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Performance Assessment – Programmes and Institutions 绩效评估 – 项目和机构

Performance Assessment – Programmes and Institutions 绩效评估 – 项目和机构. Dieter Schimanke 迪特 施曼克 Professor, State Secretary (retired) 教授，州务卿（已退休） Hamburg/Germany 汉堡 / 德国 Changchun/Jilin, December 5-6, 2012 长春 / 吉林，. Case 1: Youth education. Emloyment policy:

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Performance Assessment – Programmes and Institutions 绩效评估 – 项目和机构

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  1. Performance Assessment – Programmes and Institutions绩效评估 – 项目和机构 Dieter Schimanke 迪特施曼克 Professor, State Secretary (retired) 教授，州务卿（已退休） Hamburg/Germany 汉堡/德国 Changchun/Jilin, December 5-6, 2012 长春/吉林，

  2. Case 1: Youth education Emloyment policy: Indicator (definition) Youth education attainment level (total, females, males): ‘The percentage of young people aged 20-24 years having attained at least upper secondary education attainment level as a proportion of the total population of the same age group‘. Source: Eurostat Unit Labour Market Changchun, December 2012

  3. Case 2: Lisbon Strategy • The Lisbon Strategy 2000 (updated 2005, 2008, 2010): From a complex system of general objectives to measurable targets • New strategic goal: ‚to become the most competitive and dynamic knowledge-based economy in the world, capable of sustainable economic growth with more and better jobs and greater social cohesion.’ Changchun, December 2012

  4. Case 2: Lisbon Strategy - Targets with indicators The Lisbon Strategy sets specific targets: • An overall employment rate of 70% by 2010 • An employment rate for women of over 60% • An employment rate of 50% among older workers • Annual economic growth around 3% Changchun, December 2012

  5. I. Whatis Performance Assessment?绩效评估是什么？ (1) Definition 定义 (2) Develpoments (3) Functions 功能 (4) Areas 领域 Changchun, December 2012

  6. (1) Definition of Performance Assessment 绩效评估的定义 • Definition: Measuringtheoutputsandoutcomeoftheactivitiesofpublicinstitutionsorpublicservants on thebasisof a value-/quality-orientatedsystemofcriteria. 定义：在价值和/或质量标准体系基础上，对公共机构或公务员活动的产出和结果进行评测。 • Performance Assessment as a concept. 绩效评估被当作一个概念应用时 • Performance Assessment as an agenda. 绩效评估被当作一个议事日程应用时 Changchun, December 2012

  7. Survey on the 27 EU-member states 对欧盟27个成员国的调查 ‘The concept of performance is very complex. The only points on which there are consensus are the factors that influence individual and organisational performance. Since performance as “input” is very difficult to measure, the member states are increasingly measuring target achievement, results or outputs.’ “绩效这个概念非常复杂。人们只是在那些对个人和组织绩效存在影响力的因素上意见一致。由于绩效作为一项“投入”评测起来非常困难，各成员国正越来越多地采用目标成就、结果或产出作为评测对象。“ Demmke 2007b Changchun, December 2012

  8. (2) Developments System-analysis-approaches in the 1970‘ies: Implementation and evaluation as a new perspective NPM-approaches in the 1990‘ies: efficiency and effectiveness as core catchwords (‚everything must be calculated‘) Post-NPM-period: good governance; better service delivery (quality orientation) ; citizen orientation Changchun, December 2012

  9. (3) Functionof Performance Assessment 绩效评估的功能 • Analysesoftheoutputandoutcomeofactionsofpublicadministration (and/orthesinglepublicservants) withtheaimtoimprovetheseoutputsandoutcomes 对公共行政行为（和/或单个公务员）的产出和成果进行分析，以提高其产出和成果 • In general, toimprovetheefficiencyandeffectivenessandespeciallythequalityofthepublicadministrationanditsservices 一般而言，是提高效率和效能，特别是公共管理的质量及其服务 Changchun, December 2012

  10. (4) Areas of Performance Assessment绩效评估领域 A: Performance Assessment ofPersonnel人员绩效评估 • establishedformsof PA (followingthe Weber-model) 绩效评估的固定格式 （依据韦伯模型） • New appraoches in thefieldof PA (the NPM-appraoch) 绩效评估领域的新方法 （新公共管理方法） B: Performance Assessment of Programmes andInstitutions numberofapproachessincethe 1970‘s (fromsystemanalysisuntilresult-orientation) 项目和机构的绩效评估1970年以来的方法（从系统分析到结果导向） Changchun, December 2012

