【作者】 费军；

【导师】 陈绵云；

【作者基本信息】 华中科技大学 ， 控制理论与控制工程， 2006， 博士

【摘要】 系统科学运用整体的世界观和方法论,研究现实世界各类事物的性质、结构、功能及演化的共性规律,它的迅速发展对各门学科都产生了重大影响。在知识经济时代,系统科学的不断发展与成熟,将进一步推动科学技术和社会经济向前发展。领导者激励、监督与约束问题是目前学术界十分活跃的研究课题,本文在国内外相关研究的基础上,运用系统科学的思想和方法,构建了政府领导干部控制系统的理论框架,并对相关问题进行了较为系统深入的研究。论文的主要内容如下:从受托责任理论和委托代理理论出发,通过对受托责任关系和委托代理关系的分析,论述政府领导干部控制的必要性与可能性。运用系统科学原理,将政府领导干部激励、监督与约束等问题整合到政府领导干部控制的整体框架下,形成一个系统的论题。建立政府领导干部控制系统模型,将政府领导干部控制全过程抽象为目标映射、状态转移映射、输出映射、状态估计映射及激励映射等不同环节的组合。在此基础上提出由目标设定子系统、监测评价子系统和激励调节子系统等三部分组成的政府领导干部控制系统一般框架。运用一般系统论和泛系理论,对政府领导干部控制系统的可观测性和可控性问题进行了探讨。在目标设定子系统研究中,首先分析了组织目标与政府领导干部控制系统目标状态的对应关系。在责任控制概念的基础上,提出责任导向状态的概念,将控制中的核心概念——“状态”与管理中的核心概念——“责任”联系起来,形成政府领导干部控制系统研究的切入点,建立了平衡计分卡框架下责任导向状态的表示方法,并对状态变量的选取、状态变量属性的定义及状态变量的衡量标准等问题进行了探讨。在监测评价子系统研究中,提出了责任审计的概念,探讨了运用多种手段进行状态变量多角度监测的问题。研究了定量状态变量和定性状态变量衡量的有关问题,并运用解模糊决策方法对定性状态变量进行量化处理。最后,以基层税务机关领导干部控制系统为例,采用模糊层次分析法确定了系统中各状态变量的权重,并在此基础上实现系统状态的综合评价。在激励调节子系统研究中,通过对激励机制的探讨,将激励手段作为控制输入进行研究,并探讨了输入变量选取及控制输入合成的有关问题。最后,对控制输入中风险报酬确定模型进行了分析。本文还分别从制度和技术两个层面对政府领导干部控制系统的建立进行了探讨,指出政府领导干部控制系统的制度支撑是组织治理、技术支撑是政府领导干部控制决策支持系统。通过分析政府领导干部控制系统中各子系统与组织治理结构的对应关系,论述了如何从制度上实现政府领导干部控制系统。最后,对政府领导干部控制决策支持系统的概念、目标、功能与结构体系进行了研究。本文的研究成果及创新点主要表现在如下五个方面:①在系统思想指导下,用政府领导干部控制的概念整合领导者激励、监督与约束等问题;②将政府领导干部控制动态过程抽象为政府领导干部控制系统模型,并在此基础上构建了政府领导干部控制系统一般框架;③以责任控制概念为基础,提出责任导向状态的概念,并对其进行了系统研究;④提出责任审计的概念,从理论到应用层面实现政府领导干部控制中的监测与评价;⑤提出了政府领导干部控制系统的制度安排与技术实现手段。更多还原

【Abstract】 Systems science deals with the general law about nature, structure, function and evolution of different kinds of things in the real world with the world view and methodology of wholeness. The rapid development of systems science has had great effects on a variety of disciplines. In the era of knowledge-based economy, the continuous development and maturation of systems science will promote the development of science, technology, social and economy further. The research on incentive, supervision and restraint for leaders has become active issue in the academic world at present. Based on the related researches at home and abroad, this dissertation establishes the theoretical framework of government leaders control system (GLCS) and studies some related issues systematically and deeply.The main contributions of this dissertation are summarized as following:Based on the analyses of accountability relation and principal-agent relation, the essentiality and possibility of government leaders control are discussed. Then the issues relative to incentive, supervision and restraint for government leaders are put into a whole framework and form a systematic topic according to the principles of systems science.A model of GLCS is set up which abstracts the process of government leaders control as a combination of goal mapping, state transition mapping, output mapping, state estimation mapping and incentive mapping. Based on the model, the general framework of GLCS composed of goal setting subsystem, monitoring-evaluating subsystem and incentive adjusting subsystem is built up. The observability and controllability of GLCS are also studied by using general system theory and pansystem theory.The correspondence between the goal of organization and the goal state of GLCS is discussed firstly in the study of goal setting subsystem. Based on the idea of responsibility-based control, the concept of responsibility-oriented state is presented. It relates the“state”—the core concept in control to the“responsibility”—the core concept in management. Then the representation method of responsibility-oriented state under the framework of balanced score card (BSC) is developed and the problems such as the selection of state variables, the identification of state variable attributes and the measurement standards of state variables are studied.In the research of monitoring-evaluating subsystem, a new type of audit named responsibility audit is presented and the issue of monitoring state variables with different means is studied. The measurements of quantitative state variables and qualitative state variables are dealt with respectively. The defuzzifying method, a new method for fuzzy multiattribute decision-making (MADM), is applied to quantify the qualitative state variables. Then the fuzzy analytic hierarchy process (Fuzzy-AHP) is used to determine the weights of state variables in the background of the basic level tax institution leaders control system. And the comprehensive evaluation method of system state is given at the end of this part.In the study of incentive adjusting subsystem, the incentive means are taken as control inputs and the related issues such as the selection of input variables and the synthesis of control inputs are discussed based on the analysis of incentive mechanics. And then, the determination model of risk fee in control inputs is studied.The paper also discusses the establishment of GLCS from the aspects of institution and technology respectively and proposes that the institutional support of GLCS is organization governance and the technical support of GLCS is decision support system (DSS). On the basis of the analysis of the correspondence relation between the subsystems of GLCS and organization governance structure, the institutional implement of GLCS is concerned. Finally, the concept, objective, function and architecture of government leaders control decision support system (GLCDSS) are discussed.The five research results and fresh ideas in this dissertation can be displayed as the following: the first one is integrating the issues of incentive, supervision and restraint for leaders with the idea of government leaders control under the guidance of system thinking; the second one is constructing the general framework of GLCS based on the GLCS model which is the abstraction of dynamic process of government leaders control; the third one is advancing the idea of responsibility-oriented state from the concept of responsibility-based control and studying them systematically; the fourth one is advancing the concept of responsibility audit to realize the monitoring and evaluating in government leaders control; the fifth one is advancing the institutional and technical support of GLCS.更多还原