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公众参与是中国特色政府绩效管理的基本路径

“新时代的政府绩效管理:国际经验和中国创新”研讨会上的演讲

发布时间:2018-09-27

伍  彬

杭州市综合考评委员会办公室

杭州市绩效管理委员会办公室

主任

 (2018年9月26日)

各位来宾、各位朋友,女士们、先生们:大家上午好!

非常高兴能在这丹桂飘香的季节,和大家相聚在美丽的西子湖畔,一同研讨政府绩效管理的话题。

杭州是一座快速发展中的城市,与日俱增的公共服务需求,引发了社会治理中一系列问题。比如,在2010年度社会评价中,社会公众反映“看病难”的意见数占意见总量的2.07%,2011年度这个占比上升到了4.63%。2012年,杭州市考评办将“看病难”问题列为跟踪督办整改目标后,卫生行政部门在市属医院推广了“先诊疗、后结算,边诊疗、边付费”服务,患者在接受诊疗服务时可以直接进行医保费用结算,免除了反复到收费窗口排队付费的环节;同时,大力推行分时段预约诊疗服务,患者可以根据自己的时间,选择所需的医生或科室进行预约就诊,简化了诊疗手续,节约了看病时间。在随后的几年里,市考评办通过向社会公开“看病难”整改目标、请社会各界代表进行评价考核、公开反馈评价结果等方式,督促卫生行政部门持续不断的改进,到2016年,在社会评价中涉及医疗服务的意见仅占意见总量的0.97%,“看病难、看病烦”问题得到有效缓解。这是杭州市民通过综合考评这一政府绩效管理平台,共同有序参与社会治理的一个典型事例。自2000年杭州在市直单位开展“满意单位不满意单位”评选活动(后改称“社会评价”),让社会公众作为评价主体参与到政府绩效管理中来,已有18年的历史。杭州市在推进政府绩效管理的过程中,以“创一流业绩、让人民满意”为宗旨,以“开放、民主、责任、绩效”为价值理念,不断完善社会公众参与渠道,优化民意表达的制度设计,引导各地、各部门持续深入地关注民生、倾听民意,并将社会公众的合理化建议和意见纳入政府决策,在政府和社会公众之间,建立了良性的、制度化的互动平台。

下面,我想借这次研讨会的机会,结合杭州的探索实践,分享一下社会公众参与政府绩效管理的做法和体会,请各位专家批评指正。

一、公众参与是公共行政理论的一个重要命题,也是落实“人民当家做主”的必然要求。

在公共行政领域,政府与公民之间的关系问题是广受关注的热门话题。从新公共管理理论坚持“顾客导向、质量为本”的理念,到新公共服务理论倡导“公民参与”,再到社会资本理论强调政府与公民之间的信任与合作,无一不是将政府与公民的关系作为研究的核心。多年来,通过鼓励公民履行其作为公民的责任,并创设公众利益表达的渠道,增强公民在社会公共事务中的参与能力,引导政府关注社会公众诉求,以社会公共利益为政府服务的核心,强调公民权和公众满意度,丰富公民的政治参与方式,已经成为公共行政领域的主流做法。

在我国的公共行政实践中,政府与人民的关系同样是核心问题。从管制到管理,再到治理,反映的是政府与人民之间角色定位和相互关系的发展变化,具有现实的政治意义。在新的历史条件下,保证和支持人民当家作主,是一个关系根本、关系全局的重大问题。习近平总书记在19大报告中指出,“发展社会主义民主政治就是要体现人民意志、保障人民权益、激发人民创造活力,用制度体系保证人民当家作主。”中国社会主义民主政治制度安排的根本目的,就是为了保证和支持人民当家作主落实到国家政治生活和社会生活之中。在国家政治生活中,“人民当家做主”已经由以宪法为核心的中国特色社会主义法律体系作了完备的规定。在社会生活中,具体落实“人民当家做主”,还需要我们从各方面加以实践探索。让社会公众参与公共治理和政府绩效管理,通过提高公众参与的效能感,即政府提供便捷的公众参与渠道,及时有效地回应公众诉求,建立起政府与社会公众的紧密合作关系,实现政府与社会公众之间的良性互动,不断提高政府治理能力和治理绩效,从而增强社会公众对政府的政治信任和满意度,巩固和增强执政合法性,是一种比较好的制度化安排。

二、公众参与是杭州综合考评的鲜明特色,也是中国地方政府绩效管理的有效实践。

杭州市从2005年开始构建“三位一体”的综合考评,社会公众的参与得到进一步确立,被专家誉为“公民导向”的政府绩效评估模式。

1、社会公众在政府绩效管理中占据主体地位。

杭州综合考评设置社会评价、目标考核、领导考评和创新创优四个维度(即“3+1”的考评模式),既有上对下的领导评价和组织内部的工作目标责任制考核,也有社会各界的满意度评价,还有自加压力的创新项目。在权重分配上,按百分制计,社会评价占50分,目标考核45分,领导考评5分,创新创优作为加分项目,由各部门自愿申报。目标考核中包含社会评价意见整改目标、公共服务窗口评价等公众参与的内容,创新创优项目由专家和受益对象评估,在综合考评分值权重上,公众参与的实际比重远超50%,社会公众的评价基本主导了综合考评的结果。

