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1、公共管理导论第一章 变革的时代An era of change一、传统公共行政的基本原理1) The first of these was that of bureaucracy, that government should organize themselves according to the hierarchical.2) Secondly, there was one-best-way of working and procedures were set out in comprehensive manuals for administrators to follow.3) The
2、third principle was bureaucratic delivery.4) Fourthly, there was general belief among administrators in the politics/administration dichotomy.5) Fifthly, the motivation of the individual public servant was assumed to be that of the public interest, in that service to the public was provided selfless
3、ly.6) Sixthly, require a professional bureaucracy, neutral, anonymous, employed for life, with the ability to serve any political master equally.7) Seventhly, the tasks involved in public service were indeed administrative.（1）官僚制，政府本身应按照等级制、官僚制的原则进行组织（2）存在一个最佳的工作方式，并且在综合性工作手册中规定工作程序以供行政人员遵循（3）通过官僚制组
4、织提供服务（4）行政人员普遍信奉“政治与行政二分法”（5）认为激励个体公务员的力量是公共利益，因为服务于公众是大公无私的（6）需要一支中立的、无个性的、终身任职的，且能够为任何政治领导人提供同样服务的“职业官僚队伍”（7）公共服务领域的任务确实是“行政性”的新公共管理（new public management）= 管理主义（managerialism）= 以市场为基础的公共行政（market-based public administration）= 后官僚制典范（post-bureaucratic paradigm）=企业化政府（entrepreneurial government）二、行
5、政与管理的区别行政从本质上是指执行指令和服务；而管理则指：（1） 实现结果；（2）管理者实现结果的个人责任。Administration essentially involves following instructions and service, while management involves: first, the achievement of results, and secondly, personal responsibility by the manager for results being achieved.三、变革的紧迫问题对公共部门的抨击（表现在规模、范围和方法三个方
6、面）The attack on the public sector. Scale , scope , methods经济理论的变革：公共选择理论；委托代理理论；交易成本理论Changes in economic theory. Public choice theory, principal/agent theory, transaction cost theory.prinspl私营部门的变革The impact of changes in the private sector.技术变革Changes in technology.第二章传统的公共行政模式The traditional mode
7、l of public administration【传统模式的特征是：行政部门处于政治领导人的正式控制之下；建立在严格的官僚制等级模式的基础之上；由常任的、中立的和无个性特征的官员任职；只受公共利益的激励；不偏不倚地为任何执政党服务；不是制定政策，而是仅仅执行政治官员作出的决策。传统模式的理论基础主要来源于：威尔逊和泰勒的理论，韦伯的理论，以及英国1854年诺思科特特里维廉报告。The traditional model can be characterized as: an administration under the formal control of the political l
8、eadership, based on a strictly hierarchical model of bureaucracy, staffed by permanent, neutral and anonymous officials, motivated only by the public interest, serving any governing party equally, and not contributing to policy but merely administration those policies decided by the politicians. Its
9、 theoretical foundations mainly derive from Woodrow Wilson and Frederick Taylor in the United States, Max Weber in Germany, and the Northcote-Trevelyan Report of 1854 in the United Kingdom.】19世纪的改革1诺思科特特里维廉报告标志着公共部门以功绩制为基础的任命制度的开始和恩赐制的逐步衰落。该报告强调人事问题，虽然它的建议推行的较慢，但是它确实代表了传统的公共行政模式的产生。通过考试择优录用、行政中立、不受任
10、何党派控制等原则都来源于诺思科特特里维廉报告。Northcote-Trevelyan signals the start of merit-based appointments to the public service and the gradual decline of patronage. The Report emphasizes personnel matters and its recommendations were implemented slowly, but it does represent a beginning to the traditional model of
11、public administration. From Northcote-Trevelyan derive appointment by merit through examinations, and non-partisan, neutral administration.2. 在1883年，通过了文官法（彭德尔顿法），该法成立了一个由两党成员组成的文官委员会，其内容主要包括四点：（1）根据职位分类，为所有申请公职者举行竞争性考试；（2）根据职位分类，任命考试成绩最高者担任公职；（3）在正式任命前，插入一个有效的试用期；（4）在华盛顿的任命按照某些州和其他重要地区的人口比例进行分配。 Th
12、e holding of competitive examinations for all applicants to the classified service. The making of appointments to the classified service from those graded highest in the examinations. The interposition of an effective probationary period before absolute appointment. The apportionment of appointments
