海事系统基层执法人员绩效评估方法研究
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摘要
中国海事系统承担着部分行政职能，经政府授权行使一定的行政权力，属于国家行政性事业单位。它的存在主要以专业(水上安全)的社会服务为目的，履行社会公共管理职能，在社会经济生活中发挥着重要的作用。具体而言，作为国家行政执法监督机构，海事系统负责行使国家水上安全监督管理和防止船舶污染、船舶及海上设施检验、航海保障的管理职权，具有较强的政策性、技术性以及涉外性。其核心工作是海事行政执法，因此海事执法人员履行职责的有效性、服务对象的满意度等，直接关系到国家和政府的形象，关系到国民经济的快速发展。
长期以来，海事系统在很大程度上延续了计划体制下传统的管理模式，内部机制不完善，缺乏活力，工作效率不高。特别是对人员业绩的考核工作不力，表面化、形式化现象严重，制度建设落后，量化管理大多停留在任务计划书中，难以体现业绩考核的客观性和公正性，业绩与人员和部门利益脱钩，不能很好地实践组织激励与约束的功能，阻碍了海事系统各项制度改革的深入开展。因此，海事系统基层执法人员的绩效评估亟待改进。
针对以上问题，本论文主要从六个方面进行了研究。首先，对现有绩效评估理论和实践进行了概括和分析；其次，在问卷调查与典型调查的基础上，分析了海事系统基层执法人员绩效评估的现状；然后，对海事系统基层执法人员绩效评估的对策思路与工作流程进行了探讨；对海事系统基层执法人员绩效评估的方法进行了优化组合；从而初步分层次分类别地构建了海事系统基层执法人员绩效评估指标体系，并明晰了指标的综合评价方法；最后，在系统分析的基础上，提出实施绩效评估办法的配套措施。
本论文的目的在于，通过调查、采样、数据统计与系统分析，明确海事系统基层执法人员的工作特性、程序与中心内容，建立一套适合海事系统基层执法人员绩效评估的指标体系与方法体系，并期望在实际的运行中，能够对人员绩效评估体系持续改进，为海事工作的未来发展提供人力资源开发与管理的支持和保障。
China maritime system fulfills part of administrative functions and exerts a certain administration authorities based on government authorization. Hence, it is called administrative departments and other government institutions. Serving for social specialized service, the maritime system carries out the public management functions and also plays a significant role in the social and economic life. Concretely, acting as the national administrative law enforcement and supervision agency, the maritime system takes responsibilities of over-water safe supervision and control, preventing vessels from contaminating, checking vessels and offshore facilities as well as guaranteeing voyage, with the strong features of policy, technicality and involving foreign business. Further, marine law enforcement is its core work. The validity of performance for law enforcement officials, the satisfaction of serving objects and so on, all of them directly concern the image of both our country and governments, also concern the entire development of national economy.
At all times, maritime system, to a large extent, has been keeping the traditional management mode under the planning mechanism, characterized by imperfect inside mechanism, lack of vigorousness, low social benefits. Specially, the staff performance evaluation maintains rigid, superficial and formalized, what is more, the system setup is backward and most of the quantification control still is in the task prospectus, which result in non-objective and partial performance evaluation. The performance lacks close connection with the interests of staff and divisions. To be worse, the functions of incentive and constraint in organizations cannot be well practiced and all the negative affects above-mentioned prohibit, in essence, the system reforms from deepgoing in maritime system. The performance appraisal for the maritime system, therefore, should be improved pressingly.
In this paper, there are six contents mainly. Firstly, the present theories and practices of performance appraisal are summarized and analyzed. In the next place, the present states of performance appraisal of law enforcement officials at
grass roots are analyzed based on the emphasis investigation and typical investigation. Then, the thoughts of countermeasures and working process of performance appraisal for law enforcement officials at grass roots are dissected and approached. In the following, the optimum methods for performance appraisal are probed into. And what is more, the indicator system is preliminarily constructed according to different hierarchies and sorts, and the indicators' comprehensive evaluation methods are made sure. Finally, the coordinated measures are put forward for conducting the methods of performance appraisal in the line with the systematic analysis.
