政府绩效损失及其测度:公共价值管理范式下的理论框架

新公共管理运动所倡导的"效率至上"理念试图寻求政府绩效管理中的"唯一最佳路径",这在实践中遇到了各种各样的挑战。政府绩效改进不仅要关注组织效率的提升,更重要的是要寻求在不同情境下公共价值的创造和实现,在以公共价值为基础的政府绩效治理理论框架下,政府绩效损失是基于对政府绩效结构的认识,审视绩效生产过程和改进绩效的切入口。政府绩效损失从工具理性和公共价值两个方面提出了不同于传统政府绩效管理分析方法的价值分析路径,从回顾绩效损失的概念及其治理的研究出发,以政府绩效价值链分析的"环节—要素"矩阵为基础,论述了公共价值管理范式下绩效损失测度的理论框架。     

以公共价值为基础的政府绩效治理——源起、架构与研究问题

政府绩效管理兴起二十多年来,已由西方国家应对财政和信任危机、提高行政效率的工具拓展为各国政府改革和创新的重要内容,新公共管理的实践价值和理论优势在其中都得到了充分体现。但其理论缺陷和实践中的困惑,特别是在公共价值方面的冲突使学术界的探索从未停止过。本文通过对中国、美国、日本等国的实践案例考察,从制度变迁和公共行政学术史两个层面的质性研究,提出了以公共价值为基础的政府绩效治理理论体系框架。文章首先从"公共性"、"合作生产"和"可持续"三个方面对新公共管理背景下的政府绩效管理进行了反思,认为公共价值对政府绩效合法性具有本质的规定性。其次,初步论证了以公共价值为基础的政府绩效治理的两个基本命题——政府绩效是一种社会建构、产出即绩效;认为只有来源于社会的政府绩效才能获得合法性基础,也只有根植于社会的政府绩效才能产生其可持续提升的需要,这是政府绩效管理的根本动力;而在政府绩效价值建构基础上的科学管理,才能保证政府产出与社会需求的高度一致,充分体现科学管理的价值。再次,从这两个基本命题出发,以价值管理和管理科学理论为基础,构建起了以公共价值为基础的政府绩效治理模型,并对模型中政府绩效的价值建构、组织管理和协同领导系统等主要内容进行了阐述。最后,从模型如何"落地"、政府绩效管理的价值分析和研究拓展等方面提出了未来的研究方向。     

公共价值认同何以影响绩效:理论框架与研究议程

"善治"是绩效治理的主要目标,在以公共价值为基础的政府绩效治理理论框架下,表现为以"政体"为中心、基于公共价值的政府绩效。"善政"是"善治"实现的前提,作为"善政"的重要方面,政府公共管理者的公共价值偏好及其与政府价值目标间的关系将会影响个体和组织绩效。本文以探讨"公共价值认同"与绩效的关系为研究问题,首先,在综述以往研究的基础上,提出并界定了"公共价值认同"的概念,认为"公共价值认同"包含"公共管理者个体价值偏好与集体价值偏好"以及"公共管理者集体价值偏好与政府价值目标"两个层次的一致性;其次,介绍了测量公共价值认同的方法;最后,提出四个未来研究假设。     

绩效治理导向下的社会治理体系建设

基于研究范式由绩效管理向绩效治理转变以及以公共价值为基础的绩效治理的导向。通过坚持公共治理的导向,建立和完善基于公共价值的社会治理绩效评价机制,以保障和改善民生、维护和发展公民权利为出发点和归宿,以及鼓励和推进基层社会治理创新,确实构建起协调运转的社会治理体系,社会治理能力和绩效才能得到提升,保障社会和谐、有序的"科学有效的社会治理体制"才能得以形成。     

