-
公共管理导论
《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
Fundamental Principle of Traditional
Public Administration
（
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
1)
The first of these was that
of
bureaucracy
.
2)
Secondly,
there was
one-best-way
of
working and procedures were set out in
comprehensive
manuals for
administrators to follow.
3)
The 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
.
6)
Sixthly,
public
administration
requires
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
.
新公共管理（
new public
management
）
=
管理主义（
managerialism
）<
/p>
=
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、行政与管理的区别
Differences between administration and
management
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
Imperatives of change
①对公共部门的抨击
The
attack on the public sector.
②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
③私营部门的变革
1
公共管理导论
The impact of changes in
the private sector.
④技术变革
Changes in technology.
第二章
传统的公共行政模式
The
traditional model of public administration
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 public
administration. From Northcote-Trevelyan
derive appointment by merit through
examinations, and non-partisan, neutral
administration.
2.
文官法案
(the Civil Service
Act)
的名词解释
（
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。
?
The 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
at
Washington
according
to
the
population
of
the
several
states and other major areas.
3
．政治与行政二分法的名词解释
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 responsible for
carrying it out.
4.
韦伯的官僚制理论
1
）
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，<
/p>
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
< br>面而熟练的训练为先决条件。
5
）当公职得到充分发展的时候，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，
< br>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.
?
The
principles
of
office
hierarchy
and
of
levels
of
graded
authority
mean
a
firmly
ordered system of
super-and sub-ordination in which there is a
supervision of the lower
2
公共管理导论
offices by the higher ones.
?
The
management
of
the
modern
office
is
based
upon
written
documents
which
are
preserved.
?
Office management, at least all
specialized 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
stable,
more or less exhaustive, and which can
be learned.
5.
泰勒的科学管理
①决定工作标准的时间和动作研究
②刺激性工资制度
③改变职能组织
?
Time-and-motion
studies to decide a standard for
working
?
A
wage-incentive
system
that
was
a
modification
of
the
piecework
method
already
in
existence
?
Changing the functional organization
第三章
新公共管理
Public
management
一、一般管理的职能
Functions of
general management
STRATEGY
战
略职能（首要职能）
1)
Establishing objectives and
priorities
确定组织的目标和重点
2)
Devising
operational plans to achieve these
objectives
设计操作计划以实现既定目标
MANAGING INTENAL COMPONENTS
管理内部构成要素
3)
Organizing and
staffing
人员组织和调配
4)
Directing
personnel and the personnel management
system
人事指挥和人事管理制度
5)
Controlling
performance
控制绩效
MANAGING EXTERNAL
CONSTITUENCIES
管理的外部要素
6)
Dealing with
external units
处理和组织的
“
外部单位
”
Dealing
with independent
organizations
处理与其他独立组织的关系
8)
Dealing with
the press and
public
处理与新闻媒体和公众的关系
7)
二、管理方法的产生
富尔顿报告的名词解释
the
Fulton Report
（
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
?
creating the
“
machinery
”
< br> for implementation of policy
?
?
operation of the administrative machine
?
accountability
to Parliament and the Public
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
< br>3
公共管理导论
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。
< br>
The Civil Service Reform Act of
1978 aimed at giving managers greater
responsibility for results. It
included
merit pay for middle management 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.
三、新公共管理改革
新公共管理涉及的主要论点（欧文·休斯的公共管理理论）
1)
A strategic
approach
一种战略方法
2)
Management not
administration
管理而非行政
3)
A focus on
results
关注结果
4)
Improved
financial management
改善财政管理
5)
Flexibility in
staffing
人员的弹性
Flexibility in
organization
组织的弹性
7)
A shift to
greater competition
转向更激烈的竞争
6)
8)
The new contractualism
新合同主义
9)
A stress on
private sector styles of management
practice
对私营部门管理实践方式的重视
10)
Relationships
with politicians
与政治官员的关系
11)
Relationships
with the public
与公众的关系
12)
Separation of
purchaser and
provider
购买者与提供者的分离
13)
Re-examining
what government
does
重新检视政府的所作所为
第四章
政府的角色
The role of
government
一、公共部门与私营部门的不同
Differences between private and public
management
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<
/p>
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
.
?
Secondly, the
public sector 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.
?
Fourthly,
the
public
sector
has
inherent
difficulties
in
measuring
output
or
efficiency
in
production.
?
Finally, the public
sector
’
s sheer
size and diversity
make any control or
coordination difficult.
二、<
/p>
“政府”与“治理”
Government and
governance
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。
4
公共管理导论
By governance, we mean the
processes and institutions, both formal and
informal, that 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
policy
1.
公共物品
public goods
2.
外部性
externalities
3.
自然垄断
natural
monopoly
4.
信息不对称
imperfect
information
四、政府工具
Instruments of government
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；
<
/p>
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。
?
Provision
,
where
the
government
provides
goods
or
services
through
the
government
budget.
?
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 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 intervention
1.
自由放任的社会
The
laissez-faire society
2.
福利国家的产生
The rise
of the welfare state
3.
新古典主义
Neoclassicism
?
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
?
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
4.
政府的回归
Government makes a comeback
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
的角色。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；
5