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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 aumed to be that of the public interest.6)Sixthly, public administration requires a profeional 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）
= 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 eentially 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
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 claified service. The making of appointments to the claified 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，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. 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
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 le stable, more or le 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 pre 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” 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
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。
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 stre 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、“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。
公共管理导论
By governance, we mean the procees 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 necearily 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；
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 aists 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 laiez-faire society 2.福利国家的产生The rise of the welfare state 3.新古典主义 Neoclaicism
个性假设理论
The aumption of individual rationality 精心构筑基于上述假定的模型
The elaboration of models from this aumption 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；
公共管理导论
（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 Protecting the vulnerable
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 enterprise 1.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 centralized long-term economic planning To change the nature of the economy, from capitalist to socialist
二、公共企业 Public enterprise 公共企业的定义
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 services to the public on a large scale, with the financial returns accruing in the first instance to the authority itself.公共企业的类型
1.公用事业
public utilities
2.陆上运输和邮政系统 land transport and postal service 3.竞争性环境中的企业 enterprises in competitive environments 4.管制机构 regulatory authorities
第六章 公共政策和政策分析 Public policy and policy analysis
一、公共政策
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。
Public policy can be characterized as the output of a diffuse proce made up of individuals who interact with each other in small groups in 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.公共管理导论
二、经验主义政策分析的方法与途径 Empirical methods used in policy analysis(1)benefit-cost analysis 成本-效益分析(2)decision theory 决策理论分析
(3)optimum-level analysis 最佳水平分析(4)allocation theory 配置理论
(5)time-optimization models 时间最优化模式
三、政策分析的步骤、政策过程模式 Policy proce models Step 1：Verify, define and detail the problem核实、计划和描述问题 Step 2：Establish evaluation criteria建立评估标准 Step 3：Identify alternative policies界定可选的政策方案
Step 4：Evaluate alternative policies评估备选政策
Step 5：Display and select among alternative policies列举并选择备选政策 Step 6：Monitor policy outcomes监控政策结果
第七章 战略管理 Strategic management
一、私营部门的战略 Strategy in the private sector 1.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 Busine strategic planning Corporate strategic planning Strategic management 2.企业战略计划的构成要素Busine 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础之上的更加具体的指向。
The miion of the busine includes a clear definition of current and expected busine scope, products, markets and expectation over a period of a few years.The environmental scan involves the detailed aement of the organization’s internal strengths, weaknees, opportunities and threats.Objectives are more specific aims resulting from the miion and environmental scan.3.战略计划和战略管理的区别 Differences between strategic planning and management 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生战略结果：新市场、新产品和(或)新技术。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 focused on making optimal strategy decisions, while strategic management is focused on producing strategic results: new markets, new products and/or new technologies.Strategic management, therefore, is more comprehensive;rather than merely drawing up a plan it aims at integrating planning with all the other parts of the organization
公共管理导论
4.私营部门战略管理
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 to extend the strategic vision throughout all units of organization, encompaing every administrative system.Instead of being mechanistic, it ‘recognizes’ the central role played by individuals and groups and the influence of corporate culture.此次有两个要点。首先，计划、管理控制和组织结构之间需要更好地整合；沟通和信息系统之间也需要更好地整合；同时还要有一套激励与奖惩系统。其次，组织之间需要关注其自身的组织文化。
There are two main points in this.Fist, there needs to be greater integration between planning, management control and the organizational structure;greater integration between the communication and information system;and with the motivational and reward systems.Secondly, the organization needs to pay attention to its culture.二、公共部门的战略 strategic planning models 1.公共部门战略计划
战略计划是在宪政框架内，为制定那些影响政府行为性质和方向的根本性决策所进行的专业性努力。
Strategic planning is a disciplined effort to produce fundamental decisions shaping the nature and direction of governmental activities, within constitutional bounds.2.布莱森的战略计划模式 the Bryson model of strategic planning 1)2)3)4)Initiating and agreeing on a strategic planning proce 开始战略战略计划过程并取得一致意见 Identifying organization mandates明确组织权限
Clarifying organization miion and values阐明组织权限
Aeing the external environment(opportunities and threats)评估外界环境（机会和威胁）
5)Aeing the internal environment(strengths and weaknees)评估内部环境（优势和劣势）6)Identifying the strategic iues facing an organization确定组织面临的战略性问题 7)Formulating strategies to manage the iues制定处理问题的战略
8)Establishing an effective organization vision for the future确定有效的组织未来愿景 3.公共部门战略管理
战略管理旨在将计划职能与整个管理工作整合到一起。
Strategic management aims to integrate the planning function with the over-all management task
第八章 人事管理和绩效管理
Personnel and performance management
一、绩效管理 Performance management 1.绩效指标
Performance indicators, that is, some way of measuring the progre the organization has made towards achieving declared objectives 2.绩效评估体系
The performance appraisal system aims to measure the performance of individual staff, even to the extent of defining the key contributions expected over the year, which are then compared with actual achievement at the end of the year.公共管理导论
第九章 财政管理 Financial management
一、政府预算 the Government budget 1.预算的定义
“预算最原始的意义是指一个包括了文字和图形并对某些项目和用途的支出提供建议的文件”在最一般的解释中，预算就是致力于将财政资源转换成人类有目的的活动，预算也就变成了在几种可供选择的支出之间进行选择的机制。
A budget is a document, containing words and figures, which proposes expenditures for certain items and purpose.In the most general definition budgeting is concerned with the translation of financial resources into human purposes.The budget becomes a mechanism for making choices among alternative expenditures.2.政府预算的经济职能 Economic functions of the budget Allocation配置, distributor分配, stabilization稳定
3.项目预算的定义 Programme budgeting 项目预算旨在直接将资金更多地用于实际政策目标的实现或产出上。在项目预算之下，政府活动被分配到项目、子项目、活动和组成部分。
Programme budgeting aims to direct funding more towards the achievement of actual policy objectives or outputs.第十章 电子化政府
E-government
一、电子化政府
电子化政府，作为一个术语可以指“使用信息技术——尤其是互联网技术——以更加便利、顾客导向、成本一效益等这样不同而又更好的方式为公众提供服务”。广义的电子化政府是指政府对任何信息和通讯技术的采用。
E-government , as a term ,may refer to “the use of information technology, in particular the Internet, to deliver public services in a much more convenient, customer-oriented ,cost-effective, and altogether different and better way”.A broader definition of e-government is the adoption of any information and communication technology by government.二、电子商务
电子商务某种意义上是涉及商业和付费服务交易的电子交换，在很多国家成为一个迅速增长的经济部门。
E-busine in the sense of electronic exchanges involving commercial and fee-for-service transactions is a rapidly sector of the economy in a number of countries.[附]专有名词
the spoil system of administration 政党分赃制 merit-based appointment 功绩制
the charismatic 魅力型权威； the traditional 传统型权威； rational/legal authority理论-法律型权威
merit goods 价值性物品 spill-over 溢出效应
adverse selection 逆向选择
公共管理导论
moral hazard 道德风险
the line-item or input budget 线性预算 Zero-based budgeting 零基预算 Accrual accounting 权责会计 Performance auditing 绩效审计
