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1、上海交通大学 硕士学位论文 政府绩效评估主体的研究 姓名：施海燕 申请学位级别：硕士 专业：公共管理 指导教师：郭俊华 20071101 政府绩效评估主体的研究 摘 要 近年来，西方绩效评估的理论和方法逐渐传入我国，对我国持续改进和提高 政府部门绩效起到了一定的积极作用。随着我国政府职能的转变，政府绩效评估 更加关注公众的需求和参与。 原先多数由政府主导的封闭式绩效评估活动已逐渐 显现其官僚特征，不符合“建设服务型政府”目标的要求。在绩效评估活动中， 评估主体的因素影响着评估结果的可信度和有效性。 评估主体研究是政府绩效评 估的基础研究，它引导政府树立以公众为基础、社会共同参与的理念，平衡各阶
2、 层的利益，推进和谐社会的建立。 论文首先针对我国政府绩效评估的现实背景提出了问题“由谁评估” ， 论述了研究的目的和意义。其次，分析了当前我国政府绩效评估主体不足的表现 和原因， 对比中外绩效评估主体的差距。 在此基础上， 通过主体选择、 权重设计、 方法运用三方面的研究构建评估主体模型， 并对如何进一步完善评估主体体系提 出系列建议。最后通过实例分析，进一步说明评估主体合理结构对评估结果的有 效性的保障作用。论文共分五章。 第一章阐述了研究政府绩效评估主体的重要意义和基本概念， 介绍国内外研 究的现状，并且说明本文的研究思路和方法。 第二章分析了我国绩效评估活动中就主体而言， 主要存有重复
3、多头官方评估 效率低下、 公众参与政府绩效评估范围狭窄、 专业评估机构作用发挥不足等问题； 从主观上剖析是观念的障碍和意识的缺乏， 客观上则有知识信息的短缺和评估体 系的不完善等原因。同时与西方国家对比，分析差距所在，借鉴先进经验。 第三章讨论了构建政府绩效评估主体体系的对策。 在研究评估主体结构的两 个基本要素后，为了弥补评估主体的缺陷，还提出完善绩效评估的体系设计、制 度保障和技术支撑等相应的措施。考虑多元主体的政府绩效评估具有样本容量 小、评估数据偏正态分布、评估指标多重相关等特点，推荐偏最小二乘法（简称 PLS 法）应用于政府绩效的多元评估建模分析，并列出具体建模步骤。 第四章实例研究
4、上海市政风行风测评的评估主体。通过基本情况分析、一致 性和相关性分析以及偏最小二乘法回归分析研究评估主体特征。剥离表象，研究 实例中评估主体实质模型结构， 提出有关结论， 如： 公众对政府绩效满意度不高； 公众评估是最稳定的，但影响力最小；现行体制下，上级评估仍起着决定性的作 用；等等。 第五章是对论文进行总结，并且指出了论文存在的不足和下一步研究的方 向。 关键词：政府绩效，评估主体，偏最小二乘方法，政风行风测评 ON THE EVALUATION PRINCIPAL PART OF GOVERMENT PERFORMANCE ABSTRACT Nowadays more and more
5、western government performance evaluation theories and methods are being introduced to China, which plays an active role in improving ours to some extent. With the changing of our government functions, the evaluation work emphasizes more on public needs and participation. The old close performance e
6、valuation activities, which were mostly conducted by the government alone, have gradually proved to be bureaucratic. This is against our objective to build a service government. As we all know, the evaluation principal part influences the reliability and validity of the result. So it is essential to
7、 study the evaluation principal part in studying government performance evaluation. This will also help the government to realize the importance of the public participation, balance the interests of different classes, and help to set up a harmonious society. This thesis starts with the question “Who
8、 should conduct the evaluation”, which is based on the actual background of our government performance evaluation. It points out the purpose and meaning of the study. By making a contrast about the evaluation principal part in government performance evaluation between the foreign countries and China
9、, it reveals the disadvantages of the evaluation principal part of present government performance in China and analyzes its causes. Based on that, by studying choice of evaluation principal part, design of rights and application of methods, a model of the evaluation principal part and a series of su
10、ggestions on further improving the evaluation system are put forward in this thesis. Finally, with some examples, it further indicates the scientific structure of the evaluation principal part will ensure the validity of the evaluation effectively. The whole thesis falls on five chapters as follows:
11、 Section 1: The chapter points out the basic concept and significance of studying the evaluation principal part of government performance, introduces the present situations about the study in both China and international countries, and explains the ways of the study in this thesis. Section 2: The ch
12、apter studies the principal part in our evaluation activities to find many problems, such as too much repetition work from the government, low efficiency, limited public participation and evaluated range, short work of professional evaluation organizations. It happens for misunderstanding and lack o
13、f the concept, shortness of information and faultiness of the whole system. By contrasting China and the western countries, analyzes the gap and causes and tries to refer to the advanced experience. Section 3: The chapter discusses how to build up a scientific evaluation principal part system in gov
14、ernment performance evaluation. Based on studying on the two basic factors of the system, advises to improve the design of the system, enhance the system guarantee and technology support to remedy the defects of the evaluation principal part. As multi-evaluation principal part government performance
15、 evaluation has mini capacity, normal school of the evaluation data and multi-relevant indexes, PLS (Partial Least Squares) is suggested. Section 4: The chapter gives examples about the evaluation principal part in testing political and industrial ethos in Shanghai. Tries to reveal its features by i
16、ntroducing the general situation, analyzing its coherence and relativity and applying PLS. Studies the actual structure of the evaluation principal part to draw some relevant conclusions. For instance, the public are not so satisfied with the government performance; public evaluation is most steady and believable yet it almost gets no influence; in the present evaluation system, it is still the government
