I 摘要 近年来，在全面推进依法治国、加快建设法治政府的大背景下，各地不断深入探 索综合行政执法改革，对综合行政执法部门的工作效能提出了全新的要求。综合行政 执法之路，不仅要依靠法律法规的健全完善，还要依靠各具体行政执法单位的内部考 核监督。因此，优化绩效考核，是完善综合行政执法系统的一项重要课题。 目前,我国公务员的绩效考核框架已经基本形成,但是绩效考核的科学性还不足, 尤其是对综合行政执法类公务员绩效考核的研究尚处于起步阶段。由于对这部分群体 的工作绩效考核缺乏关注，以行政管理与绩效考核理论就综合行政执法公务员的工作 给予评价和管理的探讨更加薄弱。因此，从考核主体、指标设定、组织实施、结果应 用等角度提出完善综合行政执法公务员绩效考核方案的优化建议是有必要的。 本文遵循了“提出问题-分析问题-解决问题”的研究思路，在相关文献述评及概念 界定基础上，根据我国现代公务员的绩效考核制度，就 Y 市综合行政执法局现行公 务员绩效考核方案进行研究。本文首先论述了目前在 Y 市综合行政执法局内部、公 务员绩效考核方案的基本内容；其次通过深度访谈与问卷调查考察了该考核方案在实 际运作中遇到的问题并对其原因进行分析；最后对于该考核方案的优化设计提出改进 对策。本文主要解决了以下问题，1.设计访谈提纲和调查问卷，通过数据统计分析， 得出信度和效度较高的结果；2.运用已有材料及调查结果阐述清目前在 Y 市综合行政 执法局公务员绩效考核的方案中存在的问题及其原因分析；3.分析该考核方案在设计 与实施方面的优化。 本文的研究得出了有价值的结论。首先，Y 市综合行政执法局公务员绩效考核方 案存在以下问题，考核主体方面，部门责任划分不清，对负面因素的反映不足；指标 设定方面，设计上的科学性不够，定性指标评价存在困难且考核指标的权重计算有缺 陷；组织实施方面，方案的系统性不强，不同机构衔接存在问题；结果执行方面，考 核结果运用方式单一，对个人的激励效果有限，缺乏对考核结果的分析反馈。其次， 分析其原因，主要是顶层设计方面的影响、内部独立考核部门的缺失、考核人员自身 的局限性以及后续协调反馈平台的缺失。最后，提出了优化建议，包括方案设计的优 化和方案实施的优化。在方案设计的优化上，提出加强考核理论的研究、定性考核指 标的探讨、定量考核权重的设计以及结果运用多样化研究。在考核方案实施优化中， 提出设立独立的考核主体与内部协调部门、增加人员培训的投入、引入各阶段动态管 理、建立后续反馈平台，改善内部考核评定情况。 关键词，行政部门,综合执法,公务员,绩效考核西安电子科技大学硕士学位报告 IIABSTRACT III ABSTRACT In recent years, under the background of comprehensively promoting the rule of law and speeding up the construction of a government under the rule of law, local governments have continuously deepened the comprehensive administrative law enforcement reform, which has set new requirements for the efficiency of the comprehensive administrative law enforcement departments. The process to comprehensive administrative law enforcement not only rely on the soundness and perfection of laws and regulations, but also on the internal assessment and supervision of specific administrative law enforcement departments. Therefore, optimizing performance appraisal is an important issue in improving the administrative law enforcement system. At present, the performance appraisal framework of civil servants in China has basically been formed, but the scientific of performance appraisal is still insufficient, especially the research on the performance appraisal of civil servants in administrative law enforcement is still in its infancy, and the theoretical research on the performance management of administrative law enforcement personnel is not enough.Due to the lack of attention to the performance appraisal of this group of people, the discussion on the evaluation and management of the work of administrative law enforcement personnel by the public service theory is even weaker. Therefore, it is necessary to improve and optimize the implementation of the performance appraisal of the administrative law enforcement public servants from the perspectives of the basic principles of assessment, the setting of assessment indicators, and the application of assessment results. This paper follows the research ideas of “propose a problem-analyze the problem-solve the problem”. Based on the relevant literature review and concept definition, according to the performance appraisal system of modern civil servants in China, the thesis studies the performance appraisal plan of civil servants of Y Comprehensive Administrative Law Enforcement Bureau. The paper first discusses the basic content of the performance appraisal plan for civil servants in the Y Municipal Comprehensive Administrative Enforcement Bureau. Secondly, the problems encountered in the actual operation of the assessment program were considered and the reasons were analyzed through questionnaire survey. Finally put forward effective improvement suggestions for the optimization design西安电子科技大学硕士学位报告 IV of the assessment plan. This paper mainly solves the following problems: 1. Design interview outlines and questionnaires, and obtain results of high credibility through statistical analysis; 2. Use existing materials to explain the current performance evaluation of civil servants in Y Municipal Comprehensive Administrative Enforcement Bureau,and analysis of problems and causes in the program; 3. Analyze the optimization of the evaluation plan in design and implementation. The research of the thesis draws valuable conclusions. Firstly, The performance appraisal plan for civil servants of Y Municipal Comprehensive Administrative Law Enforcement Bureau has the following problems: In terms of the subject of assessment, the division of departmental responsibilities is unclear and the reflection of negative factors is insufficient; In terms of index setting, the design is not scientific enough, the evaluation of qualitative indicators is difficult, and the weight calculation of the evaluation indicators is flawed; In terms of organization and implementation, the system is not systematic, and there are problems in the connection of different institutions; In terms of the implementation of the assessment results, the application method is single, the incentive effect on individuals is limited, and the analysis and feedback on the assessment results are lacking. Secondly, The main reasons are the impact of the top-level design, the lack of internal independent appraisal departments, the limitations