推进行政体制改革,建设公共服务型政府

现在确实需要考虑行政管理体制改革的总体研究和战略。在当前的背景下,行政管理体制改革应该研究解决以下6个方面的问题:(1)提高政府管理的国际竞争力和公共服务能力;(2)合理确定市场经济条件下政府职能结构;(3)科学设计政府的组织结构;(4)转变政府的治理方式;(5)转变政府管理方式;(6)提高政府的组织效率和治理能力。推进行政管理体制改革的总体思路和战略可以归纳为“:一个中心,四大战略”。“一个中心”,就是以公共服务型政府建设为中心“,四大战略”,是指服务型职能建构、服务导向组织建构、协同治理模式建构和绩效导向管理建构。首先是…     

协商民主与公共价值的创造

公共价值管理聚焦在如何创造积极和公众所期望的经济社会后果,是与网络化治理相适应的一种公共行政管理模式。公共价值管理与协商民主具有内在的一致性,协商民主为建构公共价值、处理公共价值冲突、增强公共价值合法性和避免公共价值失灵提供了新的路径。在生成公共价值的过程中,协商民主推动治理网络的良性运转,促进公共管理者、专家和公众角色的转变,可以有效地化解公共行动在寻求持续性支持方面所面临的诸多困境,并且激发资源、汲取资源以增强公共价值生成的操作化能力。     

客观评估与主观评估:政府绩效评估的类型学分析

政府绩效评估是公共管理研究和实践中的重要话题。从学术文献来看,政府绩效评估形成了客观评估与主观评估两种类型,围绕这两种评估模式,学术界展开了长达数十年之久的争论,即一些学者认为主观评估不能准确测量政府绩效,而另一些学者则认为客观评估不能全面反映政府的真实绩效。这种争论反映了公共管理是科学还是艺术的价值分歧,持公共管理是科学观的学者则支持客观评估模式,而信奉公共管理是艺术的学者则主张主观评估模式。事实上,客观与主观两种评估模式都有局限,应从社会建构理论视角弥合公共管理是科学还是艺术的二元对立,以重构政府绩效评估模式,亦可称之为复合式政府绩效评价。     

社区治理和服务“嵌套”创新的生成路径——基于优秀社区工作法的多案例分析

依托社区开展的社区治理和服务“嵌套”创新，是当前基层治理创新研究的盲点。从服务导向的社区治理创新过程和治理导向的社区服务创新过程以及创新要素分析，社区治理和服务“嵌套”创新得以揭示并确立。通过构建公共空间、公共组织和制度的分析框架，研究发现社区治理和服务“嵌套”创新的生成路径表现为：以公共空间营造与社会化为依托，撬动公共组织和制度；以公共组织覆盖与职能化为依托，撬动公共空间和制度；以制度供给与制度化为依托，撬动公共空间和公共组织。这其中，公共空间、公共组织和制度分别呈现不同的运行方式。     

政府绩效的影响因素研究

政府绩效管理是政府管理借鉴企业管理有效形式的产物。但是政府是公共组织,性质上的区别使它具有不同于企业的绩效影响因素。政府绩效的主要影响因素有价值取向、政府管理目标、行政管理体制、政府组织结构、政府人员素质、政府管理技术手段和财政体制。这些因素之间是密切联系的,单个因素的调整、改革,不能取得政府整体绩效的提高。这些因素表明,实行政府绩效评估需要有前提条件:即对政府职能的科学定位,理顺政府管理体制,整合政府机构和深化财政体制改革。     

政府绩效管理研究的知识图谱与热点主题

20世纪70年代以来,政府绩效管理日益成为公共管理学科的研究热点.以SSCI收录期刊的620篇政府绩效管理文献为分析样本,采用文献计量分析方法,得出国际上政府绩效管理研究的一般状况,包括文献量增长、核心作者、主要研究机构等.通过知识图谱分析,得出国际上政府绩效管理研究形成了四个核心知识区域或研究范畴,即完善电子政府提高政府绩效、政府绩效的测量、公共组织绩效以及社会文化和政府绩效.国际政府绩效管理研究具体有10个热点主题:绩效测量、政府公共服务质量、绩效管理的价值取向、绩效预算、绩效评估体系与机制、公共组织的绩效评估、政府绩效管理的多元参与、电子政府与绩效改进、政府人力资源管理与绩效改进、绩效管理的立法研究.国际政府绩效管理研究呈现出跨学科研究视角、核心知识范畴基本形成、高校是核心研究力量等特点.     