13、 at Washington according to the population of the several states and other major areas.interposition ntpznn.提出(异议)行为;干预;干涉3威尔逊提出的观点认为，政治官员应当负责制定政策，行政部门则应负责执行政策。Wilson put forth the view that politicians should be responsible for making policy, while the administration would be responsibility for car
14、rying it out.4.韦伯的官僚制理论理论的基础：三种类型的权威：魅力型权威the charismatic；传统型权威the traditional；理论-法律型权威rational/legal authority1) 固定和法定的管辖范围的原则，一般是通过各种规则法律或行政规章来加以规定。2) 公职等级制和权力等级化原则，这意味着一种稳定而有序的上下级制度，在这种制度中，较低职位受到较高职位的监督。3) 现代公职管理是建立在保留书面文件（“档案”）的基础之上。4) 公职管理，至少是所有专门化的公职管理而这种管理显然是现代的通常以全面而熟练的训练为先决条件。5) 当公职得到充分发展的时
15、候，官方活动要求官员完全发挥其工作能力6) 公职管理应遵循一般性规定，这些规定或多或少是稳定的、全面的，并且是可学习的。 The principle of fixed and official jurisdictional areas, which are generally ordered by rules, that is by laws or administrative regulations. jurisdiction ,durisdiknn.司法权; 裁判权 The principles of office hierarchy and of levels of graded aut
16、hority mean a firmly ordered system of super-and sub-ordination in which there is a supervision of the lower offices by the higher ones. sjupvn 监督、监管 The management of the modern office is based upon written documents which are preserved. Preserve priz:vvt.保护；维持 Office management, at least all speci
17、alized office management and such management is distinctly modern usually presupposes thorough and expert training. When the office is fully developed, official activity demands the full working capacity of the official. The management of the office follows general rules, which are more or less stab
18、le, more or less exhaustive, and which can be learned. exhaustive gz:stvadj.全面的, 彻底的, 透彻的5.泰勒与管理科学管理的三个方面决定工作标准的时间和动作研究刺激性工资制度改变职能组织Scientific management involved Time-and-motion studies to decide a standard for working A wage-incentive system that was a modification of the piecework method already
19、in existence And changing the functional organization.第三章新公共管理Public management 一、一般管理的职能战略职能（首要职能）1) 确定组织的目标和重点2) 设计操作计划以实现既定目标管理内部构成要素3) 人员组织和调配4) 人事指挥和人事管理制度5) 控制绩效管理的外部要素6) 处理和组织的“外部单位”7) 处理与其他独立组织的关系8) 处理与新闻媒体和公众的关系Functions of general managementSTRATEGY1) Establishing objectives and priorities
20、2) Devising operational plans to achieve these objectivesMANAGING INTENAL COMPONENTS3) Organizing and staffing4) Directing personnel and the personnel management system5) Controlling performanceMANAGING EXTERNAL CONSTITUENCIES6) Dealing with ”external” units7) Dealing with independent organizations8
21、) Dealing with the press and public二、管理方法的产生1968年富尔顿报告，公务员的全部管理任务由四个方面构成：（1）在政治指导下制定政策；（2）创立政策执行的“机构”；（3）行政机构的运转；（4）对议会和公众负责。 Formulation of policy under political direction ,f :mjlenn.公式化(的表述)；规划;构想 creating the “machinery” for implementation of policy operation of the administrative machine accoun
22、tability to Parliament and the Public p:lmnt n.议会, 国会1978年文官改革法的目标是使管理者对结果负有更大的责任。它的内容包括中层管理者的绩效工资和设定“高级行政职务”以在高层形成一个精英团体。虽然其关注的焦点在于人事问题，但是其意图却在于改进似乎已滞后于私营部门管理的公共部门管理。The Civil Service Reform Act of 1978 aimed at giving managers greater responsibility for results. It included merit pay for middle ma
23、nagement and the establishment of a Senior Executive Service to form an elite group at the top. Although focused on personnel, it was an attempt to improve management in the public sector, which seemed to lag behind the private sector. eili:tn.法精华,精锐,中坚分子三、新公共管理改革新公共管理涉及的主要论点1) 一种战略方法2) 管理而非行政3) 关注结
