【作者】 陈巍；

【导师】 彭国甫；

【作者基本信息】 湘潭大学 ， 行政管理， 2013， 博士

【摘要】 党的十八大报告指出，“要按照建立中国特色行政体制目标，建设职能科学、结构优化、廉洁高效的服务型政府；创新行政管理方式，提高政府公信力和执行力；建立健全权力运行制约和监督体系。”这为新时期我国行政管理体制改革指明了方向。建立健全行政问责制，推进政府绩效评估，是当前加强政府自身建设、提升政府公信力、推进行政改革的重要途径。当前，政府绩效评估的本质与功能究竟是什么？政府责任机制的本质属性有哪些？政府绩效评估与政府责任机制存在何种的关联？面对诸多的行政改革思维和路径，如何科学开展政府管理体制改革的顶层设计，找准行政管理体制改革的突破口，直接关系到政府管理体制改革的前途和效果。因此，积极借鉴西方国家新公共管理改革的经验，科学分析政府绩效评估与政府责任机制强化的关系，依托政府绩效评估推进政府责任机制的完善和创新，既是当前公共管理理论研究的一个前沿课题，同时也是加强政府自身建设和推进政府管理创新的重要途径。政府绩效评估是运用科学的标准、方法和程序，对政府绩效进行评定和划分等级，是一种对政府官员政绩优劣和高低进行考量的问责机制，是一种有效的政府责任机制。责任政府与政府责任机制作为一种民主治理理念抑或制度安排，体现为公共行政规范化的价值导向过程，其核心在于依据一定的政治价值观来构建公共行政的基本结构和运行机制，要求形成公共利益导向的行政模式。依托绩效评估推进政府责任机制建设，可以强化内部责任配置与层级控制，从而推进政府内部责任机制建设，同时还可以通过吸纳公众参与和社会监督，积极完善政府外部责任机制建设。美国联邦政府、英国地方政府、其他OECD国家等依托绩效评估推进政府责任机制建设的实践充分表明：绩效评估本质上是一种新型的政府责任机制。中国应立足国情和政府管理实际，合理借鉴发达国家政府绩效管理经验，倡导公众本位导向和结果管理理念，健全公众评议政府的机制，完善政府绩效评估结果运用制度，积极推进责任政府建设，使政府责任机制有效地运行起来。通过选取有代表性的依托绩效评估推进责任机制建设的案例，如湖南省“为民办实事”绩效考核体系、青岛市目标责任考核、岳阳县党政管理绩效评估，发现绩效评估有助于形成科学民主的责任确定机制、责任制衡的刚性化执行机制、督查考核的制度化监督机制、奖惩兑现的导向化激励机制，有助于解决官员问责文化滞后、官员问责内容单一、“非规范化问责”等难题。以政府绩效评估推进我国政府责任机制创新，必须树立政府责任机制创新的理念、建立健全政府绩效评估体系、整合政府绩效评估与行政问责制度、营造和建设行政吸纳评估的基本环境。论文从研究政府绩效评估的问责意蕴入手，研究了政府绩效评估与政府责任机制建设的相关性，阐述了政府绩效评估的公共问责机理，在反思我国政府责任机制建设存在问题以及成因基础上，介绍了国外政府依托绩效评估推进公共责任机制建设的基本经验，探讨了依托政府绩效评估实现政府责任机制建设和创新的基本途径。论文提出了绩效评估是一种有效的政府责任机制的观点；从政府绩效评估结构要素出发，揭示政府绩效评估系统结构中各要素的内在问责功能，且分析了绩效评估问责功能形成的机理；分析了绩效评估体系的缺陷对政府责任机制的影响，如政府绩效评估指标体系不科学，指标体系对政府及干部的约束难；政府绩效评估公众参与不足，公众对政府的问责难；政府绩效评估制度不健全，问责的客观公正性确保难；政府绩效评估程序不规范，绩效评估的问责功能落到实处难等。论文一方面有助于完善地方政府绩效评估体系，推进我国政府责任机制的完善和创新，为推进我国行政管理体制改革和构建服务型政府提供新的视角和对策；同时还有利于为我国政府绩效评估和行政问责制的完善提供了必要的理论储备，从而为责任政府的建设、全面贯彻和落实科学发展观与正确政绩观，提供必要的政府配套改革支持。更多还原

