1、当代公共行政改革,第三讲 新西兰行政改革,背景,1950年，新西兰的人均收入在全世界排名第三，自此之后，这个有着340万人口的岛国在工业化国家中成为生产率年平均增长速度最慢的一个，失业率也从六七十年代的近乎零攀升到1984年的5.4%，人均收入的世界排名已经滑至第21位。政府控制着大部分的国民经济，大量的公共补贴、高额关税和进口控制。政府在1984年前投资于大国有企业的50个亿基本上没有纯收益。工资和物价几乎没有变化。广泛的社会安全保障网络,新西兰的政治制度基于英国西敏寺内阁政府制但有一些自己的特点。中央政府以大选时选出的一院制议会为基础议会设在惠灵顿. 虽然新西兰沒有成文宪法但政府的立法行政
2、和司法权在法律中制定得非常清楚. 英国君主-伊利莎白二世女王-是新西兰的法定国家元首但在政府的实际运作中并不发挥作用。总督是女王的代表承担女王的公共责任其中包括出席各种仪式召集特別会议及任命政府部长等重要职责。议会通过的任何決议必须经过总督的批准才能成为法律.,每三年举行一次大选. 两个主要政党是国家党和工党在政治倾向上，分属中间偏右及中间偏左. 新西兰是单一制国家,一个政党在国会中占大多数。虽然新西兰的国会有一定的独立性,但是基本上是和政府的基调保持一致。大选以后总理挑选国会议员并组成由其领导的內阁。这些內阁部长是议会政府制定政策的中枢。另外还有几名不属于內阁成员的部长。內阁成员决定政策提议
3、政府发起的立法对政府开支做出决定以及管理日常行政.,新西兰的公共部门改革主要是通过立法的授权,而不只是单纯政府部门的管理上的调整。而且,新西兰政府在六七十年代颁布了一系列法案,明确政府官员的选拔是基于个人的能力和道德操守,而不是裙带关系。这使得新西兰的政府管理很少发生腐败现象。,同时,新西兰的政治传统是部长负责制,这为改革中权利、责任的划分提供了便利。各部门（Departments）的首脑是终身任职的，职员则由State Services Commission统一雇佣各部门拥有广泛的职能：政策建议、法律执行、服务提供。部门之间的职责交叉，混乱。负责任主要指遵守成文规则，不腐败，避免错误。现金会
4、计（cash accounting）被广泛使用。,1984年工党赢得大选在野达九年时间，因此，在对现政策进行重新检查方面相对较为自由，没有利益牵绊。1987年，“再造之父”新西兰新任财政部长道格拉斯推动改革；新西兰改革的主要特色也在于以财政改革为核心。,信奉的理论,制度经济学交易成本理论、公共选择理论、委托代理理论交易成本的存在使得组织良好的个人或利益集团更有能力影响公共政策的方向,而信息匮乏、组织散漫的组织和个人很难影响到公共政策的决定。因而,怎样使得政策的制定和资源的分配能够更好体现公众对公共产品和服务的普遍需求是公共选择的一个难题。此外,即使公共政策的制定反映了公众的要求,最终是否能有效
5、地提供公共服务取决于政府机构如何来实施这些政策,这涉及到政策目标和政府工作人员行为的整合问题。,Murray Horn,Why do public agencies have the features they have?Choices made by legislatures (form or type of organization, financing, personnel rules, participation by outside parties, delegation of authority, and the exercise of discretion by agency).