  11. II. The processofpublicprogrammes公共项目流程 The Programme Cycle: 项目周期： (1) Objectives 目标 (2) Indicator selection 指标选取 (3) Data collection 数据采集 (4) Analysis 分析 (5) Reporting 报告 Each step of this heuristic model: quality assurance 该启发式模型的每个步骤：质量保证 Changchun, December 2012

  12. III. Programmes and objectives 项目和目标 • From tasks and responsibilities to objectives: a fundamental change of perspective 从任务和职责到目标：一个根本性的观念改变 • Definition of objective: A result (change of situation) that shall be reached in a certain time in the future 目标的定义：需在未来一定时间内达到的结果 （形势变化） • Demands for proper objectives 对恰当目标的需求 • The number of objectives 目标数目 • The system (hierarchy) of objectives 目标体系（分级系统） Changchun, December 2012

  13. IV. Indicators 指标 • Indicators 指标 • Information on indicators 指标信息 • Source of information 信息来源 • Process and responsibilities 流程和职责 Changchun, December 2012

  14. What is a good indicator?好的指标是什么？ • Clear theoretical framework 明晰的理论框架 • Selection on the basis of quality and relevance 在质量和相关性基础上来选取 • Choice in weighting and aggregation explained 解释（指标的）权重和加总选择 • Indicators normalized to make them comparable 指标的标准化，令其具备可比性 • Assessment of the robustness of the composite indicator made 对综合指标的健壮性进行评估 • Underlying indicators or values readily available 隐含指标或随时可用的数值 • …. Source: OECD , Measuring Government Activities 来源：经合组织，政府活动评测 Changchun, December 2012

  15. Information on indicators指标信息 • Quality and quantity 质和量 • Comparable information 可比信息 • Old statistics and new sources of information 过往数据和新的数据来源 Changchun, December 2012

  16. Information on indicators指标信息 • Discussion on information on indicators, methods and assumptions • The case of a system of ‚operating figures‘ Changchun, December 2012

  17. Information on economic indicators Changchun, December 2012

  18. Case: operating figures • Financial operating figures: input (budget figure; personnel etc.) per defined reference parameter (citizen/area/time etc.) • Economic operating figures: input per certain service (resources per case or per sqare meter) • Objective oriented operating figures: measuring following a certain target value (cases per employee; ambulatory treatment instead of inpatient treatment) • Structural operating figures: describing the socio-economic framework Changchun, December 2012

  19. V. Analysis and results分析和结果 • The process of analysis 分析流程 • The methods of analysis 分析方法 • The criteria of analysis 分析标准 • New Public Management: effectiveness, efficiency, quality 新公告管理：效能、效率、质量 Changchun, December 2012

  20. Benchmarking 基准分析 • Benchmarking – concepts in Sweden, Germany and Great Britain • 基准分析 – 瑞典、德国和英国的概念 • Benchmarking on a voluntary basis: the case of performance of programmes of Social Affairs • 自主基准分析：社会事务项目绩效实例 • Benchmarking on the level of cities and communes: the case of the Agency for Auditing the Communes (Northrhine-Westfalia/Germany) • 城市和社区层面的基准分析：社区审计机构实例（北莱茵 - 威斯特法伦 /德国） Changchun, December 2012

  21. Benchmarking 基准分析 UK: Compulsory benchmarking The case: Benchmarking Innovation centres and Communities of interests for public sector (reform) learning Changchun, December 2012

  22. UK: Innovation centres and Communities of interests for public sector (reform) learning Table: Service Quality Indicators: UK NHS (see also http://www.dh.gov.uk/PolicyAndGuidance/Performance/fs/en)

  23. VI. Examples I 实例I • EU: the Lisbon strategy 欧盟：里斯本战略 • Programmes on social affairs 社会事务项目 • Strategic programmes on regional policy 区域政策战略项目 • Sustainable Policy Development • Health Care Changchun, December 2012

  24. Example 1: EU _ Lisbon concept实例1：欧盟_里斯本概念 • The system of objectives 目标体系 • The sources of information 信息来源 • The instruments for improvement 改进工具 • The process of information and decision making 信息和决策流程 Changchun, December 2012

  25. Information on economic indicators Changchun, December 2012

  26. Information on indicator ‚Social cohesion‘ Changchun, December 2012

  27. Example 2: Programmes on social affairs实例2：社会事务项目 • New definition of objectives: 目标的新定义： Reforms of the laws on social allowances 社会津贴法改革 Optimizing the service delivery 优化服务交付 Higher efficiency of the services 提高服务效率 Contribution to fiscal shortcuts 增进财政便捷性 • Changes of the processes inside public administration 改进公共管理内部流程 • Changes of methods 改进方法 • Criteria and indicators of new performance measurement 新绩效评价的标准和指标 Changchun, December 2012

