摘 要 胜任特征是20 世纪70 年代初起源于美国的一个管理概念，用来区分那些个体所拥 有的导致其在某个岗位或职位取得优秀绩效的潜在的特征术语。本研究以教学研究型大 学为研究背景，选取研究生为研究对象，采用行为事件访谈法和问卷调查法对教学研究 型大学的研究生进行了实证研究。从理论与实证相结合的角度，分析研究生要取得优秀 绩效需要具备的特征，探讨适宜从事科学研究的大学生特征的组成，从而建立了教学研 究型大学研究生胜任特征模型，并分析不同的社会群体（研究生、研究生导师和用人单 位）对研究生胜任特征评价的差异性。 本文在对教学研究型大学的发展和胜任特征相关理论文献综述的基础上，总结前人 的研究成果，采用文献综述法和专家法收集胜任特征条目，编制了包括43 个胜任特征 条目的胜任特征词典；然后选取典型研究生进行行为事件访谈，分为绩优组和普通组， 得到了包括20 个胜任特征条目的教学研究型大学研究生的初始模型；再次通过问卷调 查，对研究生胜任特征条目进行验证。本次向研究生、研究生导师和用人单位共发放260 份问卷，有效问卷186 份，问卷的有效率为72%；最后使用SPSS16.0 对调查问卷结果 进行因子分析，将教学研究型大学胜任特征分六因子，其中沉稳踏实、主动积极、自我 概念、独立性和感恩孝顺为个人特质；自我学习与探索能力、专业知识和技术、自我控 制为学习与科研能力；社会经验和人际交往沟通协调能力为人际能力；解决问卷的能力、 目标管理能力、关注绩效为目标和行动；成就欲、分析式思维、系统思维和概括性思维 为思维为思维能力；责任感、自我反省能力和原则性为坚定承诺。六个因子的特征值之 和占总特征值的77.645%，从而很好的解释了教学研究型大学研究生胜任特征的内部结 构，最终确定了教学研究型大学研究生的胜任特征模型。 本文研究的成果可以为教学研究型大学面试与选拔、教学和培训、绩效评估和综合 素质测评、研究生职业生涯管理等工作中提供重要参考和理论依据。

ABSTRACT Competency research was start from US's management concept in early-1970s’, The concept of competency refer to the characteristic, which differentiates excellent performance from normal ones. This research take the teaching research university as the study background, selects the graduate student as the object of study, empiloys the behavior event interview and the questionnaire survey to explore graduate students’s compentency in the teaching research university.From the theory and the real angle to discuss excellent graduate student need to obtain what competency and what graduate student suit to being admit to teaching research school, thus established competency model of graduate student in eaching research school, and analyzed the different social group (graduate student, graduate student teacher and Employer)of different opinion on competency of graduate student. This article based on the teaching research university's development and the competency correlation theories, uses the literature summary law and the expert law to stablish competency dictionary; Then carries on the behavior event interview to 14 graduate students,which including 8 superior people, 6 ordinary people. Obtained including 20 competency clause initial model on teaching research university of graduate student; Through the questionnaire carry on the model of graduate student’ competency confirmation once more. This time provides 260 questionnaire (graduate student 100, graduate student teachers 60, employer 60), effective questionnaire 186, questionnaire effectiveness is 72%; Finally uses SPSS16.0 to carry on the factorial analysis for the questionnaire result, teaching research university competency divide to six factor, calm steadfast, initiative positive, the self-concept, the independence and feel grateful filial as the factor one, named for individual special characteristic; The self-study and exploration ability, the specialized knowledge and the technology, the self-control as the factor two, named the study and scientific research ability; social experience and human communication coordinated ability as factor three, named manner border ability; Solution questionnaire's ability, management by objectives ability, the attention achievements as the factor four, named the goal and the motion; The achievement desire, the analytic thought, system thought and the concise thought as the factor five, named the ability of thought; sense of responsibility, self-introspection ability and the sense of principle as the factor six, named the firm pledge. The six factor's sum of characteristic value accounts for the total characteristic value 77.645%, thus excellently explanation internal structure of teaching research university graduate students’s compentency, finally determined the teaching research university graduate student's competency model. This article achievement can help teaching research university with select and interview, teaching and training, achievements appraisal and overall quality evaluation, graduate student professional management, which provides the important reference and the theory basis.