【作者】 史璞；

【导师】 孟溦；

【作者基本信息】 华东师范大学 ， 教育经济与管理， 2013， 博士

【摘要】 二十世纪七八十年代,在新公共管理运动浪潮的席卷下,在企业广泛应用的绩效管理、绩效评价逐渐为公共部门所采纳,成为优化资源配置、提高组织绩效和管理效能的重要手段之一。近年来,我国政府对高等教育的投入呈持续增长态势,但还远不能解决公共教育资源的有限性与大学规模迅速扩大、社会需求多元化之间的矛盾。高等教育的办学质量、办学效率及社会效益日益受到社会各界的关注,大学组织评估中工具理性和价值理性诉求的矛盾、外部评估和学校内部评估的矛盾等都使高等教育的管理问题凸显。《国家中长期教育改革和发展规划纲要(2010-2020年)》明确指出“高校要加快一流大学和一流学科的建设。改进管理模式,引入竞争机制,实行绩效评估,进行动态管理”。然而,由于大学绩效目标的多元性和模糊性、“划科而治”相对松散的组织结构、以及强调“学术自由”的学术权力和“目标管理、效率至上”的行政权力并存与冲突形成了大学独特而复杂的组织结构和管理模式。而目前,我国大学绩效管理更多是处于绩效评价阶段,绩效管理的系统性、整体性和一致性等特点还未得到体现,绩效管理与组织的密切关系还未得到重视。组织各要素如何影响着大学绩效、如何借鉴和发展企业、政府部门行之有效的绩效管理理论和方法,探索适合大学组织特点的绩效管理模式成为高等教育管理热点研究问题之一。大学组织结构通过教学、科研、管理服务等劳动分工将组织成员安排在一定的岗位、赋予一定的职责,并且建立规范科学的运行机制,通过影响组织成员的行为模式来影响组织和个体绩效；大学组织内部不同性质的权力平衡、协调和配置是组织管理所关注的重要问题。权力通过影响组织决策模式、资源配置等影响着组织活动和个体行为,从而影响着组织和个体绩效的实现；大学组织制度通过影响个体的偏好和自我身份认同,来引导、约束、激励组织活动和个体行为从而影响组织和个体绩效。因此,大学绩效管理是以大学组织为载体行使管理职能的。本文以组织理论为研究视角,主要从组织结构、组织权力和组织制度三个方面分析其对大学绩效管理的影响。大学专业式官僚组织的性质容易引发价值理性和工具理性的不平衡。在管理主义影响下,过多的工具理性会导致管理的僵化,遏制组织创新活力；学术组织的民主和自由的内在追求又决定了绩效管理中价值理性的不容忽视。但过多的价值理性会导致组织运行的低效率和无序,使组织无法在竞争中立足,从而产生生存危机。两者和谐共存、更好地发挥绩效管理在大学组织管理中的价值导向作用,才有利于大学组织的成长和发展。本研究以组织理论为支撑,从组织结构、组织权力和组织制度三个方面分析其对大学绩效管理的影响,同时以组织战略为指导,兼顾价值理性和工具理性,设计了大学绩效管理系统构建的可行性模型,提出具有可操作性地大学绩效管理系统构建七步骤,具体包括：确定大学绩效管理系统实施目的、分析大学管理现状、确定绩效管理实施范围及构建原则、优化大学绩效管理系统的组织基础、设计基于组织的大学绩效管理系统框架、实施试点、大学绩效管理系统评价和优化。其中,大学绩效管理系统实施的目的决定了实施范围及构建原则,而对管理现状的分析则为优化学校绩效管理的组织基础以及设计基于组织的大学绩效管理系统框架提供了现实的依据。在以大学组织结构为载体、以制度和信息支持系统为保障、以学校战略为引导的前提下,将绩效管理系统流程设计为三个部分：绩效目标的确定与分解,绩效管理实施过程(绩效计划、绩效执行、绩效评价、绩效反馈),绩效信息的运用等。本研究还通过文本研究、座谈会、问卷调查等方式分析和诊断H大学管理现状,并将可行性模型运用到H大学绩效管理及评价系统的优化和完善中。目前,大学绩效管理研究从管理角度、呈碎片化研究居多,少有对大学绩效管理系统的研究,也少有从组织视角的深入分析。因此,基于组织理论的视角研究大学绩效管理系统、构建基于组织的大学绩效管理系统框架、分析并优化大学绩效管理的制度基础、提出分步和分阶段实施大学绩效管理的观点都是本研究的主要创新之处。更多还原

