公务员绩效评估体系研究

公共管理的核心问题是提高绩效。20世纪70—80年代以来，以英美为代表的西方各国的政府改革，莫不把绩效视为追求的首要目标，政府绩效评估更是作为一项重大的政治活动而蓬勃展开。在政府绩效评估成为一种国际化改革潮流的同时，政府绩效管理的理念也引入我国的政府改革，成为改革的指导思想之一。绩效管理在我国一些地方政府的实践中不断推陈出新。政府绩效评估也成为理论探讨的热门话题。其中，公务员的绩效评估也备受关注。作为公务员录用、晋升、奖惩、培训以及工资福利调整的依据，公务员绩效评估是国家公务员制度的核心环节。它是政府选拔优秀人才、合理使用人才，促进公务员能力开发，从而促进政府绩效提升的重要机制。企业中的员工绩效评估已经发展得相对成熟而完善，而公共部门员工的绩效评估还是一个尚待探索的领域。在我国，公务员考评一直是人事管理上的一个难题。尽管对官员的考核古已有之，且现实中制度构建比较完备，但总体上公务员的绩效考评效果比较差，往往是“认认真真走过场、热热闹闹搞形式”，未能发挥其应有的激励公务员积极性和主观能动性的作用，也没有达到通过考核促进个人发展和组织绩效提升的目的。近年来国内外在政府及公务员绩效评估的理论构建、指标体系、方法及主体等方面的研究取得了较多的成果。公务员绩效评估的研究呈现出从定性研究向定量研究发展，探索公务员绩效评估量化的指标和权重体系及先进的绩效评估方法在公务员绩效评估中应用的趋势。但公务员绩效评估未建立起系统的理论体系；公务员绩效评估的指标仍然零散、不成系统；注重定性分析，定量分析研究成果不够丰富。而且，我国公务员考核重视从对公务员个人进行管理的角度出发考虑绩效问题，而忽略从维持和发展组织的角度出发考虑公务员绩效问题，公务员绩效考核没有整合到政府绩效的视野中。公务员绩效是政府绩效的基础。政府绩效既是公务员绩效评估的出发点，又是归宿。公务员绩效评估应该为提升部门和政府的绩效服务，公务员的绩效评估如果离开了政府绩效，将变得盲目而没有意义。因此，我们不能孤立地研究它们，而应置于一个统一的分析框架下，在个人绩效提升的基础上提升政府绩效，实现政府绩效与公务员绩效的良性互动。本书在前人研究的基础上，把研究的重点放在从政府绩效与个人绩效统一的视角构建公务员绩效评估的系统框架，并基于这一框架实证调查分析我国公务员绩效评估存在的问题，探讨我国公务员绩效评估体系的改革与完善，进而构建整合指标、主体与方法的公务员绩效量化评估模型。这不仅可以丰富和发展目前在这方面的理论研究，而且对我国实践中公务员绩效评估体系改革具有参考价值。这对于深化干部人事制度改革，健全政府人事管理制度，促进政府人力资源管理迈向现代人力资源管理模式具有重要的意义。全书共分七章，第一章导论对本书所研究的问题及如何研究进行了概述。主要对公务员绩效的内在结构、公务员、绩效、绩效评估等核心概念进行界定，并综述了国内外相关研究现状。明确了本书研究的基本思路、研究方法及创新之处。第二章探讨了公务员绩效评估体系建立的理论基础。主要将经济学中的委托代理理论、管理学中的目标管理理论、期望理论、公平理论及新公共管理理论等在绩效评估主题下进行梳理，以期为我国公务员绩效评估体系改革提供理论支撑。第三章系统探讨了公务员绩效评估体系的理论框架。建立了包括公务员绩效评估的目标、作用机制及公务员绩效评估要素在内的公务员绩效评估的系统模型。并分别探讨公务员绩效评估体系的三大构成：指标体系设计的原则和方法、绩效评估标准的确定及评估权重体系的确定，公务员绩效评估的方法体系，以及公务员绩效评估主体的选择，为构建我国公务员绩效评估体系奠定理论基础。第四章探讨了国外公务员绩效考评体系及其启示。本章详细研究了美国、英国、日本、韩国等国家公务员绩效考评的内容、绩效考评的指标体系及绩效考评方法的特点，并对各国公务员绩效评估体系进行横向比较和剖析，试图找出一些普遍规律和借鉴经验，为我国公务员绩效评估体系改革提供有益的借鉴与启示。第五章分析了我国公务员绩效评估体系的现状与存在的问题。本章立足于湖北省的问卷调查和个人与集体访谈的结果分析了公务员绩效评估体系存在的问题，我们认为这些问题在我国具有普遍性：（1）公务员绩效评估指标不具体、标准不明确。一是评估指标过于笼统，缺乏细化与量化，二是评估指标缺乏针对性，不能体现岗位差异，三是考核标准的界定模糊，描述主观状态的较多，衡量具体行为的较少；（2）公务员绩效评估方法简单化。一是公务员绩效考核简单化为“年底评优”，二是重定性考核，轻定量考核，三是重年度考核，轻平时考核；（3）公务员绩效评估主体单一。一是直接上级考核为主，二是注重了群众考核，弱化了上级考核，三是注重内部评估主体，忽视了外部评估主体；（4）公务员绩效评估结果使用不到位。一方面，公务员绩效考核的结果运用在激励先进方面效果不明显，另一方面，公务员绩效考核的结果对于公务员发展影响有限，考核与晋升、培训等环节脱钩的现象还比较普遍；（5）公务员绩效评估运行过程的缺失。忽视了对绩效管理全过程的把握，只问结果不问过程，忽视了绩效管理的实施这一重要环节，导致绩效管理过程偏离预定的方向和目标。一是缺乏绩效计划，二是未建立起有效的绩效沟通机制，三是考核反馈缺乏实质内容，四是忽视了公务员本人的参与；（6）公务员绩效评估的目标偏差。在理念层面上我国公务员绩效评估依然停留在将考核结果作为奖惩依据的水平上，强调事后惩戒，没有立足于通过绩效评估提升公务员的能力及推动政府组织目标实现。第六章提出了我国公务员绩效评估体系改革与完善的思路。在总结归纳了我国近年来具有典型意义的公务员绩效评估改革案例的基础上，基于政府绩效与个人绩效统一的视角提出我国公务员绩效评估体系改革与完善的总体思路：（1）引导公务员树立科学发展观指导下的绩效观；（2）明确公务员绩效评估的出发点和目标。绩效评估的重点在于绩效的改善和政府总体目标的实现而不仅仅是对公务员的绩效进行考核或评价；（3）再造公务员绩效管理系统流程。将公务员绩效管理流程设计为由计划绩效、监控绩效、评价绩效、反馈绩效四个环节构成的循环的绩效管理系统，不仅实施公务员考核，而且实现对公务员的绩效管理；（4）建立分层分类标准化的绩效评估指标体系。在职位分析的基础上，根据公务员职务性质、业务要求和管理层次的不同，实行分级分类考核，细化和量化评估指标；（5）推进公务员绩效评估主体多元化。公务员绩效评估主体不仅包括公务员的自我评估、上级领导的评估、同事的评估，还应当引进政府管理和服务对象即社会公众的评估，逐步实现官方评估与民间评估并重的考核制度。可以通过社会调查、民意测验等方法，定期了解社会公众对政府工作的满意程度，然后将其转化为公务员的工作绩效；（6）优化公务员绩效评估方式与方法。采取定量与定性相结合的考核方法，加强平时考核并推进平时考核方式的创新；（7）建立健全公务员绩效评估结果的使用机制。一方面要增加对公务员绩效评估结果使用的“刚性”规定，完善将评估结果与公务员奖惩、报酬的分配和调整、职务级别晋升挂钩的机制，增强绩效评估对公务员的激励作用，使绩效评估体系对公务员形成有效导向；另一方面，绩效评估的重点应放在绩效改善和公务员的职业成长方面，应将评估结果用于公务员培训与发展、职业规划与职位轮换，完善基于绩效的公务员培训与发展机制；（8）探索先进绩效评估模式的应用。在政府绩效与公务员个人绩效统一的要求下，公务员绩效评估有必要改进“德能勤绩”模式，引入更科学的“目标标准”考核模式。探索平衡计分卡和关键绩效指标等方法在政府部门的应用，并将其延伸到公务员个人层面；（9）建立公务员绩效评估信息化平台。第七章探讨了我国公务员绩效量化评估模式的构建。首先运用文献分析法、访谈法、问卷调查及统计分析法构建了科级及以下和正副处级分层的公务员绩效评估指标体系，然后采用德尔菲法和层次分析法确定公务员绩效评估一级指标和二级指标的权重，及公务员绩效评估的主体权重。本文建立的公务员绩效量化评估模型，将评估指标体系、评估主体及评估方法各评价要素有机结合起来，真正做到对公务员绩效的综合评价，可以减少评估中的一些主观因素影响，也使评估结果更加客观公正，为公务员绩效评估从定性到定量发展提供了一种可行的科学方法。