2、建立制度化的公众参与平台和渠道。

在杭州,公众参与政府绩效管理的渠道丰富,形式多样,并已形成制度化。

一是年度社会评价。以抽样调查形式组织开展年度社会评价。通过邮寄、入户调查等方式,组织公众对政府部门的“服务态度和工作效率,办事公正和廉洁自律,工作实效和社会影响”进行满意度评价,并可在问卷调查表上提出具体的意见和建议。近几年,通过开展网上社会评价,进一步拓宽了社会公众参与渠道,它结合移动大数据分析,根据区域、年龄等因素,对移动手机用户进行抽样,定向发送短信,征求有意愿参与的市民。在2017年度的综合考评中,发放市直单位社会评价表12789份,回收12384份,回收率达96.83%;发放区、县(市)社会评价表14576份,回收14184份,回收率达97.31%;与此同时,参与网上社会评价的市民代表近1.6万人。市直单位社会评价共征集到各类意见29646条,其中,线下参评代表意见3183条,占10.74%;网上参评代表意见26038条,占87.83%。区、县(市)社会评价共征集到各类意见12018条,其中网上市民代表意见9019条,占75.05%。

二是服务对象即时评价。在全市行政审批部门和公共服务窗口,统一设置评价器,建立服务评价制,由接受公共服务的行政相对人作为评价主体,进行即时的满意度评价,即顾客评价。

三是第三方评估。建立绩效评估专家库,聘请各方面的专家对政府创新创优项目进行绩效评估。专家参与评估的各类创新创优项目已超1000项;委托第三方评估机构对重大项目或公众关注的热点工作,进行专项绩效测评,形成翔实客观的第三方绩效测评报告。

四是参与目标管理。目标管理的全过程都有社会公众参与。在制定考核目标时,邀请绩效评估专家和绩效信息员(以基层群众为主体组建的一支队伍)进行咨议,参与审定政府各部门年度考核目标;目标实施过程中,通过绩效信息员和第三方信息咨询机构搜集和整理各类绩效信息,实现绩效目标动态跟踪管理;年度目标考核时,吸收绩效信息员参与检查验收。

五是日常跟踪督办。绩效信息员紧扣信息收集主题和范围,广泛收集身边群众对政府职能部门的评价、意见及建议,及时发现苗头或倾向性的问题,为绩效管理提供原汁原味的第一手信息。绩效信息员队伍使杭州政府绩效管理有了自己的社会“触角”,从被动接收社情民意变为主动发现公众诉求。

六是“公述民评”电视问政。“公述民评”电视问政不仅是访谈、对话节目,更是协商治理的舞台。在具体操作中,市民既可以通过市级媒体、“绩效杭州网”、“绩效杭州”微信公众号等网上公开渠道报名参与或提出相应的问政问题,也可以通过现场报名的渠道参与。

七是其他参与渠道。在市民中心设置“绩效杭州”展示厅,实时展示政府工作情况,接受社会公众的现场评议和诉求表达。由市考评办主办的“绩效杭州网”、“绩效杭州”微信公众号,公众随时可以进行评议。

3、健全及时有效的公众诉求回应机制。

与社会公众的参与相配套,杭州市建立健全了各种制度化的诉求回应机制。

一是“评价-整改-反馈”机制。在每年的绩效考评中,让社会公众进行满意度评价并征集具体意见,形成评价机制;根据收集到的意见,分解落实到相关单位,确定整改重点,形成意见整改机制;公布重点整改目标,要求责任单位对社会评价意见整改公开作出承诺,并对整改的过程和结果进行信息公开,晒清单、晒亮点,接受社会公众再次评价,形成了反馈机制。这三个过程互为前提,往复循环。在这一工作机制中,社会公众参与体现在3个层面上,第一层面是公众有权利、有途径对政府机关进行评价,行使评价权,表达对政府机关工作的意见;第二层面是公众有权利要求和监督政府机关根据社会评价意见进行认真整改,把评价意见落实为政府行动;第三层面是社会公众对政府机关整改结果进行评价,从结果上进行监督。社会公众的参与,最终形成了“评价-整改-反馈”这一推动政府绩效持续改进的工作机制。

二是公共政策辅助决策机制。每年的年度社会评价结束后,市考评办都要组织专业人员,对意见进行全面分析,形成分析报告,提交市委、市政府和市考评委审议。2008年起,杭州市在国内率先向社会公开发布《年度社会评价意见报告》,并形成制度。《社会评价意见报告》通常对上年度社会评价意见整改情况进行总结,对当年度社会评价意见的主要内容和基本特点进行梳理分析,并提出对策建议,成为一份反映城市公共治理的“民意白皮书”,为市委、市政府制定公共政策和施政提供重要依据。