By investigating, sampling, data reason statistics and still system analysis, it is the purpose to define the performance data, procedures and center contents of law enforcement officials at grass roots in maritime system, and set up a full range of indicator system and method system matched with the performance appraisal. Meanwhile, the systems in real control operations can be continually improved so as to contribute to the future development for the maritime career and provide the necessary backing and indemnity in the development and management of human resource.
长期以来，海事系统在很大程度上延续了计划体制下传统的管理模式，内部机制不完善，缺乏活力，工作效率不高。特别是对人员业绩的考核工作不力，表面化、形式化现象严重，制度建设落后，量化管理大多停留在任务计划书中，难以体现业绩考核的客观性和公正性，业绩与人员和部门利益脱钩，不能很好地实践组织激励与约束的功能，阻碍了海事系统各项制度改革的深入开展。因此，海事系统基层执法人员的绩效评估亟待改进。
针对以上问题，本论文主要从六个方面进行了研究。首先，对现有绩效评估理论和实践进行了概括和分析；其次，在问卷调查与典型调查的基础上，分析了海事系统基层执法人员绩效评估的现状；然后，对海事系统基层执法人员绩效评估的对策思路与工作流程进行了探讨；对海事系统基层执法人员绩效评估的方法进行了优化组合；从而初步分层次分类别地构建了海事系统基层执法人员绩效评估指标体系，并明晰了指标的综合评价方法；最后，在系统分析的基础上，提出实施绩效评估办法的配套措施。
本论文的目的在于，通过调查、采样、数据统计与系统分析，明确海事系统基层执法人员的工作特性、程序与中心内容，建立一套适合海事系统基层执法人员绩效评估的指标体系与方法体系，并期望在实际的运行中，能够对人员绩效评估体系持续改进，为海事工作的未来发展提供人力资源开发与管理的支持和保障。
China maritime system fulfills part of administrative functions and exerts a certain administration authorities based on government authorization. Hence, it is called administrative departments and other government institutions. Serving for social specialized service, the maritime system carries out the public management functions and also plays a significant role in the social and economic life. Concretely, acting as the national administrative law enforcement and supervision agency, the maritime system takes responsibilities of over-water safe supervision and control, preventing vessels from contaminating, checking vessels and offshore facilities as well as guaranteeing voyage, with the strong features of policy, technicality and involving foreign business. Further, marine law enforcement is its core work. The validity of performance for law enforcement officials, the satisfaction of serving objects and so on, all of them directly concern the image of both our country and governments, also concern the entire development of national economy.
At all times, maritime system, to a large extent, has been keeping the traditional management mode under the planning mechanism, characterized by imperfect inside mechanism, lack of vigorousness, low social benefits. Specially, the staff performance evaluation maintains rigid, superficial and formalized, what is more, the system setup is backward and most of the quantification control still is in the task prospectus, which result in non-objective and partial performance evaluation. The performance lacks close connection with the interests of staff and divisions. To be worse, the functions of incentive and constraint in organizations cannot be well practiced and all the negative affects above-mentioned prohibit, in essence, the system reforms from deepgoing in maritime system. The performance appraisal for the maritime system, therefore, should be improved pressingly.
In this paper, there are six contents mainly. Firstly, the present theories and practices of performance appraisal are summarized and analyzed. In the next place, the present states of performance appraisal of law enforcement officials at
grass roots are analyzed based on the emphasis investigation and typical investigation. Then, the thoughts of countermeasures and working process of performance appraisal for law enforcement officials at grass roots are dissected and approached. In the following, the optimum methods for performance appraisal are probed into. And what is more, the indicator system is preliminarily constructed according to different hierarchies and sorts, and the indicators' comprehensive evaluation methods are made sure. Finally, the coordinated measures are put forward for conducting the methods of performance appraisal in the line with the systematic analysis.