of the appraisers themselves, and the lack of follow-up coordination feedback platforms. Finally, optimization suggestions are proposed, including optimization of the design of the scheme and optimization of the implementation of the scheme. In the optimization of scheme design, it is proposed to strengthen the research of assessment theory, the discussion of qualitative assessment indicators, the design of quantitative assessment weights and the diversification of results. In the optimization of the implementation of the assessment plan, it is proposed to set up an independent assessment department and internal coordination department, increase the input of personnel training, introduce dynamic management at each stage, and establish a follow-up feedback platform. Key Words，administrative departments, comprehensive law enforcement, civil servants, performance appraisalABSTRACT V插图索引 VII 插图索引 图 1.1 全文技术路线图 ........................................................................................................9 图 3.1Y 市综合行政执法局组织结构图...........................................................................18 图 4.1 受访人性别比例情况..............................................................................................26 图 4.2 受访人年龄比例情况..............................................................................................27 图 4.3 受访人文化程度情况..............................................................................................27 图 4.4 受访人所属单位情况..............................................................................................28 图 4.5 受访人工作职务情况..............................................................................................28 图 4.6 现行考核满意度情况..............................................................................................29 图 4.7 现行考核存在的问题..............................................................................................29西安电子科技大学硕士学位报告 VIII表格索引 IX 表格索引 表 3.1Y 市综合行政执法局机关科室组织机构主要职能情况.......................................19 表 3.2Y 市综合行政执法局人员基本状况.......................................................................20 表 3.3 现行绩效考核内容及其分数比例..........................................................................21 表 3.4Y 市综合行政执法局公务员年度测评表...............................................................21 表 3.5 现行绩效考核方案个人等次名额分配比例..........................................................23 表 4.1 问卷统计情况..........................................................................................................25 表 4.2 受访人基本情况......................................................................................................26 表 4.3 各考核指标合适度调查结果排名..........................................................................30 表 5.1 优化后的绩效考核方案内容及其指标比例...........................................................37 表 5.2 优化后的个人考核等次名额分配比例...................................................................38西安电子科技大学硕士学位报告 X符号对照表 XI 符号对照表 无西安电子科技大学硕士学位报告 XII缩略语对照表 XIII 缩略语对照表 无西安电子科技大学硕士学位报告 XIV目录 I 目录 摘要 ........................................................................................................................I ABSTRACT...............................................................................................................III 插图索引................................................................................................................V 表格索引..............................................................................................................VII 符号对照表...........................................................................................................IX 缩略语对照表 .......................................................................................................XI 目录 ........................................................................................................................I 第一章 绪论 ..........................................................................................................1 1.1 研究背景与研究意义 ........................................................................................1 1.1.1 研究背景......................................................................................................1 1.1.2 研究意义.....................................................................................................1 1.2 国内外文献综述 ................................................................................................3 1.2.1 国外文献综述.............................................................................................3 1.2.2 国内文献综述.............................................................................................5 1.3 研究方法与内容 ................................................................................................8 1.3.1 研究方法......................................................................................................8 1.3.2 研究内容......................................................................................................8 第二章 相关概念界定与理论基础.......................................................................11 2.1 相关概念界定 ..................................................................................................11 