【Abstract】 In the1970s and1980s, under the wave of new public management movement, performance management and performance evaluating widely used in the enterprise has adopted for the public sector and became one of important means to optimize resource allocation, improve organizational performance and management efficiency. In recent years, government spending on higher education in China continue to increase, but is far from solve the limitations of public education resources and the contradiction between university scale expanding rapidly and diversified social demands. Higher education quality, the running efficiency and social benefits has increasingly caused the attention from the society with the problem of higher education management has emerged. National medium and long-term educational reform and development plan (2010-2020) clearly pointed out that "colleges and universities should accelerate the construction of first-class university and the first-class discipline, improve management mode, introduce competition mechanism, implement performance evaluation and dynamic management." However, due to the diversity and vagueness of university performance targets unique and complex organization structure and management model,"Cross section and rule" relatively loose structure, as well as the conflict between "academic freedom" academic power and "management by objectives, efficiency first" administrative power, unique and complex organization structure and management mode formed. But at present, our country university performance management mostly is in the stage of the performance evaluation, systematic, integrity and consistency of performance management is couldn’t get completely reflect, the close relationship between the performance management and the organization has not gained full attention. How each factor affects the university organizational performance? How to explore performance management mode suited to the characteristics of the university organization through using and developing the effective performance management theory and method of enterprises and government departments? This paper analyze its impact on the performance of the university from organizational structure, organizational power and system three aspects, using organization theory as the research angle of view. Through division of labor, the organizational structure of the university arranged organize members in certain jobs, given certain responsibility, establish scientific operation mechanism, affect the performance of organizations and individuals by affected behavior patterns of the organizational members. The balance, coordination and allocation between different powers in the university organization is an important problem of organization management. By influencing the organization decision model and the allocation of resources, power affects the organization activities and individual behavior, thus affect the realization of the organization and individual performance. By influencing the individual preferences and self identity, university organization system guide, constraints and incentive the organizational activities and individual behavior, thus affect organizational and individual performance. Therefore, university performance management take university organization as the carrier to exercise management function. Aiming at the problems in organization, only through adjustment and change, that we can effectively implement performance management.It is the nature of university professional bureaucracy to determine the important position of managerialism. Under the influence of managerialism, too much instrumental rationality can leads to the rigidity of management, the lack of competitiveness. Academic organization intrinsic pursuit of democracy and freedom decided to ignore the value rationality of performance management. But the value rational can lead to tissue inefficiency and disorder, so that the organization cannot survive in the competition, resulting in a crisis of survival. Only harmonious coexistence and better playing the role of university performance management is advantageous to the growth and development of organization.Supported by organizational theory, this study analyze its impact on university performance management from organizational structure, organizational power and system three aspects.Guided by the organization strategy at the same time, taking both rational value and rational tool into account, the study designs a feasibility model to construct university performance management system, The construction of university performance management system is divided into seven steps:determining the purpose of university performance management; analysising current situation of university performance management; determining the scope of university performance management system implementation and constraction principle; the organizational foundation for optimizing performance management system of university; designing university performance management system framework based on the organization; implementation of the pilot; evaluation and optimization of university performance management system. The purpose of performance management system of university determines the scope of implementation and constraction principles. While analyzing the current situation of management provides a realistic foundation for optimizing the organization basis of university performance management and designing university performance management system framework based on the organization. On the carrier of university organization structure, guaranteeing by the systems and information, under the guidanceIn of the the university strategy, the performance management system framework is designed to three parts:determination and decomposition of performance target, performance management implementation process (performance plans, performance implementation, performance evaluation, performance feedback), use of university performance information.Through seminars and questionnaire, this research diagnosis and analysis on the problems in the performance management. Though the feasible mode, this research try to optimize and improve the system of performance management and evaluation of H University.At present, most researches are fragmented, few research is systematic and in-depth from the perspective of organization. Therefore, the main innovations of this research includ:researching university performance management system based on the organization theory, constructing the frame of university performance management system based on the organization, analysing and optimizing the institution foundation of university performance management, putting forward the suggestions such as steping by steping and grading to implement the university performance management so reducing the managemen risk.更多还原