By investigating, sampling, data reason statistics and still system analysis, it is the purpose to define the performance data, procedures and center contents of law enforcement officials at grass roots in maritime system, and set up a full range of indicator system and method system matched with the performance appraisal. Meanwhile, the systems in real control operations can be continually improved so as to contribute to the future development for the maritime career and provide the necessary backing and indemnity in the development and management of human resource.
引文
[1][美]劳伦斯S．克雷曼．人力资源管理：获得竞争优势的工具．北京：机械工业出版社，2000
[2][美]罗伯特L．马希斯．人力资源管理培训教程．北京：机械工业出版社，1999
[3]Mattes, Nicholas J. and Brace, Elmer H. Strategic Downsizing: Human Resources Planning Approaches, Human Resource Planning, 1994
[4]Eugene Mckenna Nic Beech. Human Resource Management, Prentice-Hall Inc., 1997
[5]Hank.Willians. Managing People, Prentice-Hall Inc., 1997
[6]Luthans F. & Stajkovic, A. D. Principles of Organizational Behavior: 2000.
[7]Hay, Steven W. Public Personnel Administration: Problems and Prospects, Prentice-Hall Inc., 1983
[8]Stajkovic A. D. & Luthans. F. Self-efficacy and Work-related Performance: A Meta-analysis. Psychological Bulletin, 1998.
[9]Stajkovic. A. D. & Luthans. F. A. Meta-analysis of the Effects of Organizational Behavior Modification on Task Performance. Academy of Management Journal 1997.
[10]Luthans F. & Stajkovic. A. D. Differential Effects of Incentive Motivators on Work Performance. Academy of Management Journal. 2001 .Vol. 4, 3
[11]Arvey R.D., Renz, G.L.&Watson T.W. Emotionality and Job Performance: Implications for Personnel Selection. In G.R.Ferris (Ed.), Research in Personnel and Human Resources Management, vol. 16. Greenwich, CT: JAI Press. 1998
[12]Cleveland J.N.& Murphy K. R. Analyzing Performance Appraisal as Goal-directed Behavior. In G.R.Fesrris (Ed.), Research in Personnel and Human Resources Management, vol. 10.Greemwich, CT: JAI Press, 1992.
[13]Ferris G.R.& Frink D.D. Lnfluence Tactics in the Performance valuation Process. In L.H.Peters, C.R.Greer&S.A.Youngblood (Fds), The Blackwell Encyclopedic Dictionary of Human Resource Management. Oxford, UK: Blackwell Publishers. 1997
[14]Gephart M. The Road to High Performance. Training and Development, 1995.6
[15]Wayne S.J. Liden R.C. Effects of Impression Management on Performance Ratings: A Longitudinal Study. Academy of Management Journal. 1995.50.