AbstractThe key point of public administration is performance.Western countries' administrative reform since twenty centuries 70-80 age which takes UK and US as representatives，held government performance as most important target.And then government performance evaluation spreads out flourishingly being a significant politics.While governmental performance evaluation become one kind of international reform trend，the theory of performance management also introduce in our country，and became the guiding ideology of government reform.The government performance appraisal have being put into practice in so many local government of our country that naturally the performance appraisal of civil service has being paid close attention to fully.The civil service' performance appraisal system occupies core position in government human resources management system.It is one kind of mechanism which improving government performance，one kind of effective incentive mechanism，one kind of competent employee choosing mechanism，and also one kind of important mechanism which can develop civil service'ability.The performance appraisal in enterprise has already developed maturely and perfect，relatively civil service' performance appraisal is still a field needed to discuss.In our country，civil service'performance appraisal has always being a difficult problem.Even though appraisal the official has existed since ancient times and system has been build comparatively completed in reality，but as a whole，the effect of civil service'performance appraisal is not good.It not only fail to incentive civil service to bring their enthusiasm and conscious activity into play，but also fail to achieve the goal of improve individual's ability and organization's performance through performance appraisal.The purpose of this study was to examine the shortcomings of civil service'performance appraisal system in our country，and establish our country's civil service performance appraisal system with performance management theory and modern Human Resource Management theory and method.The effort was not only useful to provide scientific measurement standard for civil service's job behavior and build competitive and incentive mechanism for government human resource development，but also has essential meaning for deepening governmental official personnel system reform and marching toward modern Human Resource Management for our government Human Resource Management.The dissertation's train of thought is as follows：first，define the inherent structure of civil service performance，appraisal my deceased the boundary，comb fundamental theory of civil service performance appraisal system and build the theoretical frame of civil service performance appraisal system including indicator system，main body and method.Second，analyze western counties' civil service performance appraisal system in order to find out a few universal laws and experiences.Third，analyze several primal problems existing in our country current civil service performance appraisal system on the bases of questionnaire investigation and the interview.Fourth，discuss systematical reform of the current civil service performance appraisal system.Finally，using Delphi and AHP method to build a two-layer indicator system and weight system of civil service performance appraisal，and then put it into practice at one department of Wu Chang District Wu Han City to test the level of the system.This study utilized a mixedmethods approach of literature analysis，comparative analysis，qualitative，as well as quantitative questionnaire.The dissertation is composed of seven parts.Part I“Introduction”summarizes the main research questions.It analyzes the background that the research questions put forward，gives definitions to the relevant concepts include civil service，performance and performance appraisal etc，reviews related literature of current research situations of home and abroad，draws out the structure of the dissertation，as well as defines research methods and points out new ideas.Part Ⅱ is the theories