三是政府创新创优推进机制。通过设置创新创优和特色创新目标绩效考核环节,在综合考评中对政府创新给予加分激励,鼓励市直单位和区、县(市)解放思想,探索新理念、新机制、新方法,来提升政府绩效,增强政府公共服务能力。社会评价意见、日常绩效信息和目标管理中发现的一系列问题为政府创新工作的推进提供了方向性引导,相关责任单位可以以此来推动创新创优项目的设计、实施,从而更有针对性地解决经济社会发展中存在的矛盾和问题,使政府创新成为改进绩效的有效途径。

四是日常绩效信息跟踪督查机制。社会公众参与为加强日常绩效监控提供了更便利的条件。通过对收集各类绩效信息进行分析、整理、归纳,建立“绩效信息库”。对一段时期反映比较集中或连续多次重复出现的问题,以《绩效告知书》或《绩效改进通知书》形式向责任单位通报有关问题,要求在规定时间内提出处理意见并反馈处理结果,以此促进发现问题的及时、有效解决,实现绩效管理的动态化。

五是绩效分析与治理诊断。由绩效管理部门、相关责任部门和社会各界、媒体等多方共同参与,利用绩效管理的资源优势,坚持问题导向,组织专题调研,针对公共治理中的一些热点难点问题和政府绩效管理中带有普遍性的一些突出问题(如公共资源共享利用程度低、建设与管理脱节、部门协作联动不够、长效机制缺失等),进行系统的分析、归纳和整理,联合相关部门和有关专家,开展绩效分析和治理诊断,共同商讨解决方案,提升政府绩效。

4、依法保障社会公众参与政府绩效管理。

作为国内第一部具有实践基础的政府绩效管理地方性法规——《杭州市绩效管理条例》,已于2016年1月1日正式实施,这是我们运用法治思维和法治方式推进政府绩效管理的一个最新尝试。通过立法,使我们多年来行之有效的制度设计和实践经验法制化,将多元参与主体、参与方式和程序、结果运用、绩效问责等以地方性法规形式确立下来,实现了政府绩效管理“于法有据、依法管理”。

《条例》明确了多元主体在绩效管理中的地位和权利,特别是在绩效管理规划的编制,年度绩效目标的制定、调整、监督等过程中,社会公众享有充分的知情权、建议权、评价权;明确绩效管理机构可以委托专业的第三方机构对部分绩效目标开展专业测评,为鼓励和引导第三方评估机构参与绩效评估,促进第三方评估规范发展提供了基础;规定绩效管理全过程中必须注重吸收和应用的公众意见,以群众满意度作为检验政府绩效的重要标准。这些条款的规定,为公众参与到政府绩效管理中来提供了制度保障。

三、公众参与是新时代中国特色政府绩效管理的必由之路,也是推进治理现代化的题中之义。

我们坚持社会公众在政府绩效管理中的主体地位,通过强化社会公众参与、引入外部评价监督,来推进政府绩效的改进和提升。实践证明,杭州综合考评和绩效管理已经成为转变机关作风的“杀手锏”、破解民生问题的“指挥棒”、促进科学发展的“助推器”、引领创新创优的“方向标”、推进现代治理的“新引擎”,为杭州经济社会科学发展和构建和谐社会注入了强劲动力。然而,作为中国地方政府绩效管理的一种有效实践,其价值和意义并不局限于此,它在发展社会主义民主政治、推进政府治理现代化、破解民生难题和构建服务型政府等方面,也具有普遍价值和时代意义。

1、强化对上负责与对下负责相统一的政府责任机制。

在如何确保政府对人民负责的问题上,通常有两种解决方式,一是通过政府内部控制的方式,二是通过外部监督的方式。美国学者弗朗西斯·福山认为,中国的发展模式面临两个挑战,其中一个是政治方面的挑战,即“在缺乏一种对下负责的政治体制下,中国是否能够始终保持高质量的治理”。他认为,中国的政治责任体制是对上负责的责任体制。但杭州政府绩效管理多年实践表明,通过公众参与的制度化平台建设,不仅可以有效地构建一种对人民负责的“责任机制”,同时也可以保持高质量的治理绩效。杭州市在综合考评中赋予社会公众超50%的权重,从制度上落实了“以人民为中心”、人民政府必须对人民负责的宗旨;以公众满意为导向的绩效评价指标体系和绩效管理工作机制,迫使政府部门和公职人员“眼睛向下”,重视社会公众意见,按照广大人民群众的意愿制定施政目标和改进计划。这样,就将“责任”的理念通过一种制度化的安排落到了实处:制定年度社会评价意见整改计划—确定重点整改目标—实行跟踪督办—公示整改进度和结果—接受社会公众再评价,从而确保社会评价意见的整改落实,形成制度化的诉求回应机制,取信于民,对人民负责。