2.1.1 行政执法...................................................................................................11 2.1.2 行政执法公务员.......................................................................................11 2.1.3 综合行政执法...........................................................................................11 2.1.4 绩效...........................................................................................................12 2.1.5 绩效考核...................................................................................................12 2.2 理论基础 ..........................................................................................................13 2.2.1 行政管理学理论.......................................................................................13 2.2.2 政府绩效管理理论...................................................................................14 第三章 Y 市综合行政执法局公务员绩效考核现状 .............................................17西安电子科技大学硕士学位报告 II 3.1 Y 市综合行政执法局情况简介 ........................................................................17 3.1.1 单位概况...................................................................................................17 3.1.2 组织结构...................................................................................................17 3.1.3 人员状况...................................................................................................19 3.2 Y 市综合行政执法局公务员绩效考核方案简述.............................................20 3.2.1 考核主体...................................................................................................20 3.2.2 考核对象...................................................................................................20 3.2.3 考核内容...................................................................................................20 3.3 Y 市综合行政执法局公务员绩效考核方案实施现状.....................................22 3.3.1 考核方法...................................................................................................22 3.3.2 考核程序...................................................................................................22 3.3.3 结果运用...................................................................................................23 第四章 Y 市综合行政执法局公务员绩效考核中存在的问题及原因分析 ...........25 4.1 调查问卷情况 ..................................................................................................25 4.1.1 问卷设计...................................................................................................25 4.1.2 调查样本...................................................................................................25 4.1.3 调查结果...................................................................................................29 4.2 Y 市综合行政执法局公务员绩效考核中存在的问题.....................................31 4.2.1 考核主体方面存在的问题 .......................................................................31 4.2.2 指标设定方面存在的问题 .......................................................................31 4.2.3 组织实施方面存在的问题 .......................................................................32 4.2.4 结果执行方面存在的问题 .......................................................................32 4.3 Y 市综合行政执法局公务员绩效考核存在问题的原因分析.........................33 4.3.1 顶层制度设计方面的影响 .......................................................................33 4.3.2 内部独立考核部门的缺失 .......................................................................33 4.3.3 绩效考核人员自身的局限性 ....................................................................34 4.3.4 后续协调反馈平台的缺失 ........................................................................34 第五章 Y 市综合行政执法局公务员绩效考核方案优化建议..............................35 5.1 考核方案设计优化 ..........................................................................................35 5.1.1 加强考核理论的研究................................................................................35 5.1.2 定性考核指标的探讨................................................................................35 5.1.3 定量考核权重的设计................................................................................36 5.1.4 结果运用多样化研究................................................................................38目录 III 5.2 考核方案实施优化 ..........................................................................................39 5.2.1 设立独立的考核主体与内部协调部门....................................................39 5.2.2 增加人员培训投入 ...................................................................................39 5.2.3 引入各阶段动态管理................................................................................40 5.2.4 建立后续反馈平台....................................................................................41 第六章 结论与展望.............................................................................................43 6.1 研究结论 ..........................................................................................................43 6.2 研究展望 ..........................................................................................................44 附录......................................................................................................................45