【作者】 王凯伟；

【导师】 李富强； 颜佳华；

【作者基本信息】 湘潭大学 ， 行政管理， 2011， 博士

【摘要】 提升行政监督实效,是各级行政监督机关一直追求的基本目标之一,是促进我国廉洁高效、责任务实、透明公开的服务型政府建设的基本要求,也是国内外学术界研究的一个热点与难点问题。行政监督实效评估,是行政监督领域一个全新的研究视角,对这一问题的研究对于推进行政监督理论的深化,规范行政权力运行、加强惩治和预防腐败体系建设,提升行政监督实效、深化行政管理体制改革无疑具有重要的理论意义和现实意义。在学习和借鉴国内外政府绩效评估的先进理念和成功经验的基础上,行政监督实效评估研究以科学发展观、新公共管理、绩效管理、法治政府、利益相关者等理论为理论支撑点,成为解决我国现存的行政监督存在的问题和推进行政监督机关发展的一项新课题。本文以行政监督实效的可评性为理论假设,分析了行政监督实效评估的理论基础和现实依据,构建了一个包含评估主体、指标体系、评估方法、程序构建、制度设计在内的行政监督实效评估体系。本文采用文献研究、调查研究、定量分析等方法,将科学发展观理论、新公共管理理论、绩效管理理论、利益相关者理论、法治政府理论等作为构建行政监督实效评估的理论基础,分析行政监督实效评估的现实依据:是加强和完善行政监督体系建设的需要,是加强惩治和预防腐败体系建设的需要,是提高行政效能和促进廉政建设的需要,是落实依法行政和建设法治政府的需要。总结行政监督实效评估取得的成效,如行政监督实效评估理念得到认同、公民参与监督实效评估的意识逐步增强、行政监督实效评估实践活动相继开展、行政监督实效逐步得到提升。挖掘行政监督实效评估存在的诸如评估活动缺乏战略导向、评估指标体系不够科学、评估过程不够公开透明、评估结果缺乏实质意义等问题,并从“公众本位”理念有所欠缺、实效评估尚属新生事物、评估活动缺乏法制保障、评估体系尚未真正建立等方面分析其存在问题的原因。本文以行政监督实效评估体系构建的全面性、科学性、系统性、可测性、动态性要求为起点,探讨了行政监督实效评估体系构建的维度设定、主体构成、指标体系构建、方法选择、模型构建、制度设计等六大板块。并综合运用平衡计分卡、层次分析法、模糊综合评价、满意度测评、SPSS统计分析等定量分析方法来进行技术支持和有效性统计检验,初步构建起了比较科学、合理的行政监督实效评估体系。以湖南省14个市(州)为例,对行政监督实效评估进行了实证研究。在对湖南省14个市(州)地方各级行政监督机关的职能职责进行分析的基础上,通过修正和完善14个市(州)行政监督实效评估的主体选择、客体确定、指标构建、评价标准、制度设计、模型构建、实施过程等步骤,构建起适合地方特色的行政监督实效评估体系,实际评估了湖南省14个市(州)的行政监督实效。并根据湖南省14个市(州)的行政监督实效的评估结果及实证分析等,针对影响行政监督实效评估的各种因子,从促进行政监督实效评估的理念创新、构筑行政监督实效评估的法制体系、实现行政监督实效评估的机制创新、推进行政监督实效评估的技术革新等方面提出了改进行政监督实效评估的对策。本文在以下几个方面有所创新:1、将定量分析方法运用于政治学研究领域,是对行政监督研究视角新的拓展。本文突破了传统的研究视角,改变原有的以行政监督机制、体制、环境等为重点的纯理论研究,体现“人本”理念,引入“公民参与”,将研究重点放在行政监督实效“评估”上,将政府绩效评估中运用的方法移植到行政监督实效评估中来,丰富和深化了定量研究方法。2、初步构建起了比较科学、合理的行政监督实效评估体系。运用定量分析方法,依次探析维度设定、主体构成、指标构建、方法选择、程序构建、制度设计,构建起比较科学、合理的行政监督实效评估体系。3、对湖南省14个市(州)的行政监督实效评估进行实证研究,实现了行政监督实效评估研究从技术、方法、制度层面到对策层面的提升。本文为了检验行政监督实效评估体系的效果,运用模糊综合评价和公众满意度测评的方法,从不同的视角对湖南省14个市(州)的行政监督实效评估体系进行了实证分析,将行政监督实效评估研究从技术、方法、制度层面上升到公共治理层面。更多还原