2、降低社会治理的风险成本。

近年来, 我国公民政治参与意识普遍增强,特别是新媒体、自媒体的出现,更进一步提升了公众参与意愿。当正常的利益诉求不能通过合法、有序的参与途径实现时, 往往会导致公民参与以激进的方式表现出来,从而增加政府治理成本,干扰政治体系和社会系统的正常运行,严重时还会影响政治稳定。公民参与通过一定的渠道和途径实现健康良序运行,政府积极提供参与渠道和参与途径,并推动公民参与制度化、程序化、法治化。杭州坚持“公民导向”,让社会公众广泛参与绩效管理的全过程,在实践中形成了以社会公众为主体的,包括广大市民、企业、专家、社会组织、行业协会等在内的服务于政府绩效管理的社会网络,促进了政府与社会公众之间的良性互动,在多元共治中最终实现公共利益的最大化。

3、推进“民主促民生”战略的有效实施。

公民参与是现代民主政治的发展趋势,它的良性运行,不仅能够激活部分“存量民主”,而且能够实现“增量民主”。政府绩效管理可以为“民主促民生”战略的实现提供制度化保障。2003年,我们从社会评价意见中整理分析出7个反映集中的民生难题,受到市委、市政府高度重视,将其提升为战略决策,建立了“破七难”工作机制,大力推进“七难问题”等民生诉求的解决。在每年度的综合考评中,以社会评价调查问卷表,向各个投票层面询问其对杭州市“破七难”的满意度,让人民群众来评判杭州市“破七难”的工作成效,以及下一阶段“破七难”的工作重心,从而为政府部门的决策和执行提供依据。“破七难”的提出以及逐渐发展形成的“7+2”、“7+X”框架,是杭州市委、市政府“民主促民生”战略的具体实践,推动着民生问题的发现,解决模式从传统的自上而下的“为民做主”,转变为自下而上的“参与式治理”,成为杭州保障和改善民生的“代名词”。

4、促进地方政府治理现代化。

杭州市在政府绩效管理中通过建立公众参与的制度化平台,在推动地方治理现代化方面发挥了积极的作用。从杭州政府绩效管理的实践看,赋予社会公众话语权,让社会公众对各级公共部门进行全面评价,不仅彰显了人民满意导向,也大大增强了绩效管理的问题发现功能。与一般渠道征集的民意相比,公众在参与政府绩效管理的过程中,除了关注自身个体的利益外,还关注政府公共政策和社会公共事务,以及社会聚焦的热点难点问题,这为地方政府坚持问题导向,把握解决制约发展问题的主动权提供了便利。重视社会评价,以社会公众的评价意见作为提升政府治理能力的突破口,积极开展意见整改工作,补齐政府工作中的短板;针对社会公众反映突出的热点难点问题,敢于采取改革创新的思路和举措应对挑战、破解难题,推动政府治理适应经济社会发展新常态。

总的来说,杭州开展绩效管理虽然时间不短,但面对新形势、新任务、新要求,还有很多需要进一步探索创新的课题。我们期待这次会议,各位专家和同行能够为我们提供更多的理论指导和新鲜经验,使杭州的政府绩效管理工作再上一个新台阶。

谢谢!

Materials of the Seminar ”Government Performance Management in the New Era: International Experience and China’s Innovation”



Public participation is the basic path of government-performance management with Chinese characteristics

 

Wu Bin

Director of the Office of the Comprehensive Evaluation Commission of Hangzhou and the Office of Hangzhou Performance Management Commission

(September 26, 2018)

 

Dear guests, friends, ladies and gentlemen, good morning!

 

It is a great pleasure to join you in this golden fall by the side of the beautiful West Lake and discuss the topic of government-performance management.

 

Hangzhou is a rapidly developing city, and the increasing demand for public services has caused a series of problems in social governance. For example, in the 2010 public evaluation, the number of public opinions reflecting “difficulty in seeing a doctor” accounted for 2.07% of the total number of opinions, and this proportion increased to 4.63% in 2011. In 2012, after the Office of Comprehensive Evaluation Commission (OCEC) of Hangzhou listed the problem of “difficulty in getting medical services” as the target of follow-up supervision and rectification, the health administrative authorities of Hangzhou launched the service of “paying after or during the process of diagnosis and treatment” in municipal hospitals. Patients can directly pay through their medical insurance for the diagnosis and treatment services, without the need to repeatedly queue up to pay fees at the charging window. At the same time, they stepped up efforts in promoting appointment services, so that a patient can make an appointment with the doctor or department according to his/her needs and time schedule, thus simplifying the diagnosis and treatment procedures and saving their time. In the following years, the OCEC urged the health administrative departments to continuously improve by disclosing the goals of rectifying the “difficulty in getting medical services" to the public, inviting representatives from all walks of life to carry out evaluation, and publicizing the evaluation results. By 2016, “opinions related to medical services in the public evaluation only accounted for 0.97% of the total opinions, and the problem of “difficulty and trouble in getting medical services” was effectively alleviated. This is a typical example of Hangzhou citizens participating in social governance in an orderly manner through comprehensive evaluation - a government performance management platform.

