公共组织第三方评估何以可为?一项双案例比较研究
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摘要
文章通过对国家自然科学基金国际评估和全国高等学校一级学科评估双案例的比较分析,探讨了第三方评估方案要素对评估效果的影响。研究发现,评估定位、评估对象、组织机构和评估主体与第三方评估的独立性之间具有紧密关联,评估内容、信息收集、评估周期和评估结果的运用则关系到其科学性,机制设计不当的第三方评估会诱发机会主义行为。研究对迷信量化管理和第三方评估的"神话"提出了反思,并为改进公共组织第三方评估提供了启示。
This paper investigates how the third-party evaluation practices affect evaluation results by means of a dual-case structured comparison of evaluation schemes,including the International Evaluation of the National Science Foundation of China and the National Disciplinary Evaluation of Chinese Universities and Colleges.The findings show that the independency of the third-party evaluation depends on the purpose as well as the characteristics of the key actor involved in that,whereas the scientific nature of that relies on the contents,information gathering,and time horizon.In addition,an inappropriate mechanism of the third-party evaluation might trigger opportunistic behaviors.It implies that it is essential to rethink the myth of quantitative management and disenchant the third-party evaluation.Theoretical and policy implications are also discussed.
This paper investigates how the third-party evaluation practices affect evaluation results by means of a dual-case structured comparison of evaluation schemes,including the International Evaluation of the National Science Foundation of China and the National Disciplinary Evaluation of Chinese Universities and Colleges.The findings show that the independency of the third-party evaluation depends on the purpose as well as the characteristics of the key actor involved in that,whereas the scientific nature of that relies on the contents,information gathering,and time horizon.In addition,an inappropriate mechanism of the third-party evaluation might trigger opportunistic behaviors.It implies that it is essential to rethink the myth of quantitative management and disenchant the third-party evaluation.Theoretical and policy implications are also discussed.
引文
包国宪、张志栋,2008:“我国第三方政府绩效评价组织的自律实现问题探析”,《中国行政管理》,2008,1:49-51。
陈潭,2017:“第三方治理:理论范式与实践逻辑”,《政治学研究》,2017,1:90-98。
陈学飞、叶祝弟、王英杰等,2016:“中国式学科评估:问题与出路”,《探索与争鸣》,2016,9:59-74。
程燕林,2017:“如何保证第三方评估的独立性”,《中国科技论坛》,2017,7:14-18。
傅军,2013:“政府绩效评估的推进思路---基于六省市政府绩效评估的经验”,《理论探索》,2013,3:87-90。
蒋林浩、沈文钦、陈洪捷、黄俊平,2014:“学科评估的方法、指标体系及其政策影响:美英中三国的比较研究”,《高等教育研究》,2014,35:92-101。
李艳、林秀玉,2016:“国家治理体系创新与治理能力提升的新探索---广东省人大委托第三方评财政绩效的现实思考”,《公共管理学报》,2016,3:147-151。
廖秀健,2018:“‘对抗式’重大决策社会稳定风险评估模式构建”,《中国行政管理》,2018,1:58-63。
林梦泉、姜辉、任超,2010:“学科评估发展与改革探究”,《中国高等教育》,2010,21:43-44。
陆汉文、梁爱有,2017:“第三方评估与贫困问题的民主治理”,《中国农业大学学报(社会科学版)》,2017,5:103-110。
马佳铮,2016:“政府绩效第三方评估模式的实践探索与优化路径---以中国(上海)自贸区为例”,《上海行政学院学报》,2016,4:17-25。
马亮、于文轩,2013:“第三方公共服务绩效评价的评价:一项比较案例研究”,《南京社会科学》,2013,5:55-63。
潘旦、向德彩,2013:“社会组织第三方评估机制建设研究”,《华东理工大学学报(社会科学版)》,2013,28:16-22。
潘溪,2017:“第三方评估:适用于执行难问题的解决机制及其限度”,《理论月刊》,2017,2:56-60。
