【作者】 周景坤；

【导师】 陈季华； 黄勇；

【作者基本信息】 东华大学 ， 环境科学与工程， 2009， 博士

【摘要】 20世纪以来,我国政府不断加大对地方党政领导环保绩效管理的力度,但由于我国地方党政领导环保绩效管理还处于启步阶段,存在环保绩效管理与地方政府环保战略规划相脱离,绩效考核指标缺乏科学性和针对性,考核主体单一,缺乏外部参与,考核结果的使用不充分,考核的监督与申诉机制不完善,绩效沟通缺失,环保绩效管理体系不完善等一系例问题,致使某些地方的党政领导在片面追求经济增长速度,追求经济利益的最大化的同时,造成当地大面积的水土流失,湖泊退化萎缩,污染物排放量超过环境承载能力,流经城市的河段普遍受到污染,江河断流,水资源严重短缺,城市空气污染严重,酸雨污染加重,持久性有机污染物的危害不断显现,土壤污染面积扩大,近岸海域污染加剧等诸多环境问题的出现,并且有越来越严重的趋势。这些地方党政领导在牺牲当地公众的环境利益,降低了经济成本的同时,却赢得了显赫的政绩,官运亨通,而那些注重长期效益,注重环境保护的地方党政领导则因近期效益难以显现而受到埋没。如果不能通过地方党政领导环保绩效管理的机制来对那些急功近利的地方党政领导环保行为予以禁止或惩罚,就不可能保持地方经济的可持续发展。因此本研究在借鉴国内外相关研究的基础上,深入探究出地方党政领导环保绩效管理存在问题的根源为:地方党政领导环保绩效管理权力和行为缺乏有效监督和制衡机制,“科层制”结构普遍存在,考核主体缺乏独立性、代表性和广泛性,地方党政领导环保绩效产出难以量化,地方党政领导环保绩效的信息化及开放化程度低,地方党政领导环保绩效管理的理论研究和实践不够,地方党政领导环保绩效管理缺乏相应管理基础工作支撑等。本研究围绕了地方党政领导、环境保护、绩效管理三者关系展开分析,运用环境管理学、行政管理学、人力资源管理学、管理科学等有关原理,采用文献分析法、综合研究法、比较研究法、系统分析法、理论与实践相结合的方法来完善地方党政领导环保绩效管理的机制,使地方党政领导的环境行为与实际收益成正比,以此来确保地方党政领导在环保绩效管理的实践中自觉地履行自己的环保职责。本研究结合企业基于战略导向的绩效管理经验,运用系统管理的方法,提出了基于地方政府环保战略规划的党政领导环保绩效管理模式;从利益相关者理论进行分析,就如何构建地方党政环保绩效考核主体提出了具体的建议;根据关键绩效指标法的设计步骤,提出了地方党政环保绩效考核指标体系的设计方法及步骤。研究结论对转变地方党政领导的环保管理理念,构建地方党政环保绩效管理理论体系,形成系统的地方党政领导环保绩效管理的激励与约束机制,加强地方党政领导环保绩效管理,规范地方党政领导环保行为,改进地方党政领导环保服务水平,确保国家节能减排目标的实现,提高地方党政领导的环保绩效和公众对地方政府的环保绩效管理满意度具有重要的理论与实践意义。全文共分八章,其主要内容如下:1、概述了地方党政领导绩效管理的现状、前景、目的和意义,综述了国内外与此方向相关的研究现状,给出了研究的思路、方法、内容、可能的创新点。2、概述了与地方党政领导绩效管理密切联系的系统论、控制论、信息论、目标管理理论、委托代理理论和利益相关者理论等基础理论,着重论述这些基础理论对地方党政领导环保绩效管理的指导作用。3、概述了地方党政领导环保绩效管理现状,重点分析了目前我国地方党政领导绩效管理中存在的问题及其原因,为下面的地方党政领导环保绩效管理体系架构提供了分析基础。4、明确了地方党政领导环保绩效管理体系设计的指导思想,从系统学的角度给出了地方党政领导环保绩效管理体系架构,设计出了地方政府环保战略规划目标系统、党政领导环保绩效考核指标系统、党政领导环保绩效管理过程系统和党政领导环保管理结果运用系统之间的逻辑关系图。5、根据利益相关者考核主体模型,分析了地方党政领导环保绩效的利益相关者,以此为基础构建出了较为全面系统的地方党政领导环保绩效考核主体;按照关键绩效指标的步骤设计出了较为科学合理且又是基于地方政府环保战略规划目标的党政领导环保绩效考核指标;在系统最优、客观性、内容先进合理等原则的指导下,完善了地方党政领导环保绩效考核权重体系和指标标准体系。6、从系统的角度论述了地方党政领导环保绩效计划的制定,地方党政领导环保绩效辅导与实施,地方党政领导环保绩效考核和地方党政领导环保绩效考核结果的反馈等过程体系。设计出了较为科学合理且又基于地方政府环保战略规划的地方党政领导环保绩效管理过程体系。7、研究了地方党政领导环保绩效管理制度的本质规律、对绩效管理的重要作用,从地方党政领导环保绩效考核结果的运用和考核申诉机制两大方面探讨地方党政领导环保绩效管理的制度安排,建立和健全地方党政领导环保绩效管理组织机构等,为地方党政领导环保绩效管理的良好运行提供规则体系。8、对本研究所取得的一些初步性成果以及相关的研究局限与不足进行了总结,并对其实践应用价值以及未来进一步研究的方向进行了展望。本研究是建立在众多前人研究成果的基础上的,但同时,本研究自身又有一些创新之处,主要创新点体现在以下几个方面:通过运用利益相关者理论和利益相关者考核主体分析模型来对地方党政领导环保绩效考核的利益相关者进行深入分析,明确了地方党政领导本人、公众、各级政府、专业评估机构、人大、媒体和专家等地方党政领导环保绩效考核主体。根据关键绩效指标的步骤,首先运用头脑风暴法等提取地方政府环保绩效管理关键成功因素和关键绩效指标;接着利用战略目标相关分析表将地方政府环保战略规划目标、关键成功因素、地方政府级环保关键绩效指标与各部门相连,确定各部门对地方政府环保战略规划目标所应该承担的指标;最后用鱼骨图法把地方政府和部门的关键绩效指标分解为党政领导的环保关键绩效指标。整个过程确保了地方政府环保战略规划目标落实到相关地方党政领导身上。通过综合运用目标管理法、关键绩效指标法、战略管理法和360度反馈法等管理方法和工具,充分发挥不同管理方法的优势,弥补其不足,设计出了基于地方政府环保战略规划目标的党政领导环保绩效考核方法,较为系统地将不同管理方法综合应用到地方党政领导环保绩效管理的全过程中。更多还原

【Abstract】 Since the 20th century, Our Government has unceasingly strengthened the management in environment protection performance of local party and government leaders. Since our country the local party and government leaders’ environmental protection performance management is still in the starting stage, there are many problems. For example, environmental protection performance management deviates the goal of local government environmental protection strategy plan, the performance indicators lacks of scientificity and pertinency, the appraiser of performance is unitary and lacks participation from outside, the performance appraisement result is not used to full; the surveillance and the appeal mechanism are imperfect; performances communication is few, the environmental protection performances management system imperfect , and so on.These problems lead local party and government leaders only to pursue the rate economy of rise, to maximize economic interest. at the same time. It causes many environmental problems at the same time. For example, loss of soils in large area, water deterioration and shrinkage of lakes, emissions of contamination exceed carrying capacity of environment, rivers that pass through cities are polluted widely, break flow of rivers, shortage of water resources, austere pollution of air and acid rain exist in many cities, harm of lasting organic contamination appears, areas of soil pollution are enlarging and pollution alongshore is getting more and more serious.These local party and government leaders who give up the local public environmental benefit has won the prominent performances actually and reached a very successful official career, while these local party and government leaders who pay attention to long-term benefit and concentrate on environmental protection could not be elevated because the short-term performance is not good. If these leaders who eager for quick success and instant benefit cannot be forbidden and punished by management mechanism in environment protection performance of local party and government leaders, the sustainable development of local economy cannot be carried out.Based on the domestic and foreign