[16]张一驰．人力资源管理教程．北京：北京大学出版社，1997．8
[17]余平．企业人力资源开发与管理．武汉：湖北科学技术出版社，1999．9
[18]叶向峰等．员工考核与薪酬管理．北京：企业管理出版社，1999
[19]陈建青．绩效考核模型．经济管理，2002(3)
[20]陈昌文．公共部门人力资源开发与管理．成都：四川人民出版社，2000
[21]孙柏瑛、祁光华．公共部门人力资源管理．北京：中国人民大学出版社，1998
[22]仝志敏．国家公务员管理—高层人力资源开发．北京：中国人民大学出版社，1994
[23]金莉萍．人才：21世纪的金矿．百家出版社，1997
[24]张雁利．跨世纪的呼唤：人才资源开发探索．北京：中国人事出版社，1998
[25]斯蒂芬．P 罗宾斯．组织行为学(第七版)．北京：中国人民大学出版社，1997
[26]戴纳·盖恩斯·鲁滨逊等．绩效咨询．天津：南开大学出版社，2001
[27]加里德·斯勒：《人力资源管理(第六版)》，中国人民大学出版社
[28]赵海滨、赵连成．白领航图：假如你与成功有约．北京：民主与建设出版社，1999
[29][美]罗伯特·西蒙斯著，张文贤主译．战略实施中的绩效评估和控制系统：教程与案例．大连：东北财经大学出版社，2002
[30]海事系统十五人才发展规划．中国海事，2001(2)
[31]交通部人事劳动工作文件选编．交通部人劳司，1998
[32]交通部海事局管理文件汇编．交通部海事局，2000
[33]肖鸣政等．工作取样法：人才素质测评的新方法．中国人才，2001(9)
[34]徐升等．人才测评．北京：企业管理出版社，2001．1
[35]American Society for Training and Development. Training Basics: Basics of Performance Technology.INFO-LINE.No. 1992
[36]Labia, Nadia and Appelbaum, Steven H.: Strategic Downsizing: A Human Resources Perspective, Human Resource Planning, 1994
[37]韦恩·蒙迪等．人力资源管理(第六版)．北京：经济科学出版社，1998．10
[38]王继承．人事测评技术．广州：广东经济出版社，2001．9
[39]范维纲、何捷．21世纪交通人才发展战略与政策研究．武汉：武汉理工大学出版社，2001
[40]李啸尘．新人力资源管理．石油工业出版社，2000
[41]朱庆芳、鄂桂芳等．现代事业人事管理．北京：中国人事出版社，1997
[42]中组部、人事部．关于加快推进事业单位人事制度改革的意见
[43]胡君辰．人力资源开发与管理教学案例精选．上海：复旦大学出版社，2001．6
[44]余凯成等．组织行为学、人力资源管理案例与练习．大连：大连理工大学出版社，1999．3
[45]交通专门人才需求预测及交通教育发展战略研究．北京：人民交通出版社，2000
[46]张国初等．人力资源的定量测度和评价．北京：社会科学文献出版社，2000
[47]刘视湘、洪炜．国外绩效评估研究．中国人才，2001(11)
[48]徐颂陶等．中国人才资源开发全书．人事出版社，1999
[49]约翰·维斯特伍德．绩效评估．长春：长春出版社，2001
[2][美]罗伯特L．马希斯．人力资源管理培训教程．北京：机械工业出版社，1999
[3]Mattes, Nicholas J. and Brace, Elmer H. Strategic Downsizing: Human Resources Planning Approaches, Human Resource Planning, 1994
[4]Eugene Mckenna Nic Beech. Human Resource Management, Prentice-Hall Inc., 1997
[5]Hank.Willians. Managing People, Prentice-Hall Inc., 1997
[6]Luthans F. & Stajkovic, A. D. Principles of Organizational Behavior: 2000.
[7]Hay, Steven W. Public Personnel Administration: Problems and Prospects, Prentice-Hall Inc., 1983
[8]Stajkovic A. D. & Luthans. F. Self-efficacy and Work-related Performance: A Meta-analysis. Psychological Bulletin, 1998.
[9]Stajkovic. A. D. & Luthans. F. A. Meta-analysis of the Effects of Organizational Behavior Modification on Task Performance. Academy of Management Journal 1997.
[10]Luthans F. & Stajkovic. A. D. Differential Effects of Incentive Motivators on Work Performance. Academy of Management Journal. 2001 .Vol. 4, 3
[11]Arvey R.D., Renz, G.L.&Watson T.W. Emotionality and Job Performance: Implications for Personnel Selection. In G.R.Ferris (Ed.), Research in Personnel and Human Resources Management, vol. 16. Greenwich, CT: JAI Press. 1998
[12]Cleveland J.N.& Murphy K. R. Analyzing Performance Appraisal as Goal-directed Behavior. In G.R.Fesrris (Ed.), Research in Personnel and Human Resources Management, vol. 10.Greemwich, CT: JAI Press, 1992.
