【作者】 董静；

【导师】 包国宪；

【作者基本信息】 兰州大学 ， 行政管理， 2012， 博士

【摘要】 政府绩效评估源自于英美等国为应对严重赤字局面的财政危机、管理失调失控、官僚制失灵的管理危机及公民强烈质疑政府的信任危机所推行的改革,并迅速引发了世界范围内的评估政府热潮。由于绩效评估本身固有的缺陷加之我国行政传统弊端的影响,绩效评估在我国实践中存在相当多的问题及困境,尚未形成一个清晰应对社会转型的绩效评估系统发展思路及组织管理框架,评估的控制导向、结果的“一票否决”制以及运动式、短视性等特征悖离了现代治理演变的发展趋向。如何对这些突出问题予以理性审视,在整个世界公共行政快速变革的潮流中构建契合我国实际发展的且更为规范及科学的绩效评估体系是亟待解决的重要研究议题。为此本文将研究内容界定为：基于公共行政范式及治理演变的绩效评估发展脉络及阶段性特征分析；基于重要维度的各国政府绩效评估组织体系国别比较；我国政府绩效评估的模式分析及对策建议,通过文献研究以及实证性案例分析为理论及实践提供有益的参鉴及指导。第二章通过对现代公共行政发展脉络进行梳理揭示出绩效评估随着公共行政及治理演变而呈现的阶段性特征及不同的关注焦点。政府绩效评估是从公共行政范式传统权威主导型治理机制下对程序、规则、效率的关注到新公共管理范式倡导市场力量的竞争主导型及权威主导型共同发挥作用的治理机制下对效益、效果、质量、回应性等关注焦点变化过程中的理性选择。新世纪以来,政府所面临的挑战和应对挑战的方式都比以往更加纷繁复杂,政府亟需通过新的方式来回应新世界秩序的挑战。在新治理范式及治理新趋势下政府绩效评估面临更多挑战,需从产出控制、成本分析转向从整个政府治理过程中看待绩效评估的对象、目标、方法,更多地将公民、信任、社会资本等元素融入到绩效评估价值中。第三章对英国、美国及中国绩效评估实践进行概述及梳理,一方面对第二章公共行政、治理及绩效评估演变给予实践演示及证明,更主要的是为后面章节对组织体系及模式分析提供基础资料。从制度变迁视角对我国政府绩效评估进行分析,发现实践呈现出由计划经济模式下中央政府推进转向双轨制下中央——地方政府共同推进,最终过渡到市场经济下中央——地方——社会治理结构联合推进的制度变迁方式,反映出由供给强制型制度变迁到需求诱致型制度变迁的转变。第四章从发生机理、组织方式、评估机构、参与程度、实施机制等重要维度展开绩效评估组织体系的国别比较,从组织体系角度考量可以有助于清晰勾勒在特定的政治体制、行政传统、行政文化等基础条件及背景下各国绩效评估是如何组织实施的,并推导出完善我国绩效评估组织体系的启示性结论。第五章是本文的核心部分。通过内容分析法进行多案例实证研究对我国政府绩效评估模式进行分析。研究编码表由行政层级、评估目的、评估机构、评估者、评估方式、结果运用、评估周期及持续时间等维度构成。研究发现：我国政府绩效评估实践主要体现为科层评估、参与评估、合作评估(委托)三种模式。基于对转型期我国行政发展特征及行政生态的考鉴并结合公共行政发展及治理演变的趋向,提出科层评估仍旧作为主导评估模式,采取谨慎态度推行参与评估,积极倡导委托评估模式,并逐渐形成政府与社会基于信任伙伴关系而开展的绩效评估发展格局及态势。文章最后根据组织体系比较及多案例研究中发现的诸多问题针对性地提出应对策略,以提升我国政府绩效评估的管理有效性并根本上驱动政府绩效的持续有效提升。更多还原

【Abstract】 Government performance evaluation derived from the response to the fiscal crisis of serious deficit situation, the management disorders and crisis, confidence crisis of the citizens to government and then rapidly became the worldwide reform wave. Owing to the inherent defects of performance evaluation and malpractice rooting in traditional public administration, there are a considerable number of problems and dilemmas in China’s practices. An important topic for discussion is to examine these questions rationally and construct more normative and reasonable performance evaluation system corresponding with the reality. Therefore this paper defines research contents as three aspects:development context and staged characteristic analysis of government performance evaluation based on the study of public administration paradigm and the evolution of governance; Comparison of important dimensions of performance evaluation organization system of various countries; Pattern analysis of China’s practices and the countermeasures with the purpose of providing theory study and practice with helpful reference and guidance.The second chapter reveals the evolution of public administration, governance and the staged characteristic and focus of attention about government performance evaluation. Actually, government performance evaluation is the rational choice in the change from public administration paradigm to public management paradigm. In the traditional governance system dominated by government authority, the focus and value orientation is procedures, rules, efficiency and so on. Relatively, in the governance system dominated by government authority and market mechanism, the key value orientation and focus is effectiveness, quality and the response to the public and customers. Since the21th century, the challenges and the ways of solutions in face of government is more complicated than ever before, as a result, government needs new concepts, new approaches and measures to respond to the challenges of the new world order. It is necessary to understand the objects, targets and methods of government performance evaluation in the whole governance process, as well as to merge the key elements of the public, trust and social capital with the value of government performance evaluation.The third chapter summarizes the government performance practices of the British, the United States and China. In analyzing China’s practices, the paper uses the theory of institutional change and finds that practices appear a transform trend from the force-derivative institutional change to induced institutional change.The fourth chapter compares the organization system of various countries by analyzing important dimensions such as the occurring mechanism, organization pattern, evaluation institution, participation degree and the implementing mechanism. Consequently this study can help to clearly draw the outline of how to organize and implement performance evaluation in certain political system, administrative tradition and administrative culture. In end, the paper deduces some helpful enlightenments for China. Chapter five is the last and central part of this paper. It analyzes the government performance patterns of China through the methods of content analysis and multiple cases research. The encode table consists of dimensions such as administrative level, evaluation purpose, evaluation institution, evaluator, way of evaluation, result, evaluation period and duration time. Research findings are:the main patterns in China are hierarchical governance evaluation, participation governance evaluation and collaboration governance evaluation. Hierarchical governance evaluation will still be the leading pattern in China; Participation governance evaluation should be carried out more prudently in the future; It is necessary to advocate the pattern of collaboration governance evaluation and gradually form the cooperative partnership relations between government and the society in carrying out government performance evaluation. Finally, the paper puts forward the countermeasures according to the problems and challenges at the present stage in order to promote the effectiveness of government performance evaluation management and continually drive government to promote performance and make more advances.更多还原