渠敬东、周飞舟、应星,2009:“从总体支配到技术治理---基于中国30年改革经验的社会学分析”,《中国社会科学》,2009,6:104-127。
邵邦、范明超,2018:“政府科技项目第三方评价的影响因素与发展对策”,《中国科技论坛》,2018,2:10-14。
寿志勤、陈鑫、邹彦林等,2010:“安徽实验:第三方政府网站绩效评估机制研究”,《中国科技论坛》,2010,2:114-119。
王春业、邓盈,2017:“重要立法事项第三方评估机制研究”,《中南大学学报(社会科学版)》,2017,6:27-33。
吴建南,2009:“公共部门绩效评估:理论与实践”,《中国科学基金》,2009,3:149-154。
吴建南、马亮、郑永和,2012:“基于循证设计的科学基金绩效国际评估研究”,《科研管理》,2012,33:137-145。
吴建南、阎波,2004:“政府绩效:理论诠释、实践分析与行动策略”,《西安交通大学学报(社会科学版)》,2004,24:31-40。
---2006:“谁是‘最佳’的价值判断者:区县政府绩效评价机制的利益相关主体分析”,《管理评论》,2006,18:46-53;58。
吴建南、庄秋爽,2004:“‘自下而上’评价政府绩效探索:‘公民评议政府’的得失分析”,《理论与改革》,2004,5:69-71。
徐双敏,2011:“政府绩效管理中的‘第三方评估’模式及其完善”,《中国行政管理》,2011,1:28-32。
徐双敏、陈尉,2013:“‘第三方’评估政府绩效的制度环境分析”,《学习与实践》,2013,9:22-27。
徐双敏、翟胡,2012:“国外地方政府委托评估模式比较研究”,《学习与实践》,2012,8:72-79。
阎波、高小平,2013:“政府绩效管理创新中的‘样本点’”,《中国行政管理》,2013,10:21-26。
殷明,2015:“第三方评估:走出价格市场化改革的困境---基于对石油和电力行业的观察”,《学术界》,2015,2:210-218。
贠杰,2015:“中国地方政府绩效评估:研究与应用”,《政治学研究》,2015,6:76-86。
袁本涛、李锋亮,2016:“对我国学科评估发展的调查与分析”,《高等教育研究》,2016,3:28-33。
张旭、李会军、郭菊娥,2016:“经济体制改革试点第三方评估理论基础与未来发展”,《经济体制改革》,2016,1:5-13。
赵环、严骏夫、徐选国,2014:“政府购买社会服务的逻辑起点与第三方评估机制创新”,《华东理工大学学报(社会科学版)》,2014,3:1-6。
郑方辉,2008:“第三方评价地方政府整体绩效的实证研究---以广东省市、县两级政府为例”,《中国行政管理》,2008,5:13-17。
郑方辉、邓霖、林婧庭,2016:“补助性财政政策绩效目标为什么会走样?---基于广东三项省级财政专项资金绩效第三方评价”,《公共管理学报》,2016,3:122-134+59。
郑方辉、尚虎平,2016:“中国法治政府建设进程中的政府绩效评价”,《中国社会科学》,2016,1:117-139。
周雪光,2015:“项目制:一个‘控制权’理论视角”,《开放时代》,2015,2:82-102。
Abma,Tineke A.,and Noordegraaf,M.,2003.“Public Managers Amidst Ambiguity:Towards a Typology of Evaluative Practices in Public Management.”Evaluation.9:285-306.
Behn,Robert D.,2003.“Why Measure Performance?Different Purposes Require Different Measures.”Public Administration Review.63:586-606.
Boland,T.,and Fowler A.,2000.“A Systems Perspective of Performance Management in Public Sector Organisations.”International Journal of Public Sector Management.13:417-46.
Carnochan,S.,Samples,M.,Myers,M.,and Austin,M.J.,2014.“Performance Measurement Challenges in Nonprofit Human Service Organizations.”Nonprofit and Voluntary Sector Quarterly.43:1014-32.
Christensen,J.,Dahlmann,C.M.,Mathiasen,A.H.,Moynihan,D.P.,and Petersen,N.B.G.,2018.“How Do Elected Officials Evaluate Performance?Goal Preferences,Governance Preferences,and the Process of Goal Reprioritization.”Journal of Public Administration Research and Theory.28:197-211.
Eisenhardt,K.M.,and Graebner,M.E.,2007.“Theory Building from Cases:Opportunities and Challenges.”Academy of Management Journal.50:25-32.
Forss,K.,and Bandstein,S.,2008.“Evidence-based Evaluation of Development Cooperation:Possible?Feasible?Desirable?”IDS Bulletin.39:82-89.
GAO,2012.“Designing Evaluations:2012 Revision.”In Applied Research and Methods,edited by Kingsbury,N.R.,U-nited States Government Accountability Office.
Gerring,J.,2004.“What is a Case Study and What is it Good for?”American Political Science Review.98:341-54.