Assessing Governance: The Importance of Evaluating Policy Outcomes in National Mission Areas

This commentary responds to Fukuyama's (2013) rejection of “final outputs” as measures of government quality. It argues that public administration research should address policy outcomes in “national mission areas.” But public administration scholars should not simply become policy analysts. Rather, they should become policy analysts for policy areas that can benefit from expertise in organizations and management.     

The Challenges of Consulting the Public on Science Policy: Examining the Development of European Risk Assessment Policy for Genetically Modified Animals

With the growing importance of public engagement in science policy making and declining levels of public trust in food production, the European Food Safety Authority (EFSA) has attempted to embed “good governance” approaches to strengthen scientific independence and open up risk decision making, which include the use of public consultations. However, “opening up” of risk assessment policies reveals some tensions; namely, balancing the goals of scientific excellence and transparency, protecting science from interests, addressing value judgments, and limited opportunities to debate ethical and social issues. EFSA's development of risk assessment policy for genetically modified animals is used as a case study to analyze these tensions. This analysis suggests that in order to fulfill good governance commitments and maintain trust in risk governance, closer cooperation between EFSA and the European Commission is required to provide “space” for debating the broader risk management issues. This publically accessible space may be needed alongside rather than instead of EFSA's consultation.     

A Comparative Assessment of Elite Policy Recruits in Canada

Recent case studies and large-N survey evidence has confirmed long-suspected shortages of public sector “policy capacity”. Studies have found that government policy workers in various jurisdictions differ considerably with respect to types of policy work they undertake, and have identified uneven capacity for policy workers to access and apply technical and scientific knowledge to public issues. This suggests considerable difficulties for government’s ability to meet contemporary policy and governance challenges. Despite growing attention to these matters, studies have not examined the “elite” policy workers many governments recruit to address these capacity shortages. Using an established survey instrument, this study of two Canadian recruitment programs provides the first comparative analysis of elite policy recruits, as policy workers. Three research questions anchor the study: (1) What is the profile of these actors? (2) What types of policy work do “elite” policy analysts actually engage in? (3) How does their policy work compare by recruitment program? The article provides fresh comparative data on the nature of elite policy work and policy analytical capacity, but, more importantly, a crucial baseline for future comparative study of how elite recruitment may facilitate “supply-side” capacity gains expected from recruitment programs.     

打破政策“黑箱”的制度设计——基于广州政策兑现实践的研究

如何打破政策“黑箱”是学界和社会关注的重要议题。以广州市政策兑现改革实践为例,探讨如何从制度设计层面来打开公共政策过程中的政策“黑箱”。研究发现,虽然公共政策过程是一个动态且复杂的过程,但是通过统筹政策制定和政策落地两端、主观要素客观化、模糊标准明确化、重塑政府流程等,能够形成确定的决策环境,控制非理性因素,约束自由裁量权,并压缩权力寻租空间,从而可以从源头消除政策“黑箱”的形成土壤。广州市政府政策兑现改革过程中,通过“输入—转化—输出”的制度框架设计,形成了从政策制定到政策执行再到政策结果与评估的政策闭环,并对政策兑现的相关责任单位、流程和时限都进行了严格把控,进而实现对政策“黑箱”内部决策要素的控制。从政策“黑箱”本身入手,破解政策“黑箱”难题,实现政策的阳光承诺和给付,最终形成极具特色和借鉴意义的广州模式。     

Policy simulation for crude oil production of OPEC countries

This paper presents a policy simulation study for the behavior of crude oil production of OPEC countries, especially oil exporting countries in the Middle East, and its influence on the world energy situation. The policy questions to be examined include: What kind of policy could avoid or postpone the occurrence of “creeping cutback” by OPEC countries, without creating an “eye for eye” type policy? What priorities exist among alternative policies? For this purpose, a policy simulation model written in DYNAMO II has been developed. Policy analyses using this simulator are presented, and the methodological limitations of this approach are discussed.     

