From Performance Budgeting to Performance Budget Management: Theory and Practice

This article examines the decades‐long practices of performance budgeting in different countries and their associated challenges from a multilayered institutional framework. Based on theory and lessons learned, the article recommends an array of strategies to address institutional and organizational barriers. It also proposes to reconceptualize performance budgeting as a performance budget management system and suggests how multiyear budget planning, financial risk assessment, policy planning, the departmental budget cycle, the program budget cycle, stakeholder engagement, regular spending reviews, and performance audits should be integrated more closely to address the long‐term fiscal challenges faced by many governments and to respond to the public pressure on agencies to do more with less.     

西方政府绩效评估：理论、实践及其启示

政府绩效评估是西方国家在新公共管理思潮影响下风靡起来的一项管理改革举措,旨在提高政府机构的效率和公信力。作为"重塑政府"活动的重要内容,政府绩效评估在英、美、澳大利亚和韩国等国都得到了很大发展,对完善我国的政府绩效评估有如下启示:首先,解决政府评估的4个基本问题,即4W;其次,确立绩效评估的法规制度;再次,建立完备的绩效评估指标体系和灵活的评估标准;最后,公共部门自我评估与民间机构评估应内外相结合。     

绩效管理改革的效果:来自美国联邦政府的证据

从1993年的《政府绩效与结果法案》(GPRA)以及布什政府的项目评估定级工具(PART)已经建立了一种新的政府管理惯例,两者的目的均在于促进美国联邦政府绩效管理实务的发展。但从绩效信息的使用方面来看,两者所做出的努力都极其有限,即一旦考虑其它因素,机构雇员不论是否参与PART评审,是否参与GPRA的实施进程,他们几乎都没有影响到绩效信息的使用。本文采用顺序Probit回归模型,通过对美国联邦审计总署基于1996、2000、2003和2007年的数据进行调研,最终得出依赖于难以观测的官僚行为来实现的政府改革是具有局限性的以及在政府绩效改善的过程中绩效信息使用的重要性。对数据的深层分析还揭示了一系列影响绩效信息使用的组织因素,这包括领导对结果的承诺、监管者引导学习惯例、工作动机的性质、将测量与行动链接起来的能力、管理的自由裁量权以及利益相关者之间的政治冲突。     

加拿大健康城市实践及其启示

健康城市目前已成为世界各国减少城市化进程中健康危害的新路径。作为健康城市诞生地加拿大,近几十年健康城市及健康城市项目在不断的实践和发展过程出现了一系列变化,如健康城市特征的变化,健康城市项目内涵的演变等;此外多伦多等地在实践过程中也经历了高潮和低谷的波动。结合大量文献资料以及实地考察,对加拿大健康城市运动进行分析和剖解,并重点介绍多伦多健康住宅,蒙特利尔城市交通等案例,为我国健康城市运动建设提供了借鉴性的框架。结合我国实际情况,提出了突破公共卫生领域,强调健康城市项目包容性,建立以政府为主导跨行业跨部门的健康城市战略框架,面向交通的城市土地利用规划(TOD)等若干建议。     

Reinventing Reforms: How to Improve Program Management Using Performance Measures. Really

This paper looks at the design and use of incentivized performance measures to motivate managerial efficiency and promote greater program effectiveness. It starts off by looking at recent reforms like the Government Performance and Results Act to understand why they were largely unsuccessful in altering the decision‐making process of government agencies. One problem was that performance measures have been both numerous and complicated, thereby making their role in management and oversight difficult. Equally important, no external incentives were attached to program accomplishments. The paper then examines what elements would be needed to build a management system that encourages both more efficient and more effective agency behavior. The goal of performance budgeting is to develop performance measures that display the progress of a program toward its stated objectives. Assessments based on these measures may then call for rewards or punishments. As such, it also may encourage program managers toward improved performance. The paper examines the pitfalls and complexities dealt with by Congress and Office of Management and Budget in the process. For example, a performance system must distinguish between funding program needs, as warranted by sectoral indicators, and management concerns. It must also unambiguously tie incentives to performance measures to motivate agencies, while building in commitment devices for the principals. Incentivized performance measures may not be appropriate in all conditions, but may be helpful for motivating managers and improving program performance in particular circumstances.     

Integrating Immigrants: Morality and Loyalty in US Naturalization Practice

The issues of how to integrate immigrants and ensure the integrity of citizenship have become passionate topics of public discourse and policy debate in recent years in a number of immigrant receiving countries. Behind these debates are often unarticulated questions about how to ensure loyalty to the state and to particular conceptions of national identity among prospective citizens. These issues have been explicitly debated in the United States since the enactment of the first naturalization law in 1790, which requires that immigrants who wish to become citizens demonstrate their good moral character and attachment to the country. This article explores the ways that these morality and loyalty requirements have historically been applied and institutionalized in US naturalization practice, particularly through government sponsored immigrant education programs. It does so first through a discussion of the interpretation of these laws, and then through a case study of the original 1914 Bureau of Naturalization initiative that resulted in the incorporation of these laws into naturalization testing and citizenship education for immigrants. It concludes with a discussion of the implications of this history for current debates in both the United States and elsewhere on immigrant integration.     

The Better Practice Program Funding Formula: A Neo-liberal Approach to Funding General Practice

A decade after the introduction of Medicare, various pressures had emerged in the financing of general practice. The National Health Strategy suggested these could be addressed by supplementing the Medicare benefits program with other payment systems. The Commonwealth government introduced the better practice program (BPP) in late 1994. Through the BPP, the Commonwealth makes payments to general practices calculated according to a formula. Using Medicare claims data, the formula takes into account practice size, patient loyalty to the practice and practice location. The BPP formula is oriented to the free choice of doctor by patients, and free choice of practice location by doctors. It is the exercise of these freedoms that, through the operation of the formula, determines the size of BPP payments. This arrangement is an example of a distinctively neo-liberal mode of government.     