correlated research, this research tries to inquire into the root of problems in environment protection performance management of Local Party and government leaders. the power and behaviors in environment protection performance management of local party and government leaders lack of supervision and check & balance mechanism, the structure of bureaucracy universally exists, the appraiser of environmental performance lacks independence, representative and universality, the local party and government leaders’ environmental protection performance is difficult to quantify, the information and the opening degree in local party and government leaders’ environmental protection performance management is low, the fundamental research and the practice in environment protection performance management of local party and government leader is insufficient, the environment protection performance management of local party and government leaders lacks corresponding management foundation work support ; so on.This research focused on the relation among the local party and government leader, the environment protection, the performances management three relations. Based on the theories related to environment management science, the administrative management science, the human resources management science, the management science and so on, the literature analytic method, the synthesis methodology, the comparison methodology, the system analytic method, the method which unified theory with practice are adopted to perfect the Environment protection Performance management mechanism of Local Party and Government leaders. Making the local party and government leaders’ real return be consistent with their environment protection efforts to guarantee the local party and government leader to fulfill environment protection responsibility consciously in the environment protection management practice.This research is founded on the experience of strategy-oriented corporate performance management. With the utilization of system administration method, this research proposed the party and government leaders environment protection performances management pattern based on the local government environmental protection strategy plan. Based on the analysis from the stakeholders theory, this reach has put forward the concrete proposal on how to construct the appraiser of local party and government environmental protection performance management. According to the key performances indicator method’ s design procedure, this research has proposed the indicators system design method and procedure of local party and government environmental protection performance management. The conclusions of this research are of important theory and the practice significance in:transforming the environmental protection management idea of the local party and government leader, constructing the local party and government environment protection performances management theory system, developing the incentive and restriction mechanism of environment protection performance management of local party and government leaders. drive and restraint mechanism, strengthening Environment protection Performance management of local party and government leaders, standarding the environmental protection behavior of local party and government leader, improving the environmental protection service of local party and government leaders, reaching the national goal of energy conservation and contamination reduction, improving the environment protection performances of local party and government leaders, and enhancing the public’ s satisfaction about local government’s environmental protection performances management.The full dissertation includes eight chapters; its primary content is as follows:1. it has outlined present situation, the prospect, the goal and the significance of local party and government leader performances management, summarized domestic and foreign researches related to this study, has put forward the method, the content, the framework, and the possible innovations.2. it has outlined many basic theories closely related to local party and government leader’ performances management, such as the system theory, the cybernetics, information theory, goal management theory, agent theory and stakeholder theory; has elaborated these basic theories’ instruction function on the Environment protection Performance management of Local Party and Government leaders.3. has outlined present situation of environment protection performance management of local party and government leadership, has specially analyzed the problems of local party and government leader performances management in our country and their reason; this has provided the analysis foundation for following