6、The various features of institutions persist, despite considerable criticism, because they serve the interests of the legislature. The commitment problem faced by the legislature that enacts the laws is getting the agency to do what it wants and limiting the capacity of future legislatures to change
7、 the original program.At its most general, the legislators problem is to choose among the institutional arrangements so as to minimize the sum of the transaction costs they face in any given situation.,新西兰的公共改革重点在通过一系列制度和过程的设计来避免公共选择带来的难题,并最小化交易成本。在政府和公众之间、公共部门内部以及政府部门相互之间建立委托人和代理人关系,超越单纯的管理上的技术创新是新
8、西兰公共部门改革的一个特点。,改革的四个阶段,第一阶段1986年的国有企业法案 重新审视了国家在经济中的作用 第二阶段1988年的国家部门法案1989年的公共财政法案改革公共部门的核心 第三阶段1994年的财政责任法案 细化财政管理责任第四阶段1993年新西兰政府颁布了通往2010之路（Path to 2010） 与战略管理结合,第一阶段,Government sector commercial activities can be defined as those which involve the transfer of private goods to third parties, whe
9、ther or not full charges are levied. In the main they have been undertaken within departments or government-owned corporations and often under monopoly conditions.Objectives lacked clarity. Eg. Forest ServiceDepartments operated with both advantages(拨款；免税，垄断) and disadvantages（拨款不稳定；人员雇佣受限；管理的权限受制）
10、relative to private sector managers.Lack of information(成本，收益许多都是免费提供；组织良好的群体能够拥有更多；因为不知道成本，政府只能限制价格)Little flexibility of public sector managers（管理决策受限，部长干涉过多）,到1984年，政府拥有的企业包括三大银行、造船厂、连锁酒店、航空公司、石油公司等。在其他国家，这些服务往往是由公共企业来提供，而在新西兰，则是直接由受部长控制的政府部门提供。几乎全部处于亏本状态。Removal of the main trading operations fr
11、om the core public service with the establishment of the State Owned Enterprises (SOEs), which is separate from (and in some cases replacing) their parent department.,Principles for SOE reform,State-Owned Enterprises Act of 1986Aim to reconcile the imperative of accountability for public authorities
12、 with the objective of commercial performance comparable with similar companies which were not publicly owned.Five elementsClear and commercial objectivesOperate under competitive neutralityGreater managerial flexibility and authority over key decisionsGreater performance monitoringGovernment should
13、 make explicit grants to cover any non-commercial objectives it wanted the SOEs to pursue.,公司化corporatization,将生产具有商业价值的产品和服务的政府机构转变为国有企业。The first step taken was to force departments to pay attention to the value to users of the goods and services being supplied. In the 1985 budget, the minister of
14、 finance announced that all departments supplying goods and services to identifiable users or groups of users would be required to charge at full cost.The corporatization program was announced in May 1986. Remove some of the existing constraints and allow greater management flexibility and improve t
15、he accountability of managers by acting as a proxy for the monitoring regime that applies in the private sector.Nine SOEs were created from former government departments on April 1, 1987.,The Electricity Corporation of New Zealand Ltd. (former division of the Ministry of Energy)The Airways Corporati
16、on (former division of the Ministry of Transport),Results of the SOE Policy,Labor productivity has been increased substantially, prices have been held in real terms or reduced, profits have been made, and dividends have been declared even for activities which have had long histories of losses.Respon
17、siveness to consumers has increased for most SOEs.Eg: The Coal Corporation of New Zealand ltd (formerly State Coal Mines, a division of the Ministry of Energy) cash loss in 20 of the previous 22 years, with a loss in 1986-87 of $ 11 million, cash surpluses of $12.8 million in 1987-88, and $13.4 mill
18、ion for 1988-89.,50%的裁员造成大量失业。The Shipping Corporation实际上长期亏损，但表面看起来是在赢利，因为将资产转为租赁产生了现金。Air New Zealand; Bank of New Zealand; Development Finance CorporationWhile SOE status had significantly improved performance, it was doubtful whether that improvement could be sustained in the longer term.发展企业的投资
19、是以基础设施投资的减少为代价的商业风险Second-best monitoring 组织成公司后的政府企业、管理者缺乏监督。私营部门的企业受投资者、消费者和市场的监督。但国有企业缺乏这些纪律。The decidedly imperfect disciplines of the core government were removed but nothing satisfactory replaced them.Diverse incentives for ministers.,To the extent that the private sector would manage a partic
20、ular business more efficiently and profitably, a competitive tendering process will lead to the private sector offering more for the business than they are worth to the Crown itself. The sale will enable a greater reduction of public debt than would retention.,私有化privatization,Two principles guided