24、果4) 改善财政管理5) 人员的弹性6) 组织的弹性7) 转向更激烈的竞争8) 新合同主义9) 对私营部门管理实践方式的重视10) 与政治官员的关系11) 与公众的关系12) 购买者与提供者的分离13) 重新检视政府的所作所为1) A strategic approach2) Management not administration3) A focus on results 4) Improved financial management5) Flexibility in staffing6) Flexibility in organization7) A shift to greater
25、competition8) The new contractualism kntrktu:l合同(性)的,契约(性)的9) A stress on private sector styles of management practice10) Relationships with politicians11) Relationships with the public12) Separation of purchaser and provider13) Re-examining what government does第四章 政府的角色The role of government一、公共部门与
26、私营部门为什么不同，以及为什么不能相同的理由：1.公共部门的决策可以是强制性的，而私营部门不具备这一特征。2.公共有不同与私营的责任制形式。3.公共服务管理者必须解决在很大程度上有政治领导人设定的外部议程。4.公共部门在测量产出或生产效率方面有其固有的困难。5.公共部门的规模和问题的多样性使得任何控制和协调都很困难。 First , in a way not characteristic of the private sector, public sector decisions may be coercive. ku:sivadj.强制的,强迫的 Secondly, the public s
27、ector has different forms of accountability from the private sector. Thirdly, the public service manager must cope with an outside agenda largely set by the political leadership. dendn.议事日程 Fourthly, the public sector has inherent difficulties in measuring output or efficiency in production. Finally
28、, the public sectors sheer size and diversity make any control or coordination difficult.二、“政府”与“治理”government and governance什么是治理？所谓治理，我们指的是过程与制度既包括正式的也包括非正式的它们指引和限制一个团体的集体活动。而政府则是依据权威行事并创设正式义务的组织的集合。治理并不必然专门由政府来操纵。By governance, we mean the processes and institutions, both formal and informal, tha
29、t guide and restrain the collective activities of a group. Government is the subset that acts with authority and creates formal obligations. Governance need not necessarily be conducted exclusively by governments. 三、作为公共政策基础的市场失灵Market failure as the basis for public policy1. 公共物品 public goods而公共物品则
30、完全不同，所有使用者无论付费与否都可以从中受益。它们具有“非排他性”，即如果向一个人提供，则所有人皆可享用。Public goods are quite different as they benefit all users whether or not they have paid the price. They are “non-excludable”, that is, if provided to one, they are available to all.2. 外部性 externalities ,ekstnliti3. 自然垄断 natural monopoly mnpli4.
31、信息不对称 imperfect information四、政府工具 instruments of government绝大多数的政府干预可以通过以下四种工具得以实现：1.供应，即政府通过财政预算提供商品与服务；2.补贴，这实际上是供应的一种补充手段，是指政府通过资助私人经济领域的某些个人以生产政府所需的商品或服务；3.生产，是指政府生产在市场上出售的商品和服务；4.管制，是指政府运用国家的强制性权力允许或禁止私人经济领域的某些活动。Most government intervention can occur through four available instruments Provisio
32、n, where the government provides goods or services through the government budget. sbsidi Subsidy, which is really a sub-category of provision and is where the government assists someone in the private economy to provide government-desired goods or services Production, where governments produce goods
33、 and services for sale in the market Regulation, which involves using the coercive powers of the state to allow or prohibit certain activities in the private economy.五、 政府干预的阶段phrases of government intervention1.自由放任的社会The laissez-faire society leiseifer2.福利国家的产生The rise of the welfare state3.新古典主义
34、Neoclassicism ni:uklsisis()m 个性假设理论 The assumption of individual rationality 精心构筑基于上述假定的模型The elaboration of models from this assumption lbren 市场角色最大化A maximum role for market forces 政府角色最小化A minimum role for government六、政府的基本职能 basic functions of government世界银行在其1997年的世界发展报告中指出，“每一个政府的核心使命”包含了五种基本的
35、角色（WorldBank,1997,p.42）。这些角色是：（1）确立法律基础；（2）保持一个健康的政策环境，包括保持宏观经济的稳定；（3）投资于基本的社会服务和社会基础设施；（4）保护弱势群体；（5）保护环境。 Establishing a foundation of law Maintaining a non-distortionary policy environment, including macroeconomic stability Investing in basic social services and infrastructure infr,strktn.基础设施; 基础