英国全面绩效评价体系:实践及启示

全面绩效评价是英国在2002～2008年间用于评价地方政府工作绩效与持续改进能力的工具,是英国绩效评价发展历程中历时最长、成效卓著的评价形式.在全面绩效评价完成其使命后,梳理其演化变迁的历程、框架结构、基本规则等,并评价其所取得的成就与存在的不足,对我国政府绩效评价中的评价内容确定、评价主体选择、评价指标构成、评价标准与结果使用等多方面均有启示.     

我国政府绩效管理价值取向实践偏差及其重塑

社会主义核心价值观中内含的“富强”、“民主”、“文明”、“和谐”、“民本”等价值观所要求的“服务”、“社会”、“市场”取向理所当然地应贯彻落实在政府绩效管理的各个方面和各个环节之中。然而,当前我国政府绩效管理价值取向在实践中存在不少偏差,需要从多方面采取措施进行重塑。     

Collaborative Governance: Integrating Management,Politics, and Law

Scholars have engaged in an ongoing dialogue about the relationships among management, politics, and law in public administration. Collaborative governance presents new challenges to this dynamic. While scholars have made substantial contributions to our understanding of the design and practice of collaborative governance, others suggest that we lack theory for this emerging body of research. Law is often omitted as a variable. Scholarship generally does not explicitly include collaboration as a public value. This article addresses the dialogue on management, politics, and law with regard to collaborative governance. It provides an overview of the current legal framework for collaborative governance in the United States at the federal, state, and local levels of government and identifies gaps. The institutional analysis and development framework provides a body of theory that incorporates rules and law into research design. The article concludes that future research on collaborative governance should incorporate the legal framework as an important variable and collaboration as a public value.     

第三方政府绩效评价的实践探索与理论研究——甘肃模式的解析

甘肃模式是基于对西部区域特征的理性思考基础上所产生的,须放在整个西部治理视阈下加以解读。甘肃模式可概括为以“顾客导向”为价值取向,以非公有制企业为评价主体,由专业学术机构组织实施,具有现代公共治理特征和架构的第三方评价模式,其实质上是一种公共治理评价。从研究背景、基本思路、具体做法以及研究基础与理论创新等方面论述甘肃模式独特的生成机制及组织模式,针对性地提出进一步优化这一模式的策略在于：评价主体的进一步扩展,从以非公有制经济为主的评价主体中渐渐纳入公民、公务员、企业等,实现社会全方位的主体参与,利用网络技术和调查问卷设计的改进拓展公民参与的途径;第二,评价的技术拓展,从评价的软件出发,利用管理信息系统真正发挥绩效评价在政府部门的导向作用;第三,科学认识绩效评估中的缺位、错位、越位的问题,改善绩效评价的功能性问题;第四,积极推进绩效评估的制度化进程,加大绩效评估在政府部门的稳定性、预见性,切实发挥从目标管理到绩效管理的转化;第五,积极探讨第三方评价的理论和实践问题,为走向全面治理评价提供理论和实证保障。     

Public Management and Educational Performance: The Impact of Managerial Networking

Policies are implemented in complex networks of organizations and target populations. Effective action often requires managers to deal with an array of actors to procure resources, build support, coproduce results, and overcome obstacles to implementation. Few large-n studies have examined the crucial role that networks and network management can play in the execution of public policy. This study begins to fill this gap by analyzing performance over a five-year period in more than 500 U.S. school districts using a nonlinear, interactive, contingent model of management previously developed by the authors. The core idea is that management matters in policy implementation, but its impact is often nonlinear. One way that public managers can make a difference is by leveraging resources and buffering constraints in the program context. This investigation finds empirical support for key elements of the network-management portion of the model. Implications for public management are sketched.     

Teacher Incentives and Student Achievement: Evidence from an Advancement Program

This paper examines the effects of a comprehensive performance pay program implemented in high‐need schools using administrative data from Louisiana. Exploiting the within‐student variation in the timing of implementation, we find a large and significant effect beginning with the second year of the program on math achievement. Similar but generally insignificant point estimates are observed in social studies. As for English Language Arts and science, there are no effects of the program. We provide evidence against changes in the composition of teacher workforce and postadoption student sorting as potential explanations for our results. We then show aggregate findings from a web‐survey that teachers may have altered their teaching practices following performance‐based compensation. Finally, under certain assumptions, we calculate the net present value of earnings impact to be close to a million dollars per school‐year for math.     

Performance Management and Public Sector Reform: The Norwegian Hospital Reform

This article addresses the development of new performance management systems related to public sector reforms. One such system is Management by Objectives and Results (MBOR), based on an official OECD model. Such a system tries to establish unambiguous goals, objectivity, and incentive elements into often traditionally trust-based systems embedded in a complex political-administrative context. To analyze such performance management systems and how they work in practice, we focus on a recent reform of the hospital structure in Norway. Using a broad institutional perspective, we argue that the MBOR-system in Norway is a mixed and complex system encompassing different kinds of logic. These include instrumental elements from the new performance management systems combined with ad hoc preventive efforts by the political leadership, the influence of cultural constraints, elements of rather inappropriate self-interested action, and pressure from the environment. The study reveals that the hospital reform in Norway in practice can be seen as an integrated model, combining informal trust-based approaches and formal performance management measures. It also shows that negative side effects and dysfunctions might occur.