21、a case-by-case evaluation of whether or not to retain ownership of each business.A sale would only be made if taxpayers received more from the sale than they would have through continued ownership.The sale must make a positive contribution to the governments economic and social policies(Douglas, 198
22、8)The second consideration lead to a decision to retain ownership of television and radio stations.The government chose to get out of some business, such as petroleum and gas mining, because it considered the risk of investing in such industries was inappropriate for governments to undertake.,Regula
23、tory reform,Before the sale is made, a regulatory regime should be put in place to ensure the maximum degree of contestability in the market.Monopoly rights are not sold with the enterprise. For example, when Air New Zealand was sold there were no guarantees that the airline would have exclusive acc
24、ess to routes negotiated by the New Zealand government as part of its bilateral aviation agreements with other countries. In contrast, when British Airways was sold, potential investors were given assurances about future access.,Over the 18 months to June 1989, the government had sold seven of its b
25、usiness. The sale of another 9 businesses or business assets has also been announced.到1995年，共出售20多家国家企业减少财政赤字；减少政府干预和对国有企业所负的责任；,第二阶段,With the removal of the SOEs, the remaining core pubic service included a mix of policy, regulatory and operational functions.Reform of the remaining public service i
26、n employment and financial management regimes.继续由政府部门承担的商业性运作采取单独的管理和会计体系改革者相信，问题不在于文官队伍，而在激励制度本身，因此，改革旨在复制私营部门的激励结构。,STATE SECTOR ACT OF 1988 Redefine the relationship between ministers and the permanent heads of departments.Departmental heads lost their permanent tenure and are now known generally
27、 as “chief executives”. Chief executives were appointed on contracts of up to five years, with the possibility of reappointment. Each chief executive works under a specific contract, the terms of which have been negotiated with the State Services Commission.FULL TENURE AND LIMITED AUTHORITY LIMITED
28、TENURE AND FULL AUTHORITY,STATE SECTOR ACT OF 1988Apply similar labor market regulations to both state and private-sector employment.With the 1988 Act, the chief executive of each department became the employer of all staff within the department. All decisions on the number and type of staff, appoin
29、tments and dismissals became the responsibility of chief executives.Public Sector employees were placed under the same rules and regulations as the private sector.,The State Sector Act is only part of the picture because while it enables ministers to take action on the results of monitoring, it does
30、 not establish the criteria for that monitoring.That task is addressed by the financial management reforms in the Public Finance Act of 1989,The ultimate aim of the financial management reforms is to achieve better value from public spending.这要求：关注政府机构的管理；以及关注物品和服务的选择；以及纳税人所付的税额新西兰的财务管理改革与英国1981年始的F
31、MI很相似。除了建立部长和部门首席执行长之间的契约关系外，新西兰的改革还有两个特殊的地方,Outputs and Outcomes,Outputs: the goods and services producedOutcomes: the effects of those outputs on the communityThe approach taken in the New Zealand financial management reforms is to require chief executives to be directly responsible for the output
32、s produced by their departments,while the ministers choose which outputs should be produced and should therefore have to answer directly themselves for the outcomes.首席行政长仍然对部长负责，部长仍然为其部门的运作和效率承担责任，因此，财务管理改革并未改变现有的责任安排。,投入,产出,结果,部长Ministers,行政长官Chief Executive,部门职员,任命,签订绩效契约,Taxpayers and Service Rec
33、ipients,负责,Purchase and ownership,Governments both purchase goods and services from their departments of state and also own those departments.Transfer pricingThe price of a good or service for a transaction within an organization.Because there is no market price, the organization can set the price a
34、t any level, including zero.作为购买者，希望价格低作为所有者，希望价格高The fact that government purchases goods and services from their departments and also own those departments could give rise to conflicting objectives.,Modern Business practices require that transfer prices approximate market prices so that accurate p
35、rofit-loss data can be established by each unit of an organization.,This tension can be resolved if the price is set through the process of normal market forces, that is to say, pricing departmental outputs at a price equivalent to that charged by the private sector.Where there is no comparable priv