【Abstract】 One of the most essential goals pursued by administrative supervision agencies of all the government divisions is how to promote the practical effect of administrative supervision, which is also a basic requirement for the construction of a service-typed government that is highly-efficient, disinterested, responsible and practical with an open and impartial characteristic. It is also a hot debated and difficult problem studied in the academic circles home and abroad. The effect evaluation of the administrative supervision constitutes a brand-new perspective in the research of the realm of administrative supervision, and a probation into this field is most significant theoretically and realistically for the promotion of the deepening of administrative supervision theories; the regulation of the application of the administrative powers; and the strengthening of the system construction for punishing and preventing of bribery, and improving the practical effect of administrative supervision; furthering the reformation in administrative supervision system. Based on the studying and introducing of the advanced theories and successful experiences on both home and foreign government achievement evaluation, this research takes the theories of scientific development outlooks, new public management, achievement management, legal administration and interest related theory etc. as its supporting details and tries to become a new project to solve current Chinese remaining problems in administrative supervision and to promote the development of administrative supervision agencies. With a theoretical hypothesis of the feasibility of the evaluation of administrative supervision effect, the thesis analyzes the theoretical basis and realistic foundation of the practical evaluation of the administrative supervision, constitutes an evaluating system for the effect of all levels of governments in administrative supervision including evaluation subjects, index system, evaluation methods, program building and institutional designing.The thesis adopts the methods of literature research, investigation research and quantitative analysis. It defines scientific development outlooks, new public management theories, achievement management theories, interest related theories, legal administration theories etc. as the theoretical basis of the effect evaluation of administration supervision, and analyzes the realistic foundation of the effect evaluation of administrative administration: the need of strengthening and perfecting administrative supervision system construction, the need of strengthening the construction of the system for punishing and preventing corruption, the need of improving administrative efficiency and promoting the construction of incorrupt government and the need of implementing the administration according to law and building the legal government. It summarizes the achievements of administrative supervision as the acknowledgement on the idea of effect evaluation of administration supervision, the gradual enhancement of citizens’participation in effect evaluation of administration supervision, the successive development of effect evaluation activities of administration supervision and the gradual promoting of effect evaluation of administration supervision. It taps the remaining problems like lacking of strategic direction in practice, unscientific of evaluation index system, lacking of open in evaluation process and lacking of essence meaning of evaluation results. It underlies reasons for administrative supervision effect evaluation. They are the concept of“Public-standard”is insufficient, effect evaluation is a new thing, evaluation activities lack legal protection, evaluation system haven’t set up real. With a starting point of the basic requirements of comprehensive, scientific, systematic, measurable and dynamic in the constructing of a system evaluating the effects of administrative supervision, this thesis mainly probes into the six sections in the system construction of administrative supervision evaluation, namely, dimension designating, subject composition, index system construction, approaches options, models construction, system designing. It applies the following studying approaches as balance scoring, level analyzing, ambiguous comprehensive evaluation, satisfaction evaluation, SPSS statistic analysis, which are qualitative analysis methods, in the technological supporting and validity statistic testing to constitute a relatively scientific and reasonable evaluation system the effects of administrative supervision. It carries out a demonstrative research of the administrative supervision evaluation in Hunan Province. After an analyzing of the responsibilities and duties of the respective regional administrative supervision agencies of the 14 regional cities in Hunan Province, this thesis tries to modify and perfect the process in subject selecting, objective identifying, index constructing, evaluation criteria, system designing , model constructing, implementing procedures in the 14 cities’economical and social development survey, and constitutes an evaluation system that is suitable to the regional administrative supervision. Also the thesis actually makes an assessment the practical evaluation effect of the administrative supervision in the 14 cities in Hunan province. Based on the above mentioned 14 cities’evaluation results and demonstrative analysis, the thesis advances the curing strategies for the perfecting of the evaluation effect of the administrative supervision by analyzing the factors influencing the supervision from different dimensions including promoting the theoretical renovation, establishing the legal system, realizing the evaluation mechanism and improving technology innovation.The possible renovation of the thesis lies in the following points: Firstly, the application of quantitative analytical method in politics research field is a new extension of the perspectives in the studying of the administrative supervision. The thesis banishes the traditional research perspectives, changes the original pure theoretical studies focusing on supervision mechanism, system, environment etc., embodies the theory of“humanity First”, introduces“citizen involvement”, and concentrates on the evaluation of the effects of the administrative supervision; the transplanting of the achievement evaluation methods into supervision evaluation greatly enriches and deepens quantitative research approaches. Secondly, it is the preliminary construction of a relatively scientific and reasonable evaluation system for administrative supervision. With the quantitative analytical approach, the thesis probes and analyzes the dimension designating, subject composition, index constructing, method options, program building, system designing, and constitutes a scientific and reasonable administrative supervision evaluation system. Finally, the demonstrative research in the 14 Hunan regional cities of their respective effect in administrative supervision evaluation promotes the research in administrative supervision evaluation from the perspective of technology, method and system to the perspective of strategy. Aiming at testing the validity of the administrative supervision evaluation, the thesis applies the methods of ambiguous comprehensive evaluation and public satisfaction evaluation in the analysis of the administrative supervision in 14 cities in Hunan Province, hence promoting the administrative supervision evaluation research from the level of technology, methods and system to the level of public management.更多还原