡計(jì)分卡能從四個(gè)層面來(lái)觀(guān)察企業(yè)，這四個(gè)層面是財(cái)務(wù)、客戶(hù)、內(nèi)部業(yè)務(wù)流程、學(xué)習(xí)與成長(zhǎng)。作為執(zhí)行績(jī)效管理的工具，近十年來(lái)平衡計(jì)分卡在全球的管理實(shí)踐中得到了廣泛的運(yùn)用，在我國(guó)也有眾多的知名企業(yè)將平衡計(jì)分卡應(yīng)用于企業(yè)的績(jī)效管理實(shí)踐中，并取得了一定的效果，但將平衡計(jì)分卡應(yīng)用于科研機(jī)構(gòu)的理論研究與實(shí)踐卻不多。本文以 R 單位作為案例研究對(duì)象，深入剖析了單位科研部門(mén)的績(jī)效考核現(xiàn)狀，結(jié)合績(jī)效管理理論，全面、系統(tǒng)地分析了 R 單位科研部門(mén)績(jī)效考核中存在的問(wèn)題，找出問(wèn)題產(chǎn)生的根源，并提出解決問(wèn)題的措施，建立基于平衡計(jì)分卡的績(jī)效考核體系。從引入平衡計(jì)分卡必要性、可行性，建立的步驟，設(shè)計(jì)具體的績(jī)效考核指標(biāo)、實(shí)施考核與結(jié)果應(yīng)用，到應(yīng)用效果的分析以及發(fā)現(xiàn)的不足等方面進(jìn)行了詳細(xì)的闡述，并提出了進(jìn)一步優(yōu)化平衡計(jì)分卡的建議。其中本文在確定關(guān)鍵績(jī)效指標(biāo)時(shí)，結(jié)合 R 單位科研部門(mén)的具體實(shí)際，加了了第三方評(píng)價(jià)層面的考核指標(biāo)，由相關(guān)業(yè)務(wù)部門(mén)進(jìn)行評(píng)分，以達(dá)到全面、客觀(guān)地考核科研部門(mén)的整體績(jī)效，為 R 單位建立一套適用于本單位科研部門(mén)的績(jī)效考核體系提供了有意義的研究與指導(dǎo)。本文的研究對(duì)平衡計(jì)分卡應(yīng)用于科研部門(mén)的績(jī)效考核實(shí)踐進(jìn)行了探討，對(duì)行業(yè)內(nèi)其它相似單位完善科研部門(mén)績(jī)效考核體系，在理論和實(shí)踐上都具有可借鑒的意義。關(guān)鍵詞：平衡計(jì)分卡；科研部門(mén)；績(jī)效考核2AbstractThe Balanced Score Card (BSC) is summed by the well known USA management Gurus MR Robert S. Kaplan, and the international consulting firm president of Renaissance Solutions MR DAVID P. Norton, proposed landmark Strategic management tool for performance evaluation, based on 12 large enterprises Successful Experiences of the performance evaluation system. Mr. Kaplan and Mr. Norton, pare the Balanced Scorecard to an aircraft cockpit, the instrument panel of which displays various information related to the enterprise strategy. BSC observes the Enterprise from four aspects, that is, finance, client, internal business process, learning and growth. As a tool of implementing performance management, the Balanced Scorecard has been widely used in the global management for the recent ten years, in China。 many wellknown enterprises use BSC in performance management practice, and achieved satisfactory results. However, theoretical researches and practices on the applications of Balanced Scorecard in scientific research institutions are few.The article, taking unit R as the object of case study, offers deep insight into the performance evaluation current situation of the unit39。s scientific research department, bing with performance management theory, a prehensive, systematic analysis of problems existing in the performance evaluation of R unit scientific research department is carried out, the root of problem is identified, and the solutions of problem are proposed, hence, the performance evaluation system based on BSC is established. In the article, a wide range of issues are expatiated, from the necessity and feasibility for the introduce of Balanced Scorecard, the establishment procedures, the specific designed performance evaluation indexes, the enforcement and result application, to analysis of application effect as well as the shortage found in the use, etc., and a further suggestion for optimized Balanced Scorecard is made. When designing key performance indicators, the article bined with the specific 3conditions of scientific research department of R unit, increase the appraisal indicator of a thirdparty appraisal level, graded by relevant business departments, in order to achieve a prehensive and objective appraisal of the overall performance of scientific research department, which provide significant research and guidance for unit R to establish a performance evaluation system applicable to its scientific research department .In the study of the article, the performance evaluation practices that Balanced Scorecard is applied in scientific research departments are discussed , which have a referential significance for perfecting performance evaluation system of similar departments within the same industry within the theory and practice.Key words: Balanced Scorecard。 Scientific Research Department。 Performance Evaluation1目 錄第 1 章 前 言 .............................................1 選題的背景及意義 .............................................1 選題的背景 ...............................................1 選題的意義 ...............................................2 研究的思路與方法 .............................................3 研究的思路 ...............................................3 研究的方法 ...............................................4 研究?jī)?nèi)容與論文框架 ...........................................4 論文的框架結(jié)構(gòu) ...........................................4 研究?jī)?nèi)容 .................................................5 論文的貢獻(xiàn) ...................................................6第 2 章 文獻(xiàn)綜述 ..........................................7 績(jī)效管理的理論 ...............................................7 績(jī)效 .....................................................7 績(jī)效管理 .................................................9 績(jī)效考核 ................................................10 績(jī)效考核與績(jī)效管理的區(qū)別 ................................11 績(jī)效考核的方法綜述 ......................................13 平衡計(jì)分卡理論 ..............................................18 平衡計(jì)分卡理論的簡(jiǎn)介 ....................................18 平衡計(jì)分卡理論的核心 ....................................20 平衡計(jì)分卡戰(zhàn)略地圖 ......................................20 平衡計(jì)分卡理論的特點(diǎn)與優(yōu)勢(shì) ..............................22 平衡計(jì)分卡理論的主要內(nèi)容 ................................25 平衡計(jì)分卡的應(yīng)用 ............................................272 平衡計(jì)分卡的應(yīng)用基礎(chǔ)分析 ................................27 平衡計(jì)分卡在科研機(jī)構(gòu)應(yīng)用分析 ............................30第 3 章 R 單位績(jī)效管理現(xiàn)狀及問(wèn)題分析 ......................32 R 單位基本概況 ...............................................32 R 單位科研部門(mén)概況 ...........................................33 R 單位科研部門(mén)組織構(gòu)架 ...................................34 R 單位科研部門(mén)人員構(gòu)成及特點(diǎn) ......