foundation civil service performance appraisal system builds on.The theories are divided into three major types，that is economic an-gel，management angel and“New Public Management”.The main theory of eco-nomic angel is the principal-agent theory.Management angel mainly includes MBO theory，Expectation theory and Impartial theory.The study combs these theories under the thesis of performance appraisal in order to provide theoretical support to our country's civil service performance appraisal system reformationPart Ⅲ is about the construction of theoretical frame of the civil service performance appraisal system.The author mainly analyzes the system model，civil service performance appraisal indicator system，methods and subject system of civil service performance appraisal，which can be foundations of the discussion of our country's civil service performance appraisal system reforming.Part Ⅳ is about comparative analysis of foreign countries' civil service performance system and its inspirations.This part has detailed studied characteristics of the content，indicator system，progress and method of civil service performance appraisal system in foreign countries such as USA，United Kingdom，Japan and Korea.Further more，this part carries out a transverse comparison and analysis of civil service performance appraisal system between these foreign countries in order to provide a salutary lesson，general experiences and the enlightenment to our country's reform.Part Ⅴ mainly analyses current situations and problems which exist in current civil service performance appraisal system in our country.First，it elaborates the institutions of our country's civil service performance appraisal system and its development in practice.And next，further analyzes the primal problems existing in our country's civil service performance appraisal system and indicator system based on the statistics of questionnaire inquires and field investigation and interviews.Part Ⅵ are the systematical reform thought discussion.This part concludes some representative Civil service performance appraisal reforming practice in recent years in our country such as Jiangsu，Qingdao and Shenzhen.And then，on the basis of performance management theory，the author brings forward the train of though of reform to our country's civil service performance appraisal system.Part Ⅶ goes a step further to study establishing a feasible Civil service performance appraisal system in our country.The author adopts literature analysis，Delphi and AHP method to determine a two-layer indicator system，weight sys tem of indicator，as well as weight of subjects，and then builds a mix-up evaluation model include above indicator system，weight of subjects and mix-up evaluation method.Finally，puts the model into practice at one department of Wu Chang District Wu Han City to test the level of the system.Based on the study，the dissertation concludes some main problems existing in our current civil service performance appraisal system as follows：（1）Civil service performance appraisal indicators are not concrete as well as the standard are ambiguous.The appraisal dimensions of“moral integrity，ability，diligent and achievement”in“civil service law”are just principle stipulations，which lack second-layer and third-layer indicator，and the degree of quantization is low.So object standards are not clear.（2）The appraisal subjects are not all-round，and the appraisal pattern is unitary.In civil service performance appraisal，higher authority and workmates are major subjects adopted.The pattern of appraisal is still“from up to bottom”，introducing subjects from outside has not been paid much attention to.