 

Hangzhou has engaged the public in government performance management for 18 years since 2000, when the city launched a campaign to allow the public to select “satisfactory and unsatisfactory government agencies” among entities directly under the Hangzhou Municipal Government (later renamed “public evaluation”). In the process of promoting government performance management, Hangzhou, which takes “achieving first-class performance and satisfying the people” as its aim and “openness, democracy, responsibility, performance” as its values, continuously improves the channels of public participation, optimizes the system for public opinion expression, guides all local agencies and departments to continuously pay close attention to people’s livelihood and listen to public opinions, and incorporates reasonable suggestions and opinions of the public into government decision-making, thus establishing a benign and institutionalized interactive platform between the government and the public.

 

Next, I would like to take the opportunity to share with you the practices and experiences of public participation in government performance management in light of Hangzhou’s explorations and practices. And I welcome any suggestions and comments from you.

 

First, public participation is an important proposition in the theory of public administration, and it is also an inevitable requirement to implement the principle of “people being the masters of their own affairs”.

 

In the field of public administration, the relationship between government and citizens has been a hot topic that has attracted wide attention. From the new public management theory adhering to “customer and quality orientation”, through the new public service theory advocating “public participation”, all the way to the social capital theory emphasizing trust and cooperation between the government and citizens, they all take the relationship between the government and citizens as the core of their study. Over the years, it has become the mainstream practice in public administration to encourage citizens to fulfil their responsibilities and create channels for the expression of public interests, enhance citizens’ ability to participate in public affairs, guide the government in paying attention to public demands, take public interests as the core of government services, emphasize citizenship and public satisfaction, and provide citizens with more ways of political participation.

 

In the practice of public administration in our country, the relationship between the government and the people is also a core issue. From regulation to management and then to governance, it reflects the development and change of the roles and relationship between the government and the people and has practical political significance. Under the new historical conditions, ensuring and supporting the fulfilment of “people being the masters of their own affairs” is a major issue of fundamental and overall concern. As General Secretary Xi Jinping pointed out in his report to the 19th National Congress of the CPC, “the development of socialist democratic politics is to embody the will of the people, safeguard their rights and interests, stimulate their creative vitality, and develop systems to ensure that the people are masters of their own affairs.” The fundamental purpose of the arrangement of China’s socialist democratic political system is to ensure and support the realization of the concept of “people as masters of their own affairs” in the country’s political and social life. In the country’s political life, the concept of “people as masters of their own affairs” has been fully stipulated by the socialist legal system with Chinese characteristics, with the Constitution as its core. In social life, the concrete implementation of “people as masters of their own affairs” also requires our practical explorations from various aspects. It is a better institutional arrangement to let the public participate in public governance and government performance management, and strengthen their sense of efficacy in such participation. That is, the government should provide convenient channels for public participation, respond to public demands in a timely and effective manner, establish a close cooperative relationship with the public, realizes benign interaction with the public, and constantly improve its governance capability and performance, thereby enhancing political trust and satisfaction from the public and consolidating the legitimacy of its governance.

 

Second, public participation is a distinctive feature of Hangzhou’s comprehensive evaluation as well as an effective practice of local government performance management in China.

 

Hangzhou has been building a “trinity” structure of comprehensive evaluation since 2005, and public participation has been further established. It has been praised by experts as a “citizen-oriented” government performance evaluation model.

 

1. The public takes a dominant position in government performance management.

Hangzhou’s comprehensive evaluation encompasses four dimensions: public evaluation, target evaluation, evaluation by leaders, and innovation and excellence projects (i.e. a “3+1” evaluation model), including top-to-bottom evaluation from the leaders, internal evaluation against working targets, satisfaction evaluation from all social sectors, as well as self-stressing innovation projects. In terms of weight distribution, public evaluation accounts for 50 points, target evaluation 45 points, evaluation by leaders 5 points, innovation and excellence projects as bonus items, which are voluntarily declared by various departments. The target-oriented assessment includes objects of public participation such as rectification goals based on public evaluation and the evaluation of public-service windows. The innovation and excellence items are evaluated by experts and beneficiaries. The actual proportion of public participation is far more than 50% in the weight of comprehensive evaluation scores. Public evaluation virtually dominates the results of comprehensive evaluation.

 

2. Establish an institutionalized platform and channel for public participation.

In Hangzhou, there are a variety of channels and forms of public participation in government performance management, which has been institutionalized as well.

