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）
= 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
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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，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
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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”
7) 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
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
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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
6) Flexibility in organization组织的弹性
7) A shift to greater competition转向更激烈的竞争 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。
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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；
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；
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(完整word版)公共管理导论要点总结(最终完整版)