Girth,A.M.,2017.“Incentives in Third-Party Governance:Management Practices and Accountability Implications.”Public Administration Review.77:433-44.
Hatry,H.P.,2013.“Sorting the Relationships among Performance Measurement,Program Evaluation,and Performance Management.”New Directions for Evaluation.137:19-32.
Heinrich,C.J.,2007.“Evidence-Based Policy and Performance Management.”The American Review of Public Administration.37:255-77.
Hood,C.,2007.“Public Service Management by Numbers:Why Does it Vary?Where Has it Come From?What Are the Gaps and the Puzzles?”Public Money and Management.27:95-102.
Jing,Y.,Cui,Y.,and Li,D.,2015.“The Politics of Performance Measurement in China.”Policy and Society.34:49-61.
Johnsen,.,2005.“What Does 25 Years of Experience Tell Us About the State of Performance Measurement in Public Policy and Management?”Public Money and Management.25:9-17.
Jones,S.and Bouckaert,G.,2017.“Performance for Accountability:The Case of Joint Agreements in a Federal System.”Public Performance&Management Review.40:765-96.
Moynihan,D.P.,2008.The Dynamics of Performance Management:Constructing Information and Reform.Washington D.C.:Georgetown University Press.
Newcomer,K.,and Brass,C.T.,2016.“Forging a Strategic and Comprehensive Approach to Evaluation Within Public and Nonprofit Organizations:Integrating Measurement and Analytics Within Evaluation.”American Journal of Evaluation.37:80-99.
Newcomer,K.and Caudle,S.,2011.“Public Performance Management Systems:Embedding Practices for Improved Success.”Public Performance&Management Review.35:108-32.
Owen,J.M.,and Rogers,P.,1999.Program Evaluation:Forms and Approaches.CA:Sage.
Patton,M.Q.,2011.Developmental Evaluation:Applying Comaplexity Concepts to Enhance Innovation and Use.N.Y.:Guilford Press.
Pollitt,C.,and Dan,S.,2013.“Searching for Impacts in Performance-oriented Management Reforms:A Review of the European Literature.”Public Performance and Management Review.37(1):7-32.
Rossi,P.H.,Freeman,H.E.,and Lipsey,M.W.,2003.Evaluation:A Systematic Approach.L.A.:Sage Publications.
So,B.W.Y.,2014.“Civic Engagement in the Performance Evaluation of the Public Sector in China:Building Horizontal Accountability to Enhance Vertical Accountability.”Public Management Review.16:341-57.
Talbot,C.,2010.Theories of Performance:Organizational and Service Improvement in the Public Domain.Oxford:Oxford University Press.
Walker,R.,and Wu,J.,2010.“Future Prospects for Performance Management in Chinese City Governments.”Administration and Society.42:34-55.
Yang,Y.,and Wu,J.,2013.“Are the‘Bigger Fish’Caught?China’s Experience of Engaging Citizens in Performance Measurement System.”Public Administration Quarterly.39:1-33.
Yu,W.,and Ma,L.,2015.“External Government Performance Evaluation in China:A Case Study of the‘Lien ServiceOriented Government Project’.”Public Money and Management.35(6):431-37.
---2016.“External Government Performance Evaluation in China:Evaluating the Evaluations.”Public Performance and Management Review.39:144-71.
