【作者】 刘晓苏；

【导师】 吴志华；

【作者基本信息】 华东师范大学 ， 政治学理论， 2009， 博士

【摘要】 事业单位人事制度改革已处于公共部门制度创新整体进程相对滞后的境地。事业单位承担着公共物品供给的重要职责,但由于事业单位人事制度的遗传性积弊削弱了其制度应有的激励功能,大多数事业单位都不同程度地存在公共服务效率低下的问题。有鉴于此,论文基于公共部门人事制度变迁以及事业单位体制改革的宏观背景,对近年来事业单位人事制度改革的现状进行利弊诊断。同时借用新制度经济学理论、战略管理理论以及人力资源管理等相关理论,适当借鉴国外公共服务机构人事制度的运作机理和发展趋势,在探讨事业单位人事制度的目标、战略和路径的基础上,期望提出符合事业单位实际情况的人力资源管理运作机制的设计建议,寻找推进事业单位人事制度创新的突破口。具体来说,论文基于以下几个层面展开讨论。研究事业单位人事制度改革首先需要明晰事业单位及其人事制度的基本内涵。基于实然和应然相结合的角度,将事业单位的基本属性概括为实体性、非营利性、公有性、非权力性、自主性等。除了具备组织人事制度的普遍特征外,事业单位传统人事制度还具有依附性、过渡性、不规范性、不平衡性等独特性。从组织层面看,事业单位人事制度的功能应体现在导向、规范和更新三个层面,但这一功能的发挥,不但取决于制度安排本身的设计合理性,也取决于制度要素的耦合程度。事业单位人事制度由若干制度要素有机组合而成,其制度结构涉及规则、对象、理念和载体等四个方面的内容。事业单位人事制度功能困境的原因是多方面的,一个重要而被忽视的原因在于其制度结构诸要素的失衡。事业单位体制改革影响和制约事业单位人事制度改革的进程。传统事业单位体制是在当代中国现代化演进和民族国家构建的总体框架内,以及特定的政治经济条件和历史文化背景下产生的。随着经济体制改革向纵深推进和政治体制改革的展开,事业单位传统体制已很难适应社会经济发展的要求,在此背景下,事业单位体制改革被逐步提上议事日程,并随着经济体制改革的深化而不断深化。虽然事业单位体制改革仍处于表层化的探索和试验阶段,缺乏总体规划和明确的目标,并且各类事业单位的体制改革进程也不尽相同,但事业单位体制创新仍然积累了许多有益的经验。在此基础上,通过借鉴或参考国外公共服务供给的体制模式,将事业单位体制创新的目标定位为现代事业制度。现代事业制度是公共服务供给的理想状态,要达到现代事业制度的目标,需要将事业单位体制创新的路径定位于两个方面,即继续推进强制性制度变迁和培育诱制性制度变迁。体制环境的改善使事业单位内部的人事制度积弊显现得更加突出。事业单位人事制度改革虽然取得了初步成效,但较之机关和企业的人事制度创新而言,还处于相对滞后的状态,一些深层次和实质性问题依然未从根本上得到解决。究其原因,除了改革本身所具有的复杂性与艰巨性外,主要在于政府制度供给不足,涉及事业单位性质定位模糊、事业单位体制关系未理顺以及政府推动力不足等方面。上述消极因素的客观存在,已经成为事业单位人事制度改革向纵深推进的桎梏,不从根本上解决这些问题,事业单位人事制度改革就很难取得实质性的突破。事业单位人事制度改革可以适度借鉴国外公共服务供给组织的人事运作机制。各国公共服务供给组织种类繁多、性质各异,其中部门代理机构和公法行政实体等公立公共服务组织,以及非营利组织的人事管理实践对事业单位人事制度改革有借鉴或参考价值。事业单位人事制度改革不能简单模仿或移植其他制度环境中的运作模式,但通过对国外公共服务供给组织人事管理实践的梳理和分析,探究其中某些成熟的共性成分和发展趋势,可以为事业单位人事制度改革提供可资借鉴的有益素材。事业单位人事制度改革需要明确目标、战略及其路径。事业单位人事制度改革的目标涉及宏观的体制目标、中观的制度目标和微观的机制目标等3个层面的内容。在改革目标的指引下,运用SWOT矩阵扫描和分析事业单位人事制度改革面临的优势、劣势、机会和威胁的基础上,将事业单位人事制度改革的战略方案定位于WO战略,即利用外部机会克服内部劣势。按照这一战略的总体实施要求,事业单位人事制度改革的战略实施应围绕两个方面展开,即加大政府制度供给力度,充分利用改革契机;导入人力资源管理制度模式,消解事业单位传统人事制度的遗传性积弊。就微观层面的机制目标看,事业单位人事制度改革应导入人力资源管理的理念和技术方法,以克服和扭转事业单位传统人事制度的固有劣势,并在人事制度变革过程中从人事管理走向人力资源管理。滥觞于企业的人力资源管理理念及其技术方法,正逐步被各国公共服务组织所吸收和借鉴。较之事业单位传统人事管理方法,强调人本理念的人力资源管理技术方法更为精致而个中翘楚,也因此更能激发个体的工作潜能,调动事业单位人员的工作积极性。论文从应然和实然相结合的角度,运用人力资源管理的理念和技术方法,对事业单位人事管理活动的主干环节,包括人员招聘、绩效评估和报酬制度建设作出初步的分析和阐释。更多还原