 

First is annual public evaluation. Annual public evaluation is organized in the form of a sample survey. Through mail and household surveys, the public will be organized to evaluate the government's “service attitude and work efficiency, impartiality and self-discipline, and work effectiveness and social impact” and can give their specific opinions and suggestions on the questionnaire. In recent years, through the online public evaluation, the channels for public participation have been further widened. According to the analysis of mobile big data, mobile phone users have been sampled according to factors such as region and age, and targeted text messages are sent to citizens who wish to participate. In the comprehensive evaluation in 2017, 12,789 public evaluation forms for entities directly under the Hangzhou Municipal Government were issued and 12,384 were recovered, with a recovery rate of 96.83 %. 14,576 public evaluation forms were issued to districts and counties (cities) under the jurisdiction of the Hangzhou Municipal Government and 14,184 were recovered, with a recovery rate of 97.31%. At the same time, nearly 16,000 citizen representatives participated in the online public evaluation. A total of 29,646 opinions were collected from entities directly under the Hangzhou Municipal Government, of which 3,183, or 10.74%, were from offline representatives. The number of opinions from online representatives participating in the evaluation was 26,038, accounting for 87.83%. Districts and counties (cities) under the jurisdiction of the Hangzhou Municipal Government contributed 12,018 opinions to the public evaluation, of which 9,019, or 75.05 %, were from on-line representatives.

 

Second is real-time evaluation by service recipients. At all of the city’s administrative examination and approval departments and public service windows, an evaluator is set up, and a service evaluation system is established to allow the service recipient to conduct real-time satisfaction evaluation, that is, customer evaluation.

 

Third is third-party evaluation. An expert database for performance evaluation is established to employ experts from various fields to evaluate the performance of the government’s innovation and excellence projects. More than 1,000 innovation and excellence projects have been evaluated by experts. A third-party evaluation agency has been entrusted to conduct special performance evaluation on major projects or hot issues of public concern and develop a detailed and objective third-party performance evaluation report.

 

Fourth is participation in target management. Public participation runs through the whole process of target management. Before setting the annual assessment targets for government departments, we will consult performance-assessment experts and performance-information coordinators (a team composed mainly of grass-roots people) and let them participate in the examination and approval process. In the process of targets implementation, the performance coordinator and the third-party information consulting agencies will collect and comb through all sorts of performance information, so as to realize dynamic tracking and management of the performance targets. During the annual assessment against the targets, the performance-information coordinator will be engaged in the inspection and acceptance process.

 

Fifth is daily follow-up and supervision. Working closely on the theme and scope of information collection, performance-information coordinators widely collect the evaluations, opinions and suggestions regarding the government functions from the people around them, discover the signs of problems or potential problems, and provide first-hand information for performance management. The team of performance-information coordinators has served as social “tentacles” for Hangzhou’s government performance management, transforming it from passively receiving public opinions to actively discovering public demands.

 

Sixth is “Face-to-Face Governance Evaluation” on TV. “Face-to-Face Governance Evaluation on TV” is not only an interview or dialogue program, but also a “stage” for consultative governance. Specifically, citizens may sign up for participation or ask relevant questions through the municipal media or online portals such as WeChat official accounts like “Performance Hangzhou Network” and “Performance Hangzhou”, or sign up at the site of the event.

 

Seventh is other channels of participation. A “Performance Hangzhou” exhibition hall is set up at the civic centre to demonstrate the government’s work on a real-time basis and accept the public’s on-site evaluation and demands. Through “Performance Hangzhou Network” and “Performance Hangzhou” sponsored by the OCEC, the public can participate in the evaluation at any time.

 

3. Improve the mechanism for timely and effective response to public demands.

Hangzhou has established and improved various institutionalized demand response mechanisms to go with the public participation.

 

First is the “evaluation-rectification-feedback” mechanisms. In the annual performance evaluation, an evaluation mechanism is formed by engaging the public in satisfaction evaluation and soliciting their specific opinions; a rectification mechanism is formed by assigning the collected opinions to relevant entities for rectification and determining the key targets of rectification; and a feedback mechanism is formed by announcing key rectification targets, requiring responsible entities to make a public commitment to rectify the corresponding problems accordingly, disclosing the rectification processes and results, particularly the lists and highlights, to the public, and accepting re-evaluation by the public. These three mechanisms are the prerequisite for each other and form a cyclic process. In these working mechanisms, public participation is reflected at three levels. The first level is that the public has the right and means to evaluate government agencies, exercise the right of evaluation and express their opinions on the work of government agencies. The second level is that the public has the right to require and supervise the government agencies to rectify the problems according to the public evaluation opinions and translate the evaluation opinions into government actions. The third level is for the public to evaluate the rectification results of government agencies and supervise the results. Public participation finally formed the “evaluation-rectification-feedback” mechanism, which promotes the continuous improvement of government performance.