(1)http://scitech.people.com.cn/GB/15335456.html
(2)http://digitalpaper.stdaily.com/http_www.kjrb.com/kjrb/html/2015-06/02/content_305198.htm?div=-1
(3)http://news.sciencenet.cn/htmlnews/2010/6/233583.shtm
陈潭,2017:“第三方治理:理论范式与实践逻辑”,《政治学研究》,2017,1:90-98。
陈学飞、叶祝弟、王英杰等,2016:“中国式学科评估:问题与出路”,《探索与争鸣》,2016,9:59-74。
程燕林,2017:“如何保证第三方评估的独立性”,《中国科技论坛》,2017,7:14-18。
傅军,2013:“政府绩效评估的推进思路---基于六省市政府绩效评估的经验”,《理论探索》,2013,3:87-90。
蒋林浩、沈文钦、陈洪捷、黄俊平,2014:“学科评估的方法、指标体系及其政策影响:美英中三国的比较研究”,《高等教育研究》,2014,35:92-101。
李艳、林秀玉,2016:“国家治理体系创新与治理能力提升的新探索---广东省人大委托第三方评财政绩效的现实思考”,《公共管理学报》,2016,3:147-151。
廖秀健,2018:“‘对抗式’重大决策社会稳定风险评估模式构建”,《中国行政管理》,2018,1:58-63。
林梦泉、姜辉、任超,2010:“学科评估发展与改革探究”,《中国高等教育》,2010,21:43-44。
陆汉文、梁爱有,2017:“第三方评估与贫困问题的民主治理”,《中国农业大学学报(社会科学版)》,2017,5:103-110。
马佳铮,2016:“政府绩效第三方评估模式的实践探索与优化路径---以中国(上海)自贸区为例”,《上海行政学院学报》,2016,4:17-25。
马亮、于文轩,2013:“第三方公共服务绩效评价的评价:一项比较案例研究”,《南京社会科学》,2013,5:55-63。
潘旦、向德彩,2013:“社会组织第三方评估机制建设研究”,《华东理工大学学报(社会科学版)》,2013,28:16-22。
潘溪,2017:“第三方评估:适用于执行难问题的解决机制及其限度”,《理论月刊》,2017,2:56-60。
渠敬东、周飞舟、应星,2009:“从总体支配到技术治理---基于中国30年改革经验的社会学分析”,《中国社会科学》,2009,6:104-127。
邵邦、范明超,2018:“政府科技项目第三方评价的影响因素与发展对策”,《中国科技论坛》,2018,2:10-14。
寿志勤、陈鑫、邹彦林等,2010:“安徽实验:第三方政府网站绩效评估机制研究”,《中国科技论坛》,2010,2:114-119。
王春业、邓盈,2017:“重要立法事项第三方评估机制研究”,《中南大学学报(社会科学版)》,2017,6:27-33。
吴建南,2009:“公共部门绩效评估:理论与实践”,《中国科学基金》,2009,3:149-154。
吴建南、马亮、郑永和,2012:“基于循证设计的科学基金绩效国际评估研究”,《科研管理》,2012,33:137-145。
吴建南、阎波,2004:“政府绩效:理论诠释、实践分析与行动策略”,《西安交通大学学报(社会科学版)》,2004,24:31-40。
---2006:“谁是‘最佳’的价值判断者:区县政府绩效评价机制的利益相关主体分析”,《管理评论》,2006,18:46-53;58。
吴建南、庄秋爽,2004:“‘自下而上’评价政府绩效探索:‘公民评议政府’的得失分析”,《理论与改革》,2004,5:69-71。
徐双敏,2011:“政府绩效管理中的‘第三方评估’模式及其完善”,《中国行政管理》,2011,1:28-32。
徐双敏、陈尉,2013:“‘第三方’评估政府绩效的制度环境分析”,《学习与实践》,2013,9:22-27。
徐双敏、翟胡,2012:“国外地方政府委托评估模式比较研究”,《学习与实践》,2012,8:72-79。
阎波、高小平,2013:“政府绩效管理创新中的‘样本点’”,《中国行政管理》,2013,10:21-26。
殷明,2015:“第三方评估:走出价格市场化改革的困境---基于对石油和电力行业的观察”,《学术界》,2015,2:210-218。
贠杰,2015:“中国地方政府绩效评估:研究与应用”,《政治学研究》,2015,6:76-86。
袁本涛、李锋亮,2016:“对我国学科评估发展的调查与分析”,《高等教育研究》,2016,3:28-33。
张旭、李会军、郭菊娥,2016:“经济体制改革试点第三方评估理论基础与未来发展”,《经济体制改革》,2016,1:5-13。
赵环、严骏夫、徐选国,2014:“政府购买社会服务的逻辑起点与第三方评估机制创新”,《华东理工大学学报(社会科学版)》,2014,3:1-6。
郑方辉,2008:“第三方评价地方政府整体绩效的实证研究---以广东省市、县两级政府为例”,《中国行政管理》,2008,5:13-17。
郑方辉、邓霖、林婧庭,2016:“补助性财政政策绩效目标为什么会走样?---基于广东三项省级财政专项资金绩效第三方评价”,《公共管理学报》,2016,3:122-134+59。
郑方辉、尚虎平,2016:“中国法治政府建设进程中的政府绩效评价”,《中国社会科学》,2016,1:117-139。
周雪光,2015:“项目制:一个‘控制权’理论视角”,《开放时代》,2015,2:82-102。
Abma,Tineke A.,and Noordegraaf,M.,2003.“Public Managers Amidst Ambiguity:Towards a Typology of Evaluative Practices in Public Management.”Evaluation.9:285-306.
