1、绩效管理的理论,经验,与研究,丁元美国加州州立大学富乐顿分校 公共行政研究所,大纲,绩效管理,评估,与指标 绩效管理的发展简史 联邦政府绩效管理的策略与经验 州与地方政府绩效管理的策略与经验 政府绩效管理方面的研究 Who, How, and What 结论 政府绩效管理的挑战和未来趋势,绩效管理,评估,与指标,Why Measuring Performance?,What gets measured, gets done You cant tell success from failure If you cant see success, you cant learn from it If
2、you cant see success, you cant reward it If you cant see failure, you cant correct it If you can demonstrate results, you can win political and public supportDavid Osborne & Ted Gaebler, 1992. Reinventing Government: How the Entrepreneurial Spirit is Transforming the Public Service, Addison-Wesley,定
3、义绩效管理 A system to generate performance information through strategic planning and performance measurement; connect performance information to decision-making process; and ideally improve government decisions and management capacityDonald Moynihan, 2008. The Dynamics of Performance Management. George
4、town University Press , Chapter 2, pp. 5-7,Concept,定义绩效指标 Periodic monitoring and reporting of data related to government policies or programs 民工 protests How do we develop 绩效指标 to track local government policy or program in dealing with this issue?,Congressional Research Service , 2011. Obama Admin
5、istration Agenda for Government Performance: Evolution and Related Issues for Congress,Inputs,Outputs,Activities,End Outcomes,Intermediate Outcomes,Is there one best performance measurement? Different purposes require different measurementsRobert Behn, 2003. “Why Measure Performance? Different Purpo
6、ses Require Different Measures” Public Administration Review, 63 (5): 586-606,Criteria for Designing Performance Measures Specific the nature and the required level of performance can be identified Measurable the required performance can be quantified Achievable the required performance associated w
7、ith the indicator can be accomplished Relevant the required performance will contribute to the agency/programs goals Time-specific there is a deadline or specified time frameFor more information about the types and criteria of performance measures, see Office of Management and Budget, 2003. Performa
8、nce Management Challenges and Strategies; Richard Boyle, 2009. Performance Reporting: Insights from International Practice. IBM Center for The Business of Government,More Criteria for Selecting Performance Measures Understanding to users of what is measured and reported Feasibility of collecting rea
9、sonably valid data on the measurements Manipulability do not collect measures that program personnel can easily manipulate to their advantage Comprehensiveness measurements should identify both negative and positive outcomes Cost of collecting the dataExample Albemarle County, VA post performance in
10、dicators to allow citizens to track the countys progress on important areas of service, http:/www.albemarle.org/department.asp?department=perfmgtHarry Hatry, 2006. Performance Measurement: Getting Results, The Urban Institute Press, p. 62,A good government listens and a better government acts on wha
11、t it hears! Citizen surveying is a useful tool for performance measure, evaluation, and management, but many elected officials are cautious about using it Build acceptable benchmarks and performance measures Assess government performance over time and the best indicator of government performance is
12、citizen satisfaction Help political leaders with strategic planning and set new objectives and identify community priorities to improve servicesFor more information, see International City/County Management Association (ICMA) webpage at http:/icma.org/en/results/surveying/national_citizen_survey,绩效/
13、项目评估 Use systematic and analytic methods to find out how well programs are working, whether they are achieving their objectives and how can they be improved Example: Shanghai municipal government institutes new programs to improve 民工services,Most Common Ways to Evaluate Program Performance Experimen
14、tal DesignGroup Random. Obser.1 Treatment Obser.2 ComparisonExperimental Re Oe1 X Oe2 Oe2-Oe1Control Rc Oc1 Oc2 Oc2-Oc1For practical, legal, and ethical reasons, this may not always be possible High costs (not always),Example - The Pennsylvania state government conducted a large experimental design
15、to evaluate the effectiveness of various approaches to improving tax compliance by businesses that were late in paying their sales taxes. Randomly assigned 7,000 businesses to receive one of seven letters, ranging from long threatening to short and gentle pleading A short letter (1/3 page) that tax
16、is due and the business is liable produced $ 6 million more tax revenue than the states existing letter (full-page, detailed letter) Cost of the trial was $100,000Lawrence Sherman, Edward Poole, and Christopher Koper, Preliminary Report to the Pennsylvania Department of Revenue on the “Fair Share“ P
17、roject, Jerry Lee Center of Criminology, Fels Institute of Government, University of Pennsylvania, 2004,Pretest,Treatment,Posttest,Matching,Comparability?,Compare,Compare,Treatment,Comparison,Treatment Group O1 X O2 Comparison Group O1 O2,Pre/Post-test Comparison Design,Interrupted Time Series Desig
18、nO1 O2 O3O15 X O16 O17 O18O30Interrupted Time Series with Comparisons Design,Outcome of Interest,Time,What happened with the government program,What would have happened without government program,Program starts,Program impact,Comparison group,Pretest,Treatment,Posttest,Compare,Single group,O1 X O2,S
19、ingle Group Pre/Post-test Design,绩效管理 Integration of a public agencys comprehensive efforts to achieve its objectives through improving decision-making and management capacity Strategic planning, performance measure, decision-making, organizational structure, leadership, employee motivation, organiz
20、ational culture Making public agencies more effective to serve public interest,绩效管理的发展简史,四大传统,Alexander Hamilton The 1st Treasury Secretary 1789-1795,Woodrow Wilson The 28th President 1913-1921,James Madison The 4th President 1809-1817,Thomas Jefferson The 3rd President 1801-1809,大辩论: How to create