Explaining Policy Bandwagons: Organized Interest Mobilization and Cascades of Attention

Are all issues subject to the same attention from organized interests? If not, why not? This article utilizes data on organized interest mobilization in Scottish public policy to examine the pattern of engagement by policy participants across a large number of policy issues. It finds a heavily skewed pattern of mobilization: Most issues attract little attention, while a few issues account for the majority of attention (they are “bandwagons”). This resembles the findings of Baumgartner and Leech, based on U.S. lobby data. Replication outside the United States supports the claim that this is a general pattern in public policy systems. But what explains such a pattern? After scrutinizing the “size and scope” approach, this article proposes that positive feedback mechanisms are catalyzing cascades of mobilization. Several agents are identified as facilitating cascades in the data: keystone groups, the media, civil servants, and campaign groups.     

Assessing Public Procurement of Innovation as a Cross‐Domain Policy: A Framework and Application to the Chinese Context

Despite the fact that public procurement of innovation (PPI) has become an increasingly popular policy tool, there has been a lack of holistic approaches to assessing policies promoting PPI. This article attempts to address this gap by proposing a framework which links the multiple levels and aspects related to the design and implementation of PPI policies. By adopting a systemic understanding of “public procurement” as well as “innovation policies,” this article positions PPI as a cross‐domain policy which is inherently a mix of procurement and innovation‐related interventions. The article develops an assessment framework using “vertical coherence” and “horizontal coherence” as criteria. It then illustrates the use of the framework by applying it to PPI policies in China. The framework can aid the conduct of ex ante as well as ex post assessment of PPI policies, which can further inform policy design, implementation, and learning.     

Victimization,rent-seeking and just compensation

When should government compensate citizens for harm inflicted by public policy? In practice, all public policy is harmful to somebody, even when it is beneficial to society as a whole. The common view in the legal profession is that a fuzzy but serviceable line can be drawn between “taking” which should be compensated and the proper exercise of the “policy power” where no compensation is warranted. Recently this view has been challenged by some authors who argue that harm to victims of socially-advantageous public policy should never be compensated, and by others who argue that compensation is almost always warranted. The latter would go so far as to proscribe all redistribution of income as a “taking” from the well-to-do. This paper is a defense of the common view against both challenges. The key to the problem is the distinction between unalterable risk and the risk of victimization of citizens by the government, giving rise to rent-seeking and a general disorganization of society.     

A Contingent Approach to the Organization and Management of Public–Private Partnerships: An Empirical Study of English Health Care

Public–private partnerships (PPPs) have become a prominent feature of contemporary public policy. Although research shows variation in the contractual configuration of partnerships, there is little evidence of how these shape service and workforce organization. Through comparative ethnographic research on two PPP health care providers in the English National Health Service, this article develops the idea that PPPs exhibit “tight” and “loose” arrangements that relate to “downstream” service and workforce management. It induces four empirically grounded mediating factors to describe this relationship. The first relates to the “dependence” between partners in terms of financing, strategy, and resource sharing; the second to the “strategic orientation” of leaders; the third to the composition of the “professional workforce”; and the fourth to the “management approach” to service and workforce organization. The article contributes to the research literature by exploring the contingencies in how PPPs are operationalized on the ground.     

Virtue,Interest, and Works in American Foreign Policy

Three questions shape American foreign policy: Is it right? Is it in the national interest? And does it work? “Right” is defined by the American ethos, sometimes called the civil religion. Self-interest and pragmatism characterize the other two elements. The interplay among these factors may be found most clearly in presidential rhetoric. After examining Theodore Roosevelt, Woodrow Wilson, FDR, and Ronald Reagan, the article finds that while effective presidents have invoked a religiously based virtue, U.S. foreign policy itself tended to avoid religious issues. In contrast, President George W. Bush has relied on the American civil religion to combat Islamism. But his rhetoric “stretches too far” on democratic virtue at the expense of national interest and pragmatism. The article concludes that the U.S. civil religion, although based on theological ideas, does not travel well.