（3）The methods of civil service performance appraisal are over-simplistic.In the investigation，we find out that majority method adopted are still qualitative and performance appraisal based on computer and internet has not built up.（4）The operating process of performance appraisals are not perfect.One is short of the performance appraisal plan.Two is effective performance appraisal feedback and communication mechanism have not built up.Three is the participation of civil service have been ignored.（5）The results of civil service performance appraisal are unwisely used.There is a general phenomenon that performance appraisal are disjointed with compensation，promotion and training.It seemed that the result of performance appraisal have unobvious effect on individual.（6）The performance appraisal is not put in strategy location.Thus，this study suggests that our county's civil service performance appraisal system should reform as follows：（1）Establish correct performance value under the guidance of science developing value and“public-oriented”performance appraisal mechanism.（2）Establish perfect performance appraisal systematical process.Accord ing to performance management theory，the process of civil service performance appraisal should be designed as a circulatory system including four links of planning，monitoring，evaluating and feedback.This process is a performance management system which is designed not only for appraising，but for promoting civil service' work initiative and organization performance.（3）Set up standardized appraisal indicator system according to different rank and classification.It is necessary to distinguish different rank indicator according to authority and formulate different classification indicator according to character and requirement of position.（4）Introduce multiple dimensions of appraisers.The appraisal should not only from higher position，colleague and oneself.It is more important to introduce appraisers from outside，that is object of service or public.The satisfaction degree of the public usually reflects civil service' real performance more accurately.（5）Introduce advanced performance appraisal theories and methods.Along with western countries'“New Public Management campaign”，a lot of advanced performance appraisal theories and methods have been used in public sector effectively，such as MBO，KPI，BSC，etc.In our country there are some successful cases of use advanced method in performance appraisal.For example，Shenzhen use BSC and KPI to design their performance appraisal system successfully which can give us a lot of enlightenment.（6）Pay much attention to use of performance appraisal result.It is necessary to add to regulations about use of the result of performance appraisal，to link the result with civil service' promotion，award and punishment，training as well as rewards，so as to connect performance appraisal with motivation mechanism.（7）Build-up performance management information platform.Information platform will be helpful to carry out dynamic management to civil service' performance，be helpful to collect object performance data，as well as be helpful to implement multiple appraisers.Additionally，the performance appraisal system of civil service set up in this dissertation，integrates the appraisal elements including indicator system，subjects and method in mix-up appraisal model，which can really implement synthetical appraisal to civil service.This model provides a feasible way to make civ il service performance appraisal transiting from qualitative valuation to quantify，which can reduce a lot of effect of subjective factors，and also can make appraisal result more objective and impartial.Keywords：civil service；performance；performance appraisal；reform

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