管理科学与工程博士论文_地方政府公共事业的管理绩效评价与治理对策研究.pdf

湖南大学博士学位论文地方政府公共事业的管理绩效评价与治理对策研究姓名：彭国甫申请学位级别：博士专业：管理科学与工程指导教师：李树丞20041001博士学位论文 I摘 要 本文把地方政府公共事业的管理绩效评价与治理对策研究作为管理科学与工程研究和公共管理学研究相结合的一个重要切入点、着力点和闪光点，既凸现了贯彻、落实科学的发展观、正确的政绩观，使选题具有鲜明的理论前沿性、现实针对性和实践指导性，又凸现了多学科的交叉与融合，把规范研究与实证研究、定性研究与定量研究、宏观研究与微观研究、方法和技术研究与理念创新和制度安排研究结合起来，努力实现管理科学与工程和公共管理学研究方法的整合和互补，为管理科学与工程、公共管理学的研究开阔新的视野、拓展新的领域、提供新的范式、方法和手段 本文共分 6 章：第 1 章在分析选题背景、选题意义、述评国内外地方政府公共事业管理绩效评价研究成果的基础上，提出本文的研究思路、方法、内容和可能的创新点第 2 章在界定地方政府公共事业管理绩效的内涵及地方政府公共事业管理绩效评价的本质、主体、特征和功能的基础上，重点分析地方政府公共事业管理的绩效评价与治理的基础理论，如公共产品理论、平衡计分卡理论、利益相关者理论、委托代理理论和治理理论等。

第 3 章综述国内外地方公共事业管理绩效评价指标体系，探讨地方政府公共事业管理绩效评价指标体系构建的原则、权变因子，提出地方政府公共事业管理绩效评价指标体系构建的思路与总体框架，并在此基础上构建出较为科学、合理的绩效评价指标体系同时，对地方政府公共事业管理绩效评价指标标准、定性指标的定量化、指标体系效度与信度等问题进行研究第 4 章在确定地方政府公共事业管理绩效评价指标权重、实证样本选择的基础上，研究模糊综合评价模型、DEA 模型的基本原理及比较优势，对湖南省 11 个地级州市政府 1995 年至 2002 年的公共事业管理绩效进行实证评价，得出评价结论，分析影响和制约地方政府公共事业管理绩效水平高低的关键因素第 5章提出从评价技术、方法研究层面提升到制度安排层面，是实现地方政府公共事业管理绩效评价科学化、规范化、制度化的必由之路在研究地方政府公共事业管理绩效评价制度的本质规定、对绩效评价的重要作用的基础上，从绩效评价基本程序和绩效评价机制两大方面探讨绩效评价的制度安排，研究建立和健全地方政府公共事业绩效评价信息保真制度和结果运用制度以及多元主体评价机制、激励机制和约束机制等，为地方政府公共事业管理绩效评价的良性运行提供规则体系。

第 6 章基于地方政府公共事业管理绩效的评价结论和实证分析，针对影响地方政府公共事业管理绩效水平高低的关键因素，从树立科学的地方政府公共事业管理绩效理念、创新地方政府公共事业管理体制、建立健全公共事业投资管理机制等方面提出地方政府公共事业的治理对策 地方政府公共事业的管理绩效评价与治理对策研究 II本文的研究成果及创新点主要表现在如下六个方面： （1）从公共管理学研究的视野拓展管理科学与工程研究的新领域； （2）构建一个比较科学、比较完整的地方政府公共事业管理绩效评价理论体系； （3）构建地方政府公共事业管理绩效评价指标体系和评价模型； （4）对湖南省的 11 个地级州市政府连续 8 年的公共事业管理绩效进行实证分析； （5）将绩效评价研究从技术、方法研究层面提升到制度安排和理念创新研究层面； （6）将绩效评价研究从技术、方法、制度安排和理念创新研究层面提升到地方政府公共事业治理研究层面 关键词：地方政府；公共事业管理；绩效评价；治理 博士学位论文 IIIAbstract This dissertation takes the research into the local government’ s performance in public business administration as the penetrative, emphatic and sparking point for the joint research into management science and engineering and public administration as well. It not only makes it clear distinctively to carry out and ascertain the scientific viewpoint on development and correct viewpoint on political achievements, and makes the selected topic have the characteristics of foresightness in theory, aim at reality as well as instruction in practice; but also makes it obvious to overlap and merge different branches of learning, and makes efforts to reorganize and supplement the approaches for research into science of administration, engineering and public administration science by connecting standardized research with positive research, quantitative research with qualitative research, macro research with micro research, and methodological and technological research with concept creative and institution constructive research, which broadens the new horizon, advances the new frontiers and supplies the fresh patterns and methods for the research into management science and engineering and public administration science. This dissertation is divided into six chapters. Chapter 1 puts forward the dissertation’ s studying train of thought, methods, content and possible fresh points on the basis of analyzing the background and significance of choosing the topic for research and making comments on the domestic and overseas results of research into evaluating the local government’ s performance in public business administration. In Chapter 2, on the basis of defining the connotation, essence, characteristics and function of evaluating the local government’ s performance in public business administration, it focuses on analyzing the basic theories of evaluating the local government’ s performance in public business administration and its corresponding administration, such as Public Goods Theory, Balance Scoring Card Theory, Stakeholder Theory, Principal- agent Theory and Governance Theory, etc. Chapter 3 summarizes the domestic and overseas index systems for evaluating the local government’ s performance in public business administration, and probes into the principles and contingency factors for constructing the index system of evaluating the local government’ s performance in public business administration, and also puts forward the thoughts and overall frame that construct the index system; and further, constructs a comparatively scientific and rational index system on this basis. Meanwhile, this chapter researches into the standard of the index, quantity of the qualitative index, validity and reliability of the index system for evaluating the local government’ s performance in public business administration. In Chapter 4, on the basis of determining the index proportion, positive sample choosing and data source of evaluating the local government’ s performance in public business administration, it researches into the fundamental tenets and comparative superiority of fuzzy comprehensive evaluation model and DEA model; and it conducts a positive evaluation of the performance in public business administration of 地方政府公共事业的管理绩效评价与治理对策研究 IV11 municipal governments of Hunan Province from the year of 1995 to that of 2002, drawing a conclusion of evaluation and analyzing the key influencing and inhibiting facto。