36、结构 Protecting the vulnerable vlnrbladj.易受伤的, 脆弱的, 敏感的 Protecting the environment第五章 公共企业 Public enterprise一、建立公共企业的理由reasons for establishing public enterprise1.纠正市场失灵2.改变经济中的支付结构3.推动中央集权的长期计划4.经济性质由资本主义转为社会主义 To correct market failure To alter the structure of pay-offs in an economy To facilitate c
37、entralized long-term economic planning fsiliteitvt.使便利, 减轻的困难 To change the nature of the economy, from capitalist to socialist二、公共企业的类型 kinds of public enterprise公共企业是一种特殊的法人机构：它向公众大规模地出售商品和服务，赢利首先归其自身所有。A public enterprise is a particular kind of statutory authority: one that sells goods and servi
38、ces to the public on a large scale, with the financial returns accruing in the first instance to the authority itself.1. 公用事业 public utilities jutilitin.功用, 效用；公用事业2. 陆上运输和邮政系统 land transport and postal service3. 竞争性环境中的企业 enterprises in competitive environments4. 管制机构 regulatory authorities 第六章 公共政
39、策和政策分析Public policy and policy analysis一、公共政策的定义公共政策可以被描述为不同个体所构成的一种分散过程的产品，这些个体在一个立式组织占主导地位的小群体中相互作用。这些组织运行于一个由政治机构、规则和实践组成的体系中，它们都处于社会和文化的影响之下(Lynn，1987，p239)。Public policy can be characterized as the output of a diffuse process made up of individuals who interact with each other in small groups i
40、n a framework dominated by formal organizations. Those organizations function in a system of political institutions, rules and practices, all subject to societal and cultural influences.二、经验主义方法 empirical methods1政策分析和政策分析人员必须的两类技能：科学技能scientific skills，包括信息建构、收集和分析三种技能Information-structuring, infor
41、mation-collection, information-analysis.辅助性技能facilitative skill2.政策分析中使用的某些经验主义方法：1)成本效益分析2)决策理论3)最佳水平分析4)配置理论5)时间最优化模式 Benefit-cost analysis Decision theory Optimum-level analysis Allocation theory Time-optimization models三、政策分析的步骤、政策过程模式 policy process models巴顿和萨维基提出的一个六步骤的政策过程模式：第一步：核实、计划和描述问题第二步
42、：建立评估标准第三步：界定可选的政策方案第四步：评估备选政策第五步：列举并选择备择政策第六步：监控政策结果1. Verify, define and detail the problem2. Establish evaluation criteria3. Identify alternative policies 4. Evaluate alternative policies5. Display and select among alternative policies6. Monitor policy outcomes第七章 战略管理Strategic management一、私营部门的战
43、略 strategy in the private sector1.战略计划演变的五个阶段Hax and majluf argue there are five stages in the evolution of planning Budgeting and financial control Long-range planning Business strategic planning Corporate strategic planning Strategic management2.战略计划和战略管理的区别二者的不同之处在于，“战略计划关注的是制定最佳的战略决策，而战略管理侧重的则是产
44、生战略结果：新市场、新产品和(或)新技术”(Anoff，1988，p235)。因此，战略管理更具综合性，它并非仅仅制定计划，而是旨在使计划与组织的所有部门结合起来。Strategic planning is focus on making optimal strategy decisions, while strategic management is focused on producing strategic results: new markets, mew products and/or new technologies.Strategic management, therefore,
45、 is more comprehensive; rather than merely drawing up a plan it aims at integrating planning with all the other parts of the organization.3.海克斯和马吉鲁夫把战略分为三种形式：第一种是企业战略计划Business strategic planning企业任务包括对现行与预期的企业范围、产品、市场以及数年时间内的预期做出明确的界定。任务涉及对组织所从事的业务内容的审视。环境监测包括了对组织内部的优势、薄弱环节、机会和威胁进行的详细评估。目标是任务和环境监测基
46、础之上的更加具体的指向。The mission of the business includes a clear definition of current and expected business scope, products, markets and expectation over a period of a few years.The environmental scan involves the detailed assessment of the organizations internal strengths, weaknesses, opportunities and threats.Objectives are more specific aims resulting from the mission and environmental scan.第二种是公司战略计划Corporate strategic planning第三种是战略管理 Strategic management4.私营部门战略管理的定义：战略管理旨在将战略愿景贯穿于组织的所有部门，并涵盖每个行政体系。它不是机械地运作，而是“承认个体与群体所扮演的中心角色及企业文化的影响Strategic management aims