Behn,Robert D.,2003.“Why Measure Performance?Different Purposes Require Different Measures.”Public Administration Review.63:586-606.
Boland,T.,and Fowler A.,2000.“A Systems Perspective of Performance Management in Public Sector Organisations.”International Journal of Public Sector Management.13:417-46.
Carnochan,S.,Samples,M.,Myers,M.,and Austin,M.J.,2014.“Performance Measurement Challenges in Nonprofit Human Service Organizations.”Nonprofit and Voluntary Sector Quarterly.43:1014-32.
Christensen,J.,Dahlmann,C.M.,Mathiasen,A.H.,Moynihan,D.P.,and Petersen,N.B.G.,2018.“How Do Elected Officials Evaluate Performance?Goal Preferences,Governance Preferences,and the Process of Goal Reprioritization.”Journal of Public Administration Research and Theory.28:197-211.
Eisenhardt,K.M.,and Graebner,M.E.,2007.“Theory Building from Cases:Opportunities and Challenges.”Academy of Management Journal.50:25-32.
Forss,K.,and Bandstein,S.,2008.“Evidence-based Evaluation of Development Cooperation:Possible?Feasible?Desirable?”IDS Bulletin.39:82-89.
GAO,2012.“Designing Evaluations:2012 Revision.”In Applied Research and Methods,edited by Kingsbury,N.R.,U-nited States Government Accountability Office.
Gerring,J.,2004.“What is a Case Study and What is it Good for?”American Political Science Review.98:341-54.
Girth,A.M.,2017.“Incentives in Third-Party Governance:Management Practices and Accountability Implications.”Public Administration Review.77:433-44.
Hatry,H.P.,2013.“Sorting the Relationships among Performance Measurement,Program Evaluation,and Performance Management.”New Directions for Evaluation.137:19-32.
Heinrich,C.J.,2007.“Evidence-Based Policy and Performance Management.”The American Review of Public Administration.37:255-77.
Hood,C.,2007.“Public Service Management by Numbers:Why Does it Vary?Where Has it Come From?What Are the Gaps and the Puzzles?”Public Money and Management.27:95-102.
Jing,Y.,Cui,Y.,and Li,D.,2015.“The Politics of Performance Measurement in China.”Policy and Society.34:49-61.
Johnsen,.,2005.“What Does 25 Years of Experience Tell Us About the State of Performance Measurement in Public Policy and Management?”Public Money and Management.25:9-17.
Jones,S.and Bouckaert,G.,2017.“Performance for Accountability:The Case of Joint Agreements in a Federal System.”Public Performance&Management Review.40:765-96.
Moynihan,D.P.,2008.The Dynamics of Performance Management:Constructing Information and Reform.Washington D.C.:Georgetown University Press.
Newcomer,K.,and Brass,C.T.,2016.“Forging a Strategic and Comprehensive Approach to Evaluation Within Public and Nonprofit Organizations:Integrating Measurement and Analytics Within Evaluation.”American Journal of Evaluation.37:80-99.
Newcomer,K.and Caudle,S.,2011.“Public Performance Management Systems:Embedding Practices for Improved Success.”Public Performance&Management Review.35:108-32.
Owen,J.M.,and Rogers,P.,1999.Program Evaluation:Forms and Approaches.CA:Sage.
Patton,M.Q.,2011.Developmental Evaluation:Applying Comaplexity Concepts to Enhance Innovation and Use.N.Y.:Guilford Press.
Pollitt,C.,and Dan,S.,2013.“Searching for Impacts in Performance-oriented Management Reforms:A Review of the European Literature.”Public Performance and Management Review.37(1):7-32.
Rossi,P.H.,Freeman,H.E.,and Lipsey,M.W.,2003.Evaluation:A Systematic Approach.L.A.:Sage Publications.
So,B.W.Y.,2014.“Civic Engagement in the Performance Evaluation of the Public Sector in China:Building Horizontal Accountability to Enhance Vertical Accountability.”Public Management Review.16:341-57.
Talbot,C.,2010.Theories of Performance:Organizational and Service Improvement in the Public Domain.Oxford:Oxford University Press.
Walker,R.,and Wu,J.,2010.“Future Prospects for Performance Management in Chinese City Governments.”Administration and Society.42:34-55.
Yang,Y.,and Wu,J.,2013.“Are the‘Bigger Fish’Caught?China’s Experience of Engaging Citizens in Performance Measurement System.”Public Administration Quarterly.39:1-33.
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