我国公务员绩效考核体系研究
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摘要
中国在实行计划经济体制时期，一度忽视行政效率和行政成本的问题。改革以后，我们的改革重心又一直偏向理顺党政关系、政企关系、机构改革、建立和完善公务员制度等，以至我们在加人WTO后才蓦然发现极低的行政效率、极高的行政成本，既严重阻碍了社会主义市场经济体制的完善和正常运行，也严重损害了政府形象，损害了党群、干群关系，已到了非改不可的地步。正因为如此，党的十六大报告在谈到深化行政体制改革的任务时明确指出，要提高行政效率，降低行政成本，形成行为规范、运转协调、公正透明、廉洁高效的行政管理体制。对政府实行绩效考核，将不仅能促进党的十六大提出的行政改革目标的实现，而且能为巩固改革成果提供深层次的制度保障。政府绩效考核包括三个层次：政府、政府职能部门和公务员，其中公务员绩效考核是政府绩效考核的核心。由于公务员绩效的特殊性以及政治文化环境等因素的影响，导致了公务员绩效考核成为我国乃至全球公认的难题。如何针对中国公务员这一特殊群体，设计一套合理的、操作性较强的公务员绩效考核体系是本文的出发点和落脚点。
本文首先介绍了绩效考核理论的含义和由来，阐述了美、加、日、法、德等国家公务员考核制度的沿革，并总结了可资借鉴的经验；其次，阐述了中国公务员绩效考核的沿革和现状，总结了公务员绩效考核存在的主要问题，如考核缺乏和其他组织活动的联系、激励功能失效、考核指标体系缺乏科学性和针对性、考核主体单一且与被考核者之间信息不对称以及观念误区。在此基础上分析了四大原因，如体制性障碍、公务员绩效价值多元化、政治文化环境的影响等。本文的核心内容，是公务员绩效考核体系总体框架的构建，重点是公务员绩效考核指标体系。根据我国《公务员法》的职位分类的规定，笔者在设计指标体系时充分考虑了综合管理、专业技术、行政执法三类职位的工作性质、工作内容和工作特点，利用KPI考核体系和关键成功要素分析法，有针对性地构建了三类公务员的考核指标，运用层次分析手段，确定指标的不同权重，通过设立指标标准、考核等级、考核分值等后续环节形成了一整套考核指标体系。进而构建了公务员绩效考核体系的总体框架，包括考核目的和原则、考核主体、考核流程、考核监督、绩效沟通以及绩效改进计划等。文章最后部分，提出了保障公务员绩效考核体系有序运行的四大措施，认为应该从加强评价者培训、实施绩效沟通，以及树立绩效考核参与者主体意识、吸收借鉴国内外先进经验等方面来解决我国公务员绩效考核存在的问题。
综合全文来看，创新点主要在于构建了分类别的公务员绩效考核指标体系。针对综合管理类职位而言，笔者依据关键成功要素法设计了德、能、勤、绩、廉下面的31项关键绩效指标，如“德”下面的指标包括政治理论、民主性、方针政策、社会道德、职业道德、进取心、原则性和法律观念，在此基础上运用层次分析法，设计了德、能、勤、绩、廉的权重以及各级KPI的不同权重；同理还构建了专业技术类职位的28项关键绩效指标和行政执法类的27项关键绩效指标。然后再结合考核等级和分值，形成了一套系统的公务员绩效考核指标体系，最终对公务员的各项表现打分定级。
When China was being plan-economic period, once overlooked the problem of administrative efficiency and administrative cost. After reforming, our reform focus is to straighten the relation of party and government, government and company, structural reorganization, and establish and perfect public-official system, so that we discover very low administrative efficiency and very high administrative cost suddenly after taking part in the WTO. These obstructed perfection and normal operation of socialist market economy, and seriously harmed government image, relationship of party, people and administrators, so must be reformed. Just because it was such, the 16th council of CPC pointed out clearly that we should raise administrative efficiency, reduce administrative cost, and form the administrative system of the behavior standard, operation coordinative, impartial and transparent, honest efficiency. Government effect check will not only promote the realization of administrative reform goal of the 16th council of CPC, but also can ensure to offers deep system layer for strengthening the reform accomplishment. Government effect check includes 3 layers: Government and government department and public-official, in which public-official effect check is the core of effect check. Because the influence of particularity of public-official and government political and cultural environment has caused that public-official effect check becomes our country and even global problem. How to design a set of reasonable and practical public-official effect check system for Chinese public-official is our aim.