【Abstract】 Reform in the personnel system of China’s public service units is relatively backward in the whole process of the systematic innovation of public sectors.China’s public service units take on an important responsibility for supplying public goods, but most of them are not efficient a certain degree since drawbacks inherited from the system of public service units weaken its inspiring function.In view of this,thesis analyzes advantages and disadvantages of the current reform in the personnel system of China’s public service units in recent years on the basis of evolutions in the personnel system of public sectors and macroscopic backgrounds for the reform of public service units system.Meanwhile,using for reference the working mechanism and development tendency of the personnel system of overseas public service institutions,and using such theories as new institutional economics,strategic management theory,and human resource management,I expect to advise a working mechanism of human resource management in accordance with practical situations and seek a breakthrough in the systematic innovation of public service units on the basis of probing into the goal,strategy and way of the personnel system of public service units.Specifically speaking,the thesis is developed at the following levels.Research on the personnel system reform of public service units first needs a clear understanding of public service units and its personnel system.From the angle of combining“ought to be”with“to be”,basic properties of public service units can be generalized as entity,nonprofit,public,non-power,and self-determination.Besides, the traditional personnel system reform of public service units possesses such unique characteristics as dependence,transition,irregularity,and imbalance.From the viewpoint of organizational levels,the personnel system of public service units has a function embodied in three aspects such as orientation,criterion,and renewal,but the full application of this function depends on not only the reasonable design of system settlement but also the coupling degree in system factors.The personnel system of public service units is composed of several system factors and its system structure includes contents such as rules,objects,ideas,and carriers.There are several factors that bring the predicament of personal system function in public service units.While one of the important elements,which is ignored,is the disbalance of the system structure.Reform in the system of public service units influences and restricts the process of their personnel system reform.The traditional system of public service units develops in particular political and economic conditions and historical and cultural backgrounds in the general framework of evolutions in China’s modernization and construction of national state.With the development of reform in economic and political system,the traditional system of public service units is difficult to suit requirements of social and economic development.Based on this,reform in the system of public service units has been gradually put forward for discussion in agenda and will deepen with the development of economic system reform.Although the reform in the system of public service units is still in a superficially exploring and experimental stage,lacks general designs and clear goals,and the reform courses of various public service units’ system are different,the system innovation of public service units accumulates a lot of beneficial experience.On the basis of this,the goal of innovation in the system of public service units is set to be modern institution system by referring to system patterns of overseas public service supplied.Modern institution system is an ideal state of supplying public service so that the path choice of innovation in the system of public service units must support the positioning in order to reach this goal,that is,continue to promote the compelled institutional change and cultivate the inductivity institutional change.Improvements in system environment make more obvious drawbacks of personnel system inside public service units.Even though the reform in the personnel system of public service units makes some preliminary progresses,it is still in a backward state compared with innovations in personnel system of government organs and enterprises since some deep-rooted and essential problems are not solved yet.The main reasons lie in the shortage of institutional supply by government,such aspects as the ambiguous orientation of public service units,the unclear relationship of public service units systems,the insufficient impetus of governments,and complexity and hardship inherent in reform itself.The existence of passive factors described above becomes shackles of further reform in personnel system of public service units.Thus, reform in the personnel system of public service units is very difficult to make a substantial breakthrough unless these problems are radically solved.Reform in the personnel system of public service units could properly use for reference personnel working mechanisms of oversras organizations supplying public service.In each country,such organizations are of various types with different properties.Particularly,reform in the personnel system of public service units can use for reference personnel management practices in non-profit organizations and such public service organizations as departmental agencies and public law administrations. Such a reform cannot simply imitate or transplant work patterns in other institutional environments,but an analysis of personnel management practices in overseas organizations supplying public service helps us to learn some mature and common components and development tendency and hence provides usable and beneficial materials for reform in the personnel system of public service units.Reform in the personnel system of public service units requires a definite goal, strategy and its choice of paths.Such a goal involves macroscopic system goal, meso-institutional goal,and microscopic mechanism goal.Under the guidance of reform goals,by using SWOT matrix scanning and analyzing advantages, disadvantages,opportunities,and threats in the system reform of public service units, we will use WO strategy,that is,taking advantage of external opportunities to overcome internal drawbacks,as strategic plans of reform in the personnel system of public service units.According to the general practice requirements of this strategy, strategic implementation of reform in the personnel system of public service units should be developed from two aspects:enhancing institutional supplying from government and fully using reform opportunities on the one hand,and employing system model of human resource management to eliminate transmissible drawbacks in the traditional personnel system of public service units on the other hand.From the viewpoint of mechanism goals at the microscopic level,reform in the personnel system of public service units should introduce theories and technological methods of human resource management to overcome inherent drawbacks of the traditional personnel system of public service units and transform personnel management into human resource management in the process of reforming personnel system.Theories and technological methods of human resource management originated from private organizations are gradually absorbed and used by public service organizations in every country.Compared with traditional personnel management methods in public service units,theories and technological methods of human resource management emphasizing human-oriented ideas are more delicate and excellent,and hence are better to stimulate individual’s work potential and bring into play employee’s enthusiasm for work.From the angle of combining“ought to be”with“to be”,thesis employs theories and technological methods of human resource management to make an elementary analysis and explanation of such main aspects as recruitment,performance appraisal,and compensation system in personnel management activity of public service units.更多还原