local party and government leaders’ environmental protection performance management system construction.4. It has pointed out the guiding idea environment protection performance management system design of local party and government leaders; has given environment protection performance management system framework of Local Party and Government leaders from systematic perspective; designed the goal system of local government environment protection strategy and the performance indicator system, the process system, and the result utilization system of environment protection performance management of local party and government leaders and their logical relational graphs.5. According the main body model, it has analyzed the stakeholders of local party and government leaders’ environmental protection performance, and then constructed a more comprehensive appraisers system of local party and government leaders’ environmental protection performance based on this foundation. According to the design procedure of key performances indicators, it has designed a more scientific and reasonable environment protection performances indicators of local party and government leaders based on the local government environment protection strategy. According to the principles of system optimization, objectivity, reasonable content, it has consummated the local party and government leaders’ environmental protection performance appraising weight system and its performance indicator system.6. This research has elaborated the plan formulation, counselation and implementation, and the assessment and result feedback procedure system of local party and government leaders’ environment protection performance from system inspective.7. This research has studied the function and the essential rules of local party and government leaders’ environmental protection performance management. discusses the system arrangement of environment protection performance of local party and government leaders, such as the result utilization and the inspection appeal mechanism, and so on. Through the establishment and the perfection of local party and government leaders’ environmental protection performance management organizations and agencies and so on, provides the regular system for the operation Environment protection Performance management of Local Party and Government leaders good movement.8. At the end, the dissertation summarizes the contents and indicate the deficiencies of this paper, and proposes the promising fields within which the further research would be conducted. The important innovative fruits in this paper show as the followings:Through inspects model by using the stakeholders theory and model of the main body, this study has analyzed the stakeholders to local party and government leaders’ environmental protection performance, pointed out that the main inspection bodies of local party and government leaders’ environmental protection performance include the local party and government leaders, the public, all levels of governments, specialized appraisal organizations, National People’ s Congress, media and expert.According to the design procedure of key performance, this study distills the key success factor and key indicator of local government environmental protection performance management with brains storm firstly. Then by using of the analytical table of strategic objectives relation, connect the strategy plan goal, the key success factor of local government environmental protection, the key performance indicator of local government level environmental protection with various departments.Then determine indicators that various departments should undertake in the local government environmental protection strategy plan. Finally decomposes the environmental protect performance indicators of local government and department into that of local party and government leaders’ with the fish bones chart. The entire process guaranteed the local government environmental protection strategy plan goals to be carried out by the special related local party and government leaders.Through synthetically utilizing management of objective (MBO), and the method of key performance indicator (KPI), strategy management, and 360 degree feedback method, taking full advantage of the strongpoint of different management methods and making up its insufficiency this research design a environmental protection performance appraisal method of local party and government leaders based on the local government environmental protection strategy objective. And it has systematically applied different management methods into the entire process of environment protection performance management of local party and government leaders in the entire process.更多还原