36、ate sector, an alternative benchmark must be established. to arrange for contestability between different government agencies.to establish an initial price that applies some pricing rule to costs.When it is still able to set its own prices uncontested, a department could achieve any target rate of r
37、eturn regardless of its real efficiency. In this case direct assessment of department efficiency is needed.,Policy Advice,Where an agency provides both policy advice and service delivery, a potential conflict of interest arises between two functions.The task of policy advisersIdentify the connection
38、 between the outputs and outcomes. If a connection cannot be made then there is no demonstrable justification for that spending.Identifying the tradeoffs between different outcomes, and identifying the best source or process for finding the source for the supply of outputs. Advisers must evaluate sp
39、ending proposals against the full range of alternative interventions.,In the environmental areaMinistry of EnvironmentPolicy adviceDepartment of ConservationDelivering service (eg. Operate the national parks)因为环境部不提供服务，所以它的建议可以较为客观。减少部门或机构被特殊利益集团“俘获”的可能性。,第三阶段 Public Finance Act 1989,The budget and
40、appropriation process under the Public Finance Act of 1989 aims to link appropriation to performance.The basis of appropriation depends on the ability of the department to supply adequate information and meet certain standards of proof of performance.,Defining and monitoring performance requires inf
41、ormation about the full resource cost, including the consumption of assets and the opportunity cost of capital, and about assets and liabilities, their utilization, and the return being generated. For this reason, all government entities are required to report financial performance on an accrual acc
42、ounting basis, using the same generally accepted accounting practices as does the private sector.,CAPTIAL CHARGETwice a year departments pay a capital charge, calculated on the basis of their net assets, for the cost of the capital the government has invested in them.,Three modes of appropriation ar
43、e possible, recognizing that departments are in different stages of adopting the reforms, and that some provide goods and services which are less “commercial” and “contestable” than others.,Mode A,Cash outlays(现金费用) for the purchase of inputs are appropriated.This mode applies when the department ha
44、s not developed accrual accounting systems and been able to specify its outputs which are both needed for performance assessment.The only change from the current system is that separate appropriation must be made for any capital expenditure.,Mode B,Appropriations cover costs incurred in producing ou
45、tputs measured on an accruals basis. These costs exclude tax and the return on funds employed.Mode B is set up for agencies which supply traditional, noncontestable services to the government. Placing the department on Mode B should allow better decisions by managers about the use of capitial.,Mode
46、C,Departments in Mode C must pay interest, taxes, and dividends and need to have established a capital structure.A department under mode C will be similar to an SOE in many ways but would different in that it will not be permitted to borrow on its own behalf nor to invest outside the business.,第四阶段：
47、战略管理,1993 年新西兰政府颁布了通往2010 之路，展望了接下来的近20 年的政府发展规划,如经济增长、社会稳定等。新西兰国家服务委员会(State Service Commission) 提出了一年一度的公务人员的评价体系,称作关键结果领域(key result areas) 。另外,国家服务委员会发现先前的产出考察以一个财政年度为基础,没有和政府的长期政策目标相衔接,因而想把绩效评定从定量管理向定性管理转移,更多地考察结果而不是单纯考察产出。1994年,国家服务委员会与总理和内阁(Department of the Prime Minister and Cabinet) 一起出台了战
48、略结果领域( strategic result areas) ,把通向2010 之路的长期规划和关键结果领域的年度绩效考核联系起来。接下来的后三年(Next Three Years , 1994) 、未来的投资( Investing in OurFuture ,1995) 和新机遇(New Opportunities , 1996) 都是围绕通向2010 之路而制定的。,Strategic policy coordinationMinisters were required to specify and publish the outcomes the government wishes to
49、 achieve.Coordinating committees were established, made up of senior government officials from departments with an interest in broad areas of government activity. Their role is to ensure that policy options are developed in a coordinated way across the government.Coordinating the policy-delivery split, strengthen horizontal linkages between policy and delivery departments,改革的核心,公司化。明确划分政府各部门职能，特别是对政策建议、提供服务和规章性的职能加以区分。明确划分资金提供者、服务提供者、和服务的购买者。下放部门管理权限，行政长官有权对人事、投入的选择和购买作决策。增加合同的使用（比如部长和行政长官的绩效合同、部长和部门之间的合同、资金提供者和购买者之间的合同、购买人和服务提供者之间的合同）。重点从投入转向产出和效果。,