  28. Example 3: Strategic programme on regional policy实例3：区域政策战略项目 Changchun, December 2012

  29. Example 3: Strategic programme on regional policy实例3：区域政策战略项目 Changchun, December 2012

  30. Example 3: Strategic programme on regional policy 实例3：区域政策战略项目 Ministry: Main targets of regional policy: 部门：主要区域政策目标 • Service delivery for the economic sector (private enterprises) 经济部门（私营企业）服务交付 • Strong location for service delivery 重要服务交付项目 • Location of growth for IT-industries IT行业的增长点 • Location for self-employed persons 自雇人士交付项目 • Support innovations in the potentials of the region 支持增强本区域发展潜能的革新项目 • Fast and safe traffic system 快捷安全的交通系统 Changchun, December 2012

  31. Example 4: Strategy on Sustainable Development (GE) • 4 Areas oftheStrategy on Sustainable Development: • Fairness betweenthegenerations; • qualityoflife; • socialcohesion; • international responsibility. • 21 policyfields • 35 keyindicators Changchun, December 2012

  32. Changchun, December 2012

  33. Example 4: Strategy on Sustainable Development (GE) Changchun, December 2012

  34. Example 5: Targets of Health Care (1) Targets andindicators in theHealth Care Sector (State LSA) <selection>: • Vaccination rate (relatedtousefulvaccinationforthe different age-groups) increasedto 90% • Proportion ofsmokersandofdeseasesanddeathscausedbyabuseofalcoholisreducedtotheaverage on the national level • Dental Healthisimroveduptotheaverage on the national level Changchun, December 2012

  35. Example 5: Targets of Health Care (2) The Processof Evaluation andQuantification: • Working groups on resultsandreviewingthetargets (everyyear) • Adjustmentofstructuresandresponsibleinstitutions (everyyear) • Survey ofstrategiesandmethods (Conference, all 3 years) • Consistentoperationalizingoftargetsandmodelprojects (on- going) • Sectoralreports, documentations, General Report on HealthPolicy Changchun, December 2012

  36. Examples II (6) Sustainable City development (7) Programmes of Youth Policy (8) Benchmarking (GPA) (9) Education Changchun, December 2012

  37. Example 6: City Development 5 slides City of Ludwigsburg (South-West Germany): 12 fields of action and objectives with 66 indicators Changchun, December 2012

  38. 12 fields of city development 0 General indicators 1 AttractiveHousing 2 Cultural life 3 Economy andlabour 4 Vital citydistricts 5 Livelycitycenter Changchun, December 2012

  39. 12 fields of city development 6 Living together of generations and nations 7 Green City 8 Mobility 9 Education and social services 10 Sport 11 Energy Changchun, December 2012

  40. 4 Lively city center (4 Indicators) • Visitors satisfaction • Customers satisfaction • Numbers of customers • Percentage of vacantness of shops Changchun, December 2012

  41. 8 Mobility (9 Indicators) • Density of traffic • Level of motorization • Traffic safety • Parking places in the city • Environment-friendly mobility • Quality and amount of bicycle lanes • Access of the city by public transport • Quality of public transport in the housing areas • Effectivity of the bus services Changchun, December 2012

  42. Example 7: Youth policy (‚Support to breeding‘)6 slides 5 groups of indicators: (1) Results and effects (2) Programmes and products (3) Structures and processes (4) Ressources (5) Structural figures Changchun, December 2012

  43. (1) Results and effects • Coached children per number of all children • … • Development of cases • Quota of girls • Age at the start and at the end of the coaching activity Changchun, December 2012

  44. (2) Programmes and products • … • Relationsship between ambulant and inhouse measures • Percentage of cases for young adults (over 18 years old) • ….. Changchun, December 2012

  45. (3) Structures and processes • Duration of the support • Intensity of the support • … • Quota of breaking off • Number of measures of financed education Changchun, December 2012

  46. (4) Ressources • Costs per case • … • Costs per all young inhabitants • Costs per hour/day • Cases per engaged public employee full-time employed Changchun, December 2012

  47. (5) Structural figures • Structure of the young population • Quantity and quality of school exams • Percentage of young people under 18 that live under the poverty line • Percentage of chidren effected by divorce • Structural factors of the city Changchun, December 2012

  48. Example 8: Benchmarking (GPA) Changchun, December 2012

  49. Benchmark: Definition (GPA) • We define benchmark in principle as data that are • reached by a certain number of communes in reality, • in a process of fulfilling the tasks complete and obeying the legal regulations • the result of a steering approach that is target-oriented and worth to be copied (processes, structures, methods). • Remark: analysing the possibility to match the benchmark the conditions which cannot be influenced should be considered. This shall be the result of an empirical approach. Changchun, December 2012

  50. Benchmark (GPA) Changchun, December 2012

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