中国公安警察绩效管理之探索(英文稿).doc

China An Exploration of Public Security Police1 Performance Management Authors Yuan Youfang performance evaluation is just a link of the performance management system 2 Police performance management is a process of objective management It requires to set performance goals and objectives of what problems to be settled what results to be achieved and how to evaluate for different functional departments and different police officers of all levels in different environments natural environment social environment economic environment and security environment according to the collected performance information under the guidance of mission targets 3 Police performance management must follow the logic work flow as shown below Collect performance information Set performance onjectivesDesign management system and implementation High level cycling Evalutate performance results Promote performance improvement 4 Performance results can be realized only by communication and cooperation The reasons are as follows First to make their public security products and services they provided for society and the people satisfactory the police must know the demands of public at the beginning and responding to the demands needs communication Secondly the realization of police performance objectives needs common efforts of all the police officers Without communication the work passion and enthusiasm of the police officers can not be motivated 5 Police performance management requires strict control over cost Public security organs should enhance the awareness of taxpayers Value of the citizen s money shall be regarded Value of the police officers shall be regarded We should realize performance results with the least consumption and lowest cost expenditure control and resource utilization 6 Police performance management will be at last evaluated and awarded according to the results The awards include individual emolument prize promotion and awards on resource outlay equipment and others allocation Not encouraging success means affirming failure Only by truly awarding the successful can police performance be promoted as a whole to accelerate police organization construction II Functions and Practical Significances of Police Performance Management I Police performance management and society construction Police performance management helps to further enlarge and guarantee the democratic rights of citizens and is in favor of the construction of a harmonious society The police performance management system gives the right to judge to society and the public So to achieve satisfactory performance results police organs and all the police officers should guarantee legal law execution regard reasonable avoiding of public rights to private rights envisage social conventions and envisage tolerance of human weaknesses They should also organically combine fights against crimes with human right protection organically combine efficiency pursuit with justice realization and organically combine forms and targets of law enforcement They should fully reflect equality and justice in all public security work and law enforcement behaviors the 20th national public security conference in 2003 At the same time they should get to know the change of public demands in time and show their respect and care to citizen value with high quality services that satisfy public demands Thus the relationship between the people and the police can be harmonious II Police performance management and the law based government construction The core requirement of law based society is the law based government To build a law based government has always been the basic target of the administrative system reform of our government A law based government is at the same time a responsible government It should protect but should not intervene in the rights the citizens can realize through self government and self management The civil rights that the citizens cannot realize alone or cannot fully realize form the responsibilities of the government and the government should realize them for the citizens Have the police provided satisfactory public security products and services Have the resources been utilized effectively and have the expected effects achieved Have the police performed their duty in line with legal procedure or have they abused the rights Police performance management gives the public the right to judge and assess to intensify the social supervisory mechanism through the guarantee of the public assessment system so as to urge the public security organs and the police officers to improve their law enforcement ability and sense of responsibility by obeying the laws and executing the laws properly The course of police performance evaluation is open Otherwise the public cannot assess it The form and degree of performance result realization of the public security organs should be presented to the public openly Otherwise the public cannot know whether they are satisfying or not The supervision here must be based on the civil right of demands participation being well informed and assessment It is a supervisory mechanism with civil control definite target and good effect It is also a supplement and perfection to the public security organ liability implementation system and an important aspect of the construction of a law based government III Police performance management and police affair management reform 1 To reform the extensive police affair management mode Traditional police affair management emphasizes the course and ignores the result So an extensive management mode of finding problems settling them on the spot and going on has been formed The danger of this mode is that when we are settling the problems one by one we will easily forget why we are settling them and what our final purpose is The police affair management mode emphasizing course always makes us evaluate the results with such standards as how many police forces are used how many criminal cases are solved how much work is done and how many people receive service Actually these numbers can only show what work we have done and what efforts we have made but cannot show the effects of these efforts An organization can always make admirable efforts but satisfactory results of the efforts cannot be guaranteed If service work has no ideal effects then the complete performance procedure is just a waste of time and money 3 Result oriented police performance management can urge us to reform the traditional police affair management mode and regard the value of the citizen s money We should give awards to the successful which helps to realize a high performance public security organization 2 To accelerate police personnel management and decision making system The consideration given by police performance management to cost control and resource utilization helps to change the system and mechanism obstacles of not considering cost and investment in the traditional police affair work to solve its head heavy thick waist and thin leg organization structuring problems to avoid the personnel management drawback of setting posts and affairs because of persons and cure the system and mechanism persistent ailment of entering without worrying about coming out promotion without worrying about demotion and official standard system At the same time it can accelerate the reform and perfection of the public security decision making system and realize the conversion of police affair supervisors from caring appropriation to caring effect and the conversion from decision making by leaders and experience to democratic and scientific decision making III Analysis of Current Police Performance Management Evaluation Mode At present the public security organs of our country mainly use two performance management evaluation modes The first is county leveled public security organs annual overall assessment the second is the assessment of public security organs law enforcement quality Though the overall assessment includes the content of law enforcement quality in actual operation the assessment of law enforcement quality is often treated as a relatively independent assessment mechanism On April 18th 2006 the Chinese Ministry of Public Security held a news release reference to notify the situation of law enforcement quality assessment of public security organs all over the country The conference also showed the above view The two assessment modes have always been under exploration The Ministry of Public Security has no complete and unified mode local public security organs in the country are modifying and adjusting the modes continuously according to the actual situations and assessment experience The following are some methods with similar principles of some local public security organs I Current police performance evaluation infrastructure 1 Major structure of the annual overall assessment of county level public security organs Three leveled entry system For example