 

Second is the supportive mechanism for decision-making on public policies. After the end of the annual public evaluation each year, the OCEC would organise professionals to conduct a comprehensive analysis of the opinions, develop an analysis report and submit it to the CPC Hangzhou Municipal Committee, the Hangzhou Municipal Government and the Comprehensive Evaluation Commission of Hangzhou for deliberation. In 2008, Hangzhou took the lead among other cities in publishing the Annual Report on Public Evaluation Opinions to the public and has made this practice a reporting system ever since. The Annual Report on Pubic Evaluation Opinions summarizes the rectification of problems identified from the public evaluation in the previous year, sorts out and analyzes the main contents and basic characteristics of the public evaluation opinions of the current year, and puts forward countermeasures and suggestions, thereby serving as a White Paper on Public Opinions reflecting the public governance of the city and providing an important basis for the CPC Hangzhou Municipal Committee and the Hangzhou Municipal Government to formulate and implement public policies.

 

Third is the mechanism for promoting the government's innovation and excellence projects. By setting up a performance evaluation process for innovation and excellence projects and featured innovation objectives and giving extra incentives to government innovation in comprehensive evaluation, entities directly under the Hangzhou Municipal Government and districts and counties (cities) under the jurisdiction of the Hangzhou Municipal Government are encouraged to emancipate their minds, and explore new ideas, mechanisms and methods, so as to improve government performance and enhance the government’s public service capacity. A series of problems found in public evaluation opinions, daily performance information and target management have provided directional guidance for the promotion of government innovation. The responsible entities can use this to promote the design and implementation of innovation and excellence projects, so as to solve the contradictions and problems existing in economic and social development in a more relevant manner and make government innovation an effective way to improve performance.

 

Fourth is the mechanism for daily performance information tracking and supervision. Public participation provides more convenient conditions for strengthening daily performance monitoring. By analyzing, combing through and summarizing the collected performance information, a “performance information database” is established. For the problems that have been brought up repeatedly in a certain period of time, the responsible entities shall be informed of the relevant problems in the form of “Performance Notice” or “Performance Improvement Notice”, and they are required to give their opinions on how these problems should be resolved and feed back on the results within the specified time, so as to promote the timely and effective resolution of the problems and realize dynamic performance management.

 

Fifth is performance analysis and governance diagnosis. Performance management departments, relevant responsible departments, various social sectors and media participate together to exploit resource advantages of performance management, adhere to the problem-oriented principle, organize thematic surveys, systematically analyze, summarize and sort out hot and difficult issues in public governance and outstanding universal issues in government performance management (such as low level of public resources sharing and utilization, disjointed construction and management, insufficient coordination among departments, and lack of long-term mechanisms, etc.), jointly conduct performance analysis and governance diagnosis, explore solutions, and improve government performance.

 

4. Ensure public participation in government-performance management according to law.

As the first local government performance management regulation with a practical basis in China, the Performance Management Regulations of Hangzhou was officially implemented on January 1, 2016. This is our latest attempt to promote government-performance management using the ideology and methodology of rule of law. Through legislation, we have legalized our effective system design and practical experience for many years, and defined the diverse participants, methods and procedures for participation, application of results, and performance accountability in the form of local laws and regulations, thus realizing government-performance management that is “based on law and managed according to law”.

 

The Regulations has clearly defined the status and rights of multiple subjects in performance management, particularly the public’s full right to know, advise and evaluate in the development of performance management plans and in the formulation, adjustment and supervision of annual performance targets. It has made it clear that performance management agencies may entrust professional third-party agencies to carry out professional evaluation of some performance targets, thus providing a basis for encouraging and guiding third-party evaluation agencies in participating in performance evaluation and promoting the standardization and development of third-party evaluation. It has also stipulated that public opinions must be absorbed and applied in the whole process of performance management, and public satisfaction should be taken as an important criterion for assessing government performance. These provisions have provided system guarantee for public participation in government-performance management.

 

Third, public participation is the only way for government-performance management with Chinese characteristics in the new era, and it is also the meaning of promoting modernized governance.

 

We uphold the dominant position of the public in government-performance management, and promote the improvement of government performance by strengthening public participation and introducing external evaluation and supervision. It is proved in practice that Hangzhou’s comprehensive evaluation and performance management have become the “trump card” for changing the working style of government agencies, the “baton” for solving livelihood problems, the “catalyst” for scientific development, the “wind vane” for innovation and excellence projects, and the “new engine” of modern governance. It has injected strong impetus into Hangzhou’s economic and social scientific development and into the process of building a harmonious society. However, as an effective practice of local government performance management in China, its value and significance are not limited to this. It also has universal value and historical significance in developing socialist democracy, promoting modernization of government governance, solving livelihood problems and building a service-oriented government.

 

1. Strengthen the government responsibility mechanism that integrates responsibility for superiors with that for subordinates.