[13]Ferris G.R.& Frink D.D. Lnfluence Tactics in the Performance valuation Process. In L.H.Peters, C.R.Greer&S.A.Youngblood (Fds), The Blackwell Encyclopedic Dictionary of Human Resource Management. Oxford, UK: Blackwell Publishers. 1997
[14]Gephart M. The Road to High Performance. Training and Development, 1995.6
[15]Wayne S.J. Liden R.C. Effects of Impression Management on Performance Ratings: A Longitudinal Study. Academy of Management Journal. 1995.50.
[16]张一驰．人力资源管理教程．北京：北京大学出版社，1997．8
[17]余平．企业人力资源开发与管理．武汉：湖北科学技术出版社，1999．9
[18]叶向峰等．员工考核与薪酬管理．北京：企业管理出版社，1999
[19]陈建青．绩效考核模型．经济管理，2002(3)
[20]陈昌文．公共部门人力资源开发与管理．成都：四川人民出版社，2000
[21]孙柏瑛、祁光华．公共部门人力资源管理．北京：中国人民大学出版社，1998
[22]仝志敏．国家公务员管理—高层人力资源开发．北京：中国人民大学出版社，1994
[23]金莉萍．人才：21世纪的金矿．百家出版社，1997
[24]张雁利．跨世纪的呼唤：人才资源开发探索．北京：中国人事出版社，1998
[25]斯蒂芬．P 罗宾斯．组织行为学(第七版)．北京：中国人民大学出版社，1997
[26]戴纳·盖恩斯·鲁滨逊等．绩效咨询．天津：南开大学出版社，2001
[27]加里德·斯勒：《人力资源管理(第六版)》，中国人民大学出版社
[28]赵海滨、赵连成．白领航图：假如你与成功有约．北京：民主与建设出版社，1999
[29][美]罗伯特·西蒙斯著，张文贤主译．战略实施中的绩效评估和控制系统：教程与案例．大连：东北财经大学出版社，2002
[30]海事系统十五人才发展规划．中国海事，2001(2)
[31]交通部人事劳动工作文件选编．交通部人劳司，1998
[32]交通部海事局管理文件汇编．交通部海事局，2000
[33]肖鸣政等．工作取样法：人才素质测评的新方法．中国人才，2001(9)
[34]徐升等．人才测评．北京：企业管理出版社，2001．1
[35]American Society for Training and Development. Training Basics: Basics of Performance Technology.INFO-LINE.No. 1992
[36]Labia, Nadia and Appelbaum, Steven H.: Strategic Downsizing: A Human Resources Perspective, Human Resource Planning, 1994
[37]韦恩·蒙迪等．人力资源管理(第六版)．北京：经济科学出版社，1998．10
[38]王继承．人事测评技术．广州：广东经济出版社，2001．9
[39]范维纲、何捷．21世纪交通人才发展战略与政策研究．武汉：武汉理工大学出版社，2001
[40]李啸尘．新人力资源管理．石油工业出版社，2000
[41]朱庆芳、鄂桂芳等．现代事业人事管理．北京：中国人事出版社，1997
[42]中组部、人事部．关于加快推进事业单位人事制度改革的意见
[43]胡君辰．人力资源开发与管理教学案例精选．上海：复旦大学出版社，2001．6
[44]余凯成等．组织行为学、人力资源管理案例与练习．大连：大连理工大学出版社，1999．3
[45]交通专门人才需求预测及交通教育发展战略研究．北京：人民交通出版社，2000
[46]张国初等．人力资源的定量测度和评价．北京：社会科学文献出版社，2000
[47]刘视湘、洪炜．国外绩效评估研究．中国人才，2001(11)
[48]徐颂陶等．中国人才资源开发全书．人事出版社，1999
[49]约翰·维斯特伍德．绩效评估．长春：长春出版社，2001