This paper have first introduced origin and the meaning of effect check theory, and have elaborated the origin and experience of public-official system of America, Canadian, Japanese, French and German. Second, it introduced present situation and the evolution of Chinese public-official effect check, and have summarized the major problem of public-official effect check, such as lacking with the connection of other organization campaigns, encourage function to become invalid, index system lacking scientificness and specific aim, Examine official is unitary and information asymmetrical as well as idea mistake. On this foundation, this paper has analyzed 4 big reasons: system obstacle, value diversity, the influence of political and cultural environment.
The key content of this paper is to design overall frame of public-official effect check and focal point is index system. According to the stipulation of position classification of"public-official law", the author considers the nature, content, and character of these position, such as general management, professional technology and law enforcement, and uses KPI check system and the crucial successful analysis law of essential factor to have founded the check index of 3 kinds of public-official, and makes use of level analysis means to design the different proportion of index. The author has established index standard, check grade and check score and have formed a complete check index system. And then has designed the overall frame of public-official effect check system, include purpose and principle, check official, check process and check supervisor, effect communication as well as effect improvement plan. Finally article have put forward 7 guarantee measures to make sure of running by order of effect check system, such as reinforcing appraisement training, enforcing effect communication, utilizing check result reasonably as well as setting up main consciousness of effect check participator, absorbing domestic and international advanced experience and so on, so that coming to solve the problem of Chinese public-official effect check.
The creation of paper lies in mainly to found public-official effect check index system of different classification. according to the kind of position of general management, the author has designed 31 key index under morals, ability, hard, record and honesty with the crucial successful law of essential factor, such as under"morals"is political theoretical, democraticness, policy, social morals, professional morals, initiative and principled and legal idea. On this foundation we have designed different proportion of morals, ability, hard, record and honesty and different levels KPI with level analysis law. And then we have founded the 28 key indexes of professional technical position and the 27 key indexes of law enforcement position. Then, again connecting check grade and record, the author has formed a set of index system of public-official effect check, and using the system to decide level for every public official.
本文首先介绍了绩效考核理论的含义和由来，阐述了美、加、日、法、德等国家公务员考核制度的沿革，并总结了可资借鉴的经验；其次，阐述了中国公务员绩效考核的沿革和现状，总结了公务员绩效考核存在的主要问题，如考核缺乏和其他组织活动的联系、激励功能失效、考核指标体系缺乏科学性和针对性、考核主体单一且与被考核者之间信息不对称以及观念误区。在此基础上分析了四大原因，如体制性障碍、公务员绩效价值多元化、政治文化环境的影响等。本文的核心内容，是公务员绩效考核体系总体框架的构建，重点是公务员绩效考核指标体系。根据我国《公务员法》的职位分类的规定，笔者在设计指标体系时充分考虑了综合管理、专业技术、行政执法三类职位的工作性质、工作内容和工作特点，利用KPI考核体系和关键成功要素分析法，有针对性地构建了三类公务员的考核指标，运用层次分析手段，确定指标的不同权重，通过设立指标标准、考核等级、考核分值等后续环节形成了一整套考核指标体系。进而构建了公务员绩效考核体系的总体框架，包括考核目的和原则、考核主体、考核流程、考核监督、绩效沟通以及绩效改进计划等。文章最后部分，提出了保障公务员绩效考核体系有序运行的四大措施，认为应该从加强评价者培训、实施绩效沟通，以及树立绩效考核参与者主体意识、吸收借鉴国内外先进经验等方面来解决我国公务员绩效考核存在的问题。
综合全文来看，创新点主要在于构建了分类别的公务员绩效考核指标体系。针对综合管理类职位而言，笔者依据关键成功要素法设计了德、能、勤、绩、廉下面的31项关键绩效指标，如“德”下面的指标包括政治理论、民主性、方针政策、社会道德、职业道德、进取心、原则性和法律观念，在此基础上运用层次分析法，设计了德、能、勤、绩、廉的权重以及各级KPI的不同权重；同理还构建了专业技术类职位的28项关键绩效指标和行政执法类的27项关键绩效指标。然后再结合考核等级和分值，形成了一套系统的公务员绩效考核指标体系，最终对公务员的各项表现打分定级。
When China was being plan-economic period, once overlooked the problem of administrative efficiency and administrative cost. After reforming, our reform focus is to straighten the relation of party and government, government and company, structural reorganization, and establish and perfect public-official system, so that we discover very low administrative efficiency and very high administrative cost suddenly after taking part in the WTO. These obstructed perfection and normal operation of socialist market economy, and seriously harmed government image, relationship of party, people and administrators, so must be reformed. Just because it was such, the 16th council of CPC pointed out clearly that we should raise administrative efficiency, reduce administrative cost, and form the administrative system of the behavior standard, operation coordinative, impartial and transparent, honest efficiency. Government effect check will not only promote the realization of administrative reform goal of the 16th council of CPC, but also can ensure to offers deep system layer for strengthening the reform accomplishment. Government effect check includes 3 layers: Government and government department and public-official, in which public-official effect check is the core of effect check. Because the influence of particularity of public-official and government political and cultural environment has caused that public-official effect check becomes our country and even global problem. How to design a set of reasonable and practical public-official effect check system for Chinese public-official is our aim.