There are usually two ways to ensure that the government is responsible for the people: one is through internal control by the government and the other is through external supervision. Francis Fukuyama, an American scholar, believes that China’s development mode faces two challenges, one of which is political challenge, that is, “whether China can always maintain high-quality governance in the absence of a political system that is responsible for subordinates”. He believes that China’s political responsibility system is one that is responsible for superiors. However, years of practice of Hangzhou’s government-performance management show that, through the construction of a systemized platform for public participation, not only can an “accountability mechanism” be effectively constructed for the people, but also high-quality governance performance can be maintained. Hangzhou has given the public more than 50% weight in comprehensive evaluation, and has systematically fulfilled the “people-centered”” principle, as well as that “a people’s government must be responsible for the people”. The public satisfaction-oriented performance-evaluation index system and performance-management mechanism have forced government departments and public officials to “look down”, attach importance to public opinions, and formulate policy objectives and improvement plans according to the wishes of the general public. In this way, the concept of “responsibility” has been put into practice through systemized arrangement, that is, formulating the rectification plan for annual public evaluation opinions - determining the key rectification targets - following up and supervising - publicizing the rectification progress and results - accepting re-evaluation by the public, so as to ensure the rectification of problems identified from public evaluation, form a systemized response mechanism, win the trust of the people, and assume responsibility for the people.

 

2. Reduce the risk of social governance.

In recent years, our citizens’ awareness of political participation has generally increased, especially with the emergence of new media and self-media, which has further enhanced the public’s willingness to participate. When the demands out of normal interests cannot be met through legal and orderly ways of participation, citizens’ participation will often be expressed in a radical way, thus increasing the cost of government governance, interfering with the normal operation of the political system and social system, and even seriously affecting political stability. Healthy and orderly operation of citizens’ participation can be realized through certain channels and approaches. The government should actively provide such channels and approaches, and promote the establishment of systems, procedures and legislation for public participation. Adhering to the principle of “citizen-orientation”, Hangzhou allows the public to widely participate in the whole process of performance management. In practice, a social network that takes the public as the main body and serves the government’s performance management has been formed, including the general public, enterprises, experts, social organizations, industry associations, etc. This network has promoted the benign interaction between the government and the public and finally maximized public interests in the pluralistic co-governance.

 

3. Promote the effective implementation of the strategy of “democracy helps improve people’s livelihood”.

Citizens’ participation represents the development trend of modern democratic politics. Its benign operation can not only activate part of “stock democracy” but also realize “incremental democracy”. Government-performance management can provide system guarantee for the realization of the strategy of “democracy helps improve people’s livelihood”. In 2003, we sorted out and analysed seven livelihood problems from the public evaluation opinions, which were highly valued by the CPC Hangzhou Municipal Committee and the Hangzhou Municipal Government. They elevated these problems to the strategic decision-making level, established a working mechanism for “overcoming seven difficulties” and vigorously promoted the resolution of livelihood problems such as the “seven difficulties”. In the comprehensive evaluation of each year, the public evaluation questionnaire is used to ask the voters about their satisfaction with Hangzhou’s effort in “overcoming seven difficulties”, so that the people can judge the effectiveness of Hangzhou’s work in this aspect and its focus in the next phase, thus providing the basis for the government's decision-making and implementation. The proposal of “overcoming seven difficulties” and the gradually formed “7+2” and “7+x” frameworks embody the implementation of the strategy of “democracy helps improve people's livelihood”, as put forward by the CPC Hangzhou Municipal Committee and the Hangzhou People’s Government. They are facilitating the discovery of livelihood issues, transforming the traditional top-down problem-solving mode to bottom-up “participatory governance”, and thus becoming the “synonym” for livelihood improvement in Hangzhou.

 

4. Promote the modernization of local government governance.

Hangzhou has played an active role in promoting the modernization of local governance by establishing a systemized platform for public participation in government-performance management. From the practice of Hangzhou’s government-performance management, giving the public the right to speak and allowing them to conduct comprehensive evaluation of public departments at all levels not only shows the orientation towards people’s satisfaction, but also greatly enhances the problem-finding function of performance management. Compared with the public opinions collected from general channels, in the process of participating in government-performance management, the public pays attention not only to their own individual interests, but also to the government’s public policies and social public affairs, as well as hot and difficult issues, which provides convenience for local governments to adhere to the problem-orientation principle and grasp the initiative to solve problems that hinder development. Hangzhou pays close attention to public evaluation, takes the public evaluation opinions as a breakthrough to improve the government’s governance ability, actively carries out the rectification of opinions, and makes up for the shortcomings in the government’s work. In view of the hot and difficult issues brought up by the public, Hangzhou dares to adopt reformative and innovative ideas and measures to tackle challenges and solve problems, and adapt government governance to the new norm of economic and social development.

 

On the whole, although Hangzhou has introduced performance management for a fairly long time, there are still many topics subject to further exploration and innovation in the face of the new situation, new tasks and new requirements. We expect all experts and colleagues present to provide us with more theoretical guidance and fresh experience, so as to bring Hangzhou’s government-performance management up to a new level.

 

Thank you!

 


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