21、a government strong enough to be effective, but not too strong to threaten liberty?,The Hamiltonian Tradition,民意代表 moving in and out of government Delegation of administrative power is needed Strong executive, powerful administrative system, and limited citizen role缺点 No matter how efficient governm
22、ent may be, how can it solve problems it cannot control completely? 强势政府 vs.小社会;万能政府 vs.有限政府Donald Kettl, 2002. The Transformation of Governance. Johns Hopkins University Press, Chapter 2,The Jeffersonian Tradition,Individual liberty is the foundation of society Keep power in peoples hands (i.e., le
23、gislature) If government must exercise power, it should be state and local governments 缺点: Lack of accountability when responsibility is spread across the entire political landscape?,The Madisonian Tradition,Architect of balance-of-power system Worried about the threat of the abuse of executive powe
24、r Balance political powers among competing forces“If men were angels, no government would be necessary. If angels were to govern men, neither external nor internal controls on government would be necessary. In framing a government which is to be administered by men over men, the great difficulty lie
25、s in this: You must first enable the government to control the governed; and in the next place, oblige it to control itself” (The Federalist 51),缺点 How can we secure effective government when the separation-of-powers system diffuses responsibility? Who is in charge when everyone is in charge? 一个和尚挑水
26、喝，倆个和尚抬水喝，三个和尚没水喝 (责任不落实）,The Wilsonian Tradition,America at the end of the 19th century Development of the West presented opportunities for corruptions Corporations had more power and threatened public interests Increased class conflicts, social problems, and antagonism toward government,Effective
27、public administration is essential to a stronger, better-run government and to counter political corruption, corporate power, and improve the life of the poor and weak Politics set tasks for administration, but should not manipulate its operations Separating administration from politics could enhanc
28、e administrative efficiency and accountabilityWoodrow Wilson, 1887. “The Study of Administration,” Political Science Quarterly, Vol.2,缺点 How can we secure efficient and responsive government when there is no chain of hierarchical authority linking policymakers with those who deliver public services?
29、,Wilsons and Other Traditions Elected officials are buyers (principals) of public service and bureaucrats are sellers (agents) Principals pass laws and use appropriations and appointments to monitor the agentsPrincipal Agent Theory - Bureaucracy is self-seeking Information asymmetry Seeking autonomy
30、 ShirkingAnthony Downs, 1967, Inside Bureaucracy; Gordon Tullock, 1965, The Politics of Bureaucracy,Government is Inefficient Public agencies maximize budget not results Financial/personnel rules limit managerial discretion and monitor performance PM Can Improve Government Accountability Set up clea
31、r and measurable goals Give managers flexibility in using resources Hold managers accountable for results Era of Governance by PM GPRA of 1993, reinventing government & NPR during Clinton President Bushs Management Agenda and PART(项目评估分级工具)Donald Moynihan, 2008. The Dynamics of Performance Managemen
32、t, Georgetown University,Y,X,Agency Inefficiency (cost),Public Agency Size,X1,y1,y2,y2,X2,Three major movements The Progressive Era 进步年代(1890-1920) The New Public Administration新公共行政 (1960s and 1970s) The New Public Management新公共管理(1980s-),The Progressive (1890-1920),背景 Popular outrage against corru
33、ption, big business, and social ills Middle class and intellectuals demanded a transformation of the society and challenged the status quo in local governments and social classesMichael McGerr, 2003. A Fierce Discontent: The Rise and Fall of the Progressive Movement in America, 1870-1920. Oxford Uni
34、versity Press, Part Two: Progressive Battles,Women Suffrage for Equal Treatment and Vote,Labor Rights for Workplace Safety, Health, Fair Wage, and Collective Bargaining,Upper-class, Philanthropic Causes, and Estate Tax,Community Activism for the Immigrants and Poor,Andrew Carnegie,Jane Addams and Po
35、or House,Promoted an active national government (Hamiltonian) to fight corruptions in local governments, big businesses, and social ills Women rights to vote Child labor legislation Minimum wage Anti-trust laws Estate tax legislationGuy Adams, 1992. “Enthralled with Modernity: The Historical Context
36、 of Knowledge and Theory Development in Public Administration” Public Administration Review, Vol.52, No.4, pp.363-373,影响 Focus on professionalism and build a cleaner and more efficient bureaucracy Remove patronage system and created a merit-based civil service (The Pendleton Act of 1883) by separati
37、ng politics and administration (Wilsonian) applying scientific analysis to achieve greater efficiency focusing on hierarchical and top-down control,The New Public Administration 新公共行政运动 (1960s-1970s),背景 Social upheaval called for a government response to poverty, the Vietnam War, and racial injustic
38、e,Dwight Waldo,George Frederickson,Frank Marini, ed., 1971. Toward a New Public Administration. Chandler Publishing George Frederickson, 1980. The New Public Administration. University of Alabama Press Charles T. Goodsell, 2004. The Case for Bureaucracy: A Public Administration Polemic, 4th ed. CQ P
39、ress,Charles Goodsell Blacksburg Manifesto,影响 Social equity is the primary goal in the performance and delivery of public services Public administrator has a desire for social equity and sensitivity to the needs of citizens and the problems of social injustice Public administrators should be committed to discover and revitalize public interest Cost benefit analysis of government efficiency and performance should consider more perspectives of the poor and weak in the society 雷大雨小,