【Abstract】 The report of the eighteenth National Congress of the CPC points out,“according tothe target of constructing Chinese characteristics of administrative system, our countryshould build a service-type government which is scientific, optimized, clean and efficient;innovate the method of administrative management; enhance the credibility and executivepower of the government; establish and improve the operation of power restriction andsupervision system.” This target specifies a clear direction for China’s administrativesystem reform in the new period. The establishment of administrative accountabilitysystem and the implement of the performance evaluation are important ways to strengthenself-construction of government and to promote the innovation of governmentalmanagement. At present, what is the nature and function of the government performanceevaluation? What is the nature of government responsibility mechanism? What is therelationship between the government performance evaluation and the governmentresponsibility mechanism? Facing to several thoughts and paths of administrative reform,how to carry out the top-level design on the reform of government management systemscientifically? How to find a breakthrough in the reform of the administrative system,directly related to the future and effect of the government management system reform.Therefore, this research actively learns the new experiences of the public managementreform from western countries, scientifically analyzes the strengthening relationshipbetween the government performance evaluation and the government responsibilitymechanism, positively promotes the improvement and innovation of governmentresponsibility mechanism based on the the government performance evaluation, is a fronttopic on the public management theory, is also an important way to strengthen theself-construction of the government and the government management innovation.The evaluation of government performance is the use of scientific standard, methodand program to evaluate and grade the government performance, is a kind ofaccountability mechanism to qualify the level of government officials, and is an effectivemechanism of responsible government. Responsible government and governmentaccountability mechanism are regarded as a democratic governance concept or systemarrangement, which is the value orientation process of public administrativestandardization, its core is based on certain political values to construct the publicadministration basic structure and operation mechanism. They are required to be theformation of public interests administrative mode. Relying on performance evaluation can promote government responsibility mechanism construction, can strengthen the internalresponsibility allocation and hierarchical control, thereby driving the government internalresponsibility mechanism construction, it still can attract public participation andsupervision, and actively improve the government external responsibility systemconstruction. The practice of promoting the construction of government responsibilitymechanism based on the performance evaluation in the United States federal government,the local government in England and the other OECD countries shows that: theperformance evaluation is a new type of government accountability mechanism. Chinashould keep a foothold in the actual situation and the government management reality,draws on the experience of the government performance management from developedcountries, advocates the public standard orientation and results management concept,establishes the mechanism for public comments, improves the results using system ofgovernment performance evaluation, promotes the construction of a responsiblegovernment, operates government responsibility mechanism effectively. By selectingsome representative cases which are the Hunan province “perform actual deeds for thepeople” performance appraisal system, Qingdao city goal responsibility assessment,Yueyang county Party and government management performance evaluation, to advancethe responsibility mechanism construction based on the performance evaluation. Thisstudy points out that the performance evaluation is helpful to form a scientific anddemocratic accountability mechanism, responsibility and rigid enforcement mechanism,the inspection appraisal system of supervision mechanism, the incentive mechanism ofrewards and punishments orientation. It is helpful to solve some problems, such as the lagof official accountability culture, the singleness of official accountability,"Nonstandardized accountability". To promote the innovation of government responsibilitymechanism of our country, it is necessary to set up the innovation idea for governmentresponsibility mechanism, to establish and perfect the government performance evaluationsystem, to integrate the government performance evaluation and administrativeaccountability system, to construct the basic environment for administrative evaluation.This paper begins study with the implication of government performance evaluationaccountability, researches the correlation between government performance evaluation andgovernment responsibility mechanism construction, elaborates the governmentperformance evaluation of public accountability mechanism, in the reflection on problemsand causes of China’s government responsible mechanism construction, This paperintroduces the basic experience of public duty mechanism construction relying on performance evaluation made by foreign governments, discusses the basic approach ofrealizing government responsible mechanism construction relying on governmentperformance evaluation. The main achievement and innovation of the essay are as follows:Firstly, the performance evaluation is an effective mechanism of responsible government;Secondly, from the structural elements of the government performance evaluation, thispaper reveals the structural elements of the internal accountability in the governmentperformance evaluation system and analyzes the forming process of the performanceevaluation accountability mechanism; Lastly, this paper expounds the influence on thegovernment accountability mechanism made by the defects of the performance evaluationsystem, such as the unscientific government performance evaluation index system whichis difficult to constraint government and cadre, inadequate public participation andaccountability in the government performance evaluation, unsound of the governmentperformance evaluation system, hard to ensure the objectivity and impartiality of theaccountability, nonstandard procedures of the government performance evaluation,difficult to implement the accountability of performance evaluation. This thesis is helpfulto improve the local government performance evaluation system, promote the perfectionand innovation of our government responsibility mechanism, and provide a newperspective and countermeasure for China’s administrative management system reformand a service-oriented government building. At the same time, this thesis is still helpful toprovide necessary theoretical reserve for improving government performance evaluationand the administrative accountability system in our country, to provide necessary supportfor the construction of the responsible government, the realization of the scientific outlookon development and a correct view of the government reform.更多还原