the first level entries are contingent building operation service law enforcement quality and social assessment the four indexes Except the entry of law enforcement quality the other three entries have 19 second level entry indexes and the 19 second level entries have 40 or so third level indexes Centesimal system is often used for separate assessment Each index has a different score Overall assessment Contingent building Operation service Law enforcement quality Social assessment Leader body building Normalization building Correct law enforcement thought Observe laws and rules Two leveled entry system For example the first level entries include nine domains like contingent building stability maintenance crime fighting grass roots work public security administrative management law enforcement quality normalization building and police affair guarantee Specified second level entries are set under the nine first level entry indexes 2 Major structure of law enforcement quality assessment Law enforcement quality assessment mainly includes the following seven index systems with different scores such as situation of case reporting registration and case County leveled public security organ law enforcement quality assessment Law enforcement act Criminal case handling Labor education case Administrative licensing Administrative case handling Retrieval and interrogation chamber management City leveled public security organ law enforcement quality assessment Law enforcement act Criminal case handling Labor education case Administrative licensing Administrative case handling Law enforcement supervision Law enforcement supervision filing for investigation situation of criminal case law enforcement situation of administrative case law enforcement situation of administrative reconsideration administrative litigation and case of state compensation situation of prison and reformatory management law enforcement situation of internal law enforcement supervision and civil police illegality and other situations of law enforcement needing assessment At present some public security organs begin to implement different assessment indexes according to different requirements of different levels of law enforcement functions For example county leveled public security organs implement seven first level indexes They are law enforcement act criminal case handling administrative case handling reeducation through labor case administrative licensing retrieval and interrogation chamber management and law enforcement supervision as well as nineteen second level assessment indexes Units directly under municipal public security bureaus carry out six first level indexes namely law enforcement act criminal case handling administrative case handling labor education case administrative licensing and law enforcement supervision as well as eleven second level assessment indexes Please see the comparison chart below County leveled public security organ law enforcement quality assessment Law enforcement act Criminal case handling Reeducation through labor case Administrative licensing Administrative case handling Retrieval and interrogation chamber management City leveled public security organ law enforcement quality assessment Law enforcement act Criminal case handling Reeducation through labor case Administrative licensing Administrative case handling Law enforcement supervision Law enforcement supervision The above two performance management evaluation modes and the target management modes the public security organs all over the country are exploring for as well as the refined management mode that the public security organs of Hunan Province are carrying out are all superior assessing subordinate one way fashion assessment methods According to the Opinions of the Ministry of Public Security on Strengthening Primary Level Police Station Normalization Building 2006 the public security organs of higher levels shall thoroughly carry out the annual work overall assessment system to the public security organs of lower levels including law enforcement quality assessment The rewarding means are mainly based on the results of evaluation for excellence selection promotion and contingent assessment and inspection II Some existing problems We should say that the original intention of the public security organs to create these assessment modes is good Some measures bravely syncretize the advanced management thoughts of some large companies and enterprises in the west and have certain effects in practice However as there is no existing mature mode to use for reference there should be some disadvantages of this kind or that in reality In our opinion the major problems are as follows 1 Lacking systematic scientific grasp of police performance management Before performance evaluation some public security organs lack systematic analysis of the work environment resources and personnel allocation rationality and the then performance level of the objects of performance appraisal The traditional public security system has determined that there are many unreasonable phenomena in public security organs of different places and in police departments of different functions such as the system based on the principle of local government leading As the local governments of different places are restricted by different levels of local economic development the public security organs and policemen of different places receive different police affair resources and treatments even though they have the same function and task Even in the same organization there are difference in resource and treatment among different functional departments If the same assessment targets are set for ranking irrationality and injustice will get aggravated This in turn will contuse the enthusiasm of the police In addition the lack of systematic scientific analysis of the organic relationship between the external environment and internal environment of the public security organs and the simple imitation of successful experience from brother units make the public security performance assessment at certain places or of certain levels unsuccessful 2 Mistaking methods for objectives Performance assessment is a method only the performance management is the objective Mistaking methods for objectives ignoring performance information such as the environment mechanism resource allocation and member concept and neglecting wide performance target setting participating will lead to enthusiasm contusion and performance management failure 3 Lacking effective performance management communication and training Some local public security organs often evaluate performance management according to the intensions of the leaders without enough communication with the object to be evaluated Some performance targets are even reduced to what make the subordinates unhappy and unwilling to accept The objects to be evaluated even unite to be a community to deal with the assessment from the superiors At the same time before performance evaluation only the assessment indexes are made public There is no training on the purposes flows methods and others As we all know training is a form of communication Just as the saying goes the time to mill your knife won t be wasted That is why the performance evaluation of some local public security organs is boycotted and resisted by their members The result is either abortion or imperative implementation with too much cost 4 Influences of criminal case rate crime solving rate and arresting number on front line police work assessment Although the Ministry of Public Security repeatedly emphasizes ban on some indexes like penalty and seizing people in relevant documents and conferences some actually existing underlying rules still treat these indexes as the major assessment standards These indexes are still affecting the direction of front line police affair work and are causing the ignorance of mobilizing the general public for concerted actions for prevention and treatment and the organization of service work related to their benefit There are many reasons for this For example the stereotyped role of the police is a fighter to fight with crime some government leaders and the public ascribe the stand or fall of public order directly to the police and some police affair administrator also have this concept We have ever made a questionnaire survey among 1 160 public security police inspectors 30 of them assess the prefecture public order situations directly through number of cases happening and number of cases solved And more than a half of them think that crime rate is decided by the work of the police 4 Thirdly police performance level assessment is difficult as the work of the police is special and uncertain and the above indexes are just the ones that are the easiest to quantify for assessment In reality crime is a social syndrome Reducing crimes requires the common efforts from the government society and the public and comprehensive tr