This paper have first introduced origin and the meaning of effect check theory, and have elaborated the origin and experience of public-official system of America, Canadian, Japanese, French and German. Second, it introduced present situation and the evolution of Chinese public-official effect check, and have summarized the major problem of public-official effect check, such as lacking with the connection of other organization campaigns, encourage function to become invalid, index system lacking scientificness and specific aim, Examine official is unitary and information asymmetrical as well as idea mistake. On this foundation, this paper has analyzed 4 big reasons: system obstacle, value diversity, the influence of political and cultural environment.
The key content of this paper is to design overall frame of public-official effect check and focal point is index system. According to the stipulation of position classification of"public-official law", the author considers the nature, content, and character of these position, such as general management, professional technology and law enforcement, and uses KPI check system and the crucial successful analysis law of essential factor to have founded the check index of 3 kinds of public-official, and makes use of level analysis means to design the different proportion of index. The author has established index standard, check grade and check score and have formed a complete check index system. And then has designed the overall frame of public-official effect check system, include purpose and principle, check official, check process and check supervisor, effect communication as well as effect improvement plan. Finally article have put forward 7 guarantee measures to make sure of running by order of effect check system, such as reinforcing appraisement training, enforcing effect communication, utilizing check result reasonably as well as setting up main consciousness of effect check participator, absorbing domestic and international advanced experience and so on, so that coming to solve the problem of Chinese public-official effect check.
The creation of paper lies in mainly to found public-official effect check index system of different classification. according to the kind of position of general management, the author has designed 31 key index under morals, ability, hard, record and honesty with the crucial successful law of essential factor, such as under"morals"is political theoretical, democraticness, policy, social morals, professional morals, initiative and principled and legal idea. On this foundation we have designed different proportion of morals, ability, hard, record and honesty and different levels KPI with level analysis law. And then we have founded the 28 key indexes of professional technical position and the 27 key indexes of law enforcement position. Then, again connecting check grade and record, the author has formed a set of index system of public-official effect check, and using the system to decide level for every public official.
引文
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[4][美]罗宾斯．《组织行为学》(7版)[M]．北京：中国人民大学出版社，1997：2—9．
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[2]刘俊生．《公共人事管理比较分析》[M]．北京：人民出版社，2001：15—26．
[3]王利平．《管理学院里》[M]．北京：中国人民大学出版社，2000：3-10．
[4][美]罗宾斯．《组织行为学》(7版)[M]．北京：中国人民大学出版社，1997：2—9．
[5]朱启修．《社会经济统计学原理》[M]．北京：中国财政经济出版社，1988：6．
[6]廖晓珊．县(区)级公务员考核评价系统研究[J]．昆明：昆明理工大学学报．1996，(5)．
[7]蒋跃进，梁梁．团队绩效管理研究述评[J]．北京：经济管理，2004，(13)．
[8]饶征．《以KPI为核心的绩效管理》[M]．北京：中国人民大学出版社，2003：5，35-38．
[9][美]保罗·尼文著：《平衡计分卡》[M]．北京：中国财政经济出版社，2003：203—204．
[10]舒放，王克良．《国家公务员制度教程》[M]．北京：中国人民大学出版社，2001．
[11]何兰芳．中国公务员绩效管理研究[D]．北京：中国优秀硕士论文全文数据库，2004．
[12][美]史蒂文·科恩，威廉·埃米克．《新有效公共管理者》[M]．北京：中国人民大学出版社，2001：37．
[13]姜晓萍，马凯利．我国公务员绩效考核的困境及其对策分析[J]．北京：社会科学研究，2005，(1)．
[14]彭国甫．对政府绩效评估几个基本问题的反思[J]．湘潭：湘潭大学学报，2004，(3)．
[15]魏钧．绩效指标分解的工具和方法[J]．北京：中国劳动，2006，(5)．
[16]谢宣正．层次分析法在绩效管理中的应用．北京：中国劳动，2005，(11)．
[17]陈锡安．公务员量化考核研究[J]．南京：人事管理，2003，(9)．
[18]王萍．兰州市工商局西固分局公务员绩效考核体系研究[D]．北京：中国优秀硕士论文全文数据库，2004．
[19][美]奥斯特罗姆．《公共事物的治理之道》[M]．上海：三联书店，2000，(61)．
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