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 20122

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 20123

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 20124

5. I. What is 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 20125

6. (1) Definition of Performance Assessment 绩效评估的定义  Definition: Measuring the outputs and outcome of the activities of public institutions or public servants on the basis of a value-/quality-orientated system of criteria. 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 20126

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 20127

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 20128

9. (3) Function of Performance Assessment 绩效评估的功能 Analyses of the output and outcome of actions of public administration (and/or the single public servants) with the aim to improve these outputs and outcomes 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, to improve the efficiency and effectiveness and especially the quality of the public administration and its services 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 20129

10. (4) Areas of Performance Assessment 绩效评估领域 A: Performance Assessment of Personnel 人员绩效评估  established forms of PA (following the Weber-model) 绩效评估的固定格式 （依据韦伯模型）  New appraoches in the field of 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 and Institutions number of approaches since the 1970‘s (from system analysis until result-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 201210

11. II. The process of public programmes 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 201211

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 201212

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 201213

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 201214

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 201215

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 201216

17. Information on economic indicators Economic background Gross Net Income per person Productivity Percentage of employment (persons between 18 and 65) Percentage of employment of young people (between 18 and 24) Percentage of employment of elderly people (between 50 and 65) Changchun, December 201217

18. Case: operating figures (1)Financial operating figures: input (budget figure; personnel etc.) per defined reference parameter (citizen/area/time etc.) (2)Economic operating figures: input per certain service (resources per case or per sqare meter) (3)Objective oriented operating figures: measuring following a certain target value (cases per employee; ambulatory treatment instead of inpatient treatment) (4)Structural operating figures: describing the socio- economic framework Changchun, December 201218

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 201219

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 201220

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 201221

22. UK: Innovation centres and Communities of interests for public sector (reform) learning Good Hope Hospital (West Midlands) Wirral Hospital (NW England) 15-months inpatient waits20 patients waiting over 15 months (significantly underachieved) 0 patients waiting (achieved) Deaths within 30 days of surgery (current national figure 2.922 per 100.000 patients) 3.322 (average)1.967 (significantly below average) Inpatient survey: respect and dignity (current national figure: 82.3%) 78.2%85.8% Table: Service Quality Indicators: UK NHS (see also http://www.dh.gov.uk/PolicyAndGuidance/Performance/fs/en) http://www.dh.gov.uk/PolicyAndGuidance/Performance/fs/en

23. VI. Examples I 实例 I (1)EU: the Lisbon strategy 欧盟：里斯本战略 (2)Programmes on social affairs 社会事务项目 (3)Strategic programmes on regional policy 区 域政策战略项目 (4)Sustainable Policy Development (5)Health Care Changchun, December 201223

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 201224

25. Information on economic indicators Economic background Gross Net Income per person Productivity Percentage of employment (persons between 18 and 65) Percentage of employment of young people (between 18 and 24) Percentage of employment of elderly people (between 50 and 65) Changchun, December 201225

26. Information on indicator ‚Social cohesion ‘ Social Cohesion Percentage of persons unemployed for long-term (>12 months) Regional difference of employment Regional difference of income Percentage of people below the poverty line Percentage of children under 7 below the poverty line Changchun, December 201226

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 201227

28. Example 3: Strategic programme on regional policy 实例 3 ：区域政策战略项目 Changchun, December 201228 MW Dienst- Leistungs- wirtschaft Internet- wirtschaft Selbstän- digkeit Regionale Entwicklung Europäi- sche Union Inno- vation Verkehr Effiziente Organi- sation

29. Example 3: Strategic programme on regional policy 实例 3 ：区域政策战略项目 Changchun, December 201229 Ministerium für Wirtschaft, Technologie und Verkehr Starker Standort für Dienstleister Wachstumsstandort für Internet- Unternehmen und Unternehmen im Internet Niedersachen Partnerland der Grün- der: überdurch- schnittlich hohe Selbständigenquote Niedersachsens Regionen Konzentra- tion auf eigene Stärken EU: Unternehmen profitieren vom Binnenmarkt und der Osterweiterung Innovation in Niedersachsen – vorhandene Potenziale stärken Verkehr in Niedersachsen – schnell und sicher zum Erfolg MW in Niedersachsen Dienstleister für die Wirtschaft

30. Example 3: Strategic programme on regional policy 实例 3 ：区域政策战略项目 Changchun, December 201230 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

31. Example 4: Strategy on Sustainable Development (GE)  4 Areas of the Strategy on Sustainable Development:  Fairness between the generations;  quality of life;  social cohesion;  international responsibility.  21 policy fields  35 key indicators Changchun, December 201231

32. Changchun, December 201232

33. Example 4: Strategy on Sustainable Development (GE) Fairness between generations AreaIndicatorExpected Result Saving natural resourcesProductivity of energy (Productivity of using raw materials) Doubled from 1990 until 2020 (1994 until 2020) Protection of climateEmission of CO₂Reduction of 21% from 1990 until 2012 and 40 % until 2020 Renewable energyProportion of renewable ernergy of the whole comsumption of ernergy Increase from 4,2% (2010) to 10 % (2020) Use of soil (spatial policy) Consumption of soil for housing and infrastructure Reduction of the daily use down to x ha (2020) Public debtsDeficits of public budgetsBalanced budget (no new credits) from 2011 onwards Changchun, December 201233

34. Example 5: Targets of Health Care (1) Targets and indicators in the Health Care Sector (State LSA) : Vaccination rate (related to useful vaccination for the different age-groups) increased to 90% Proportion of smokers and of deseases and deaths caused by abuse of alcohol is reduced to the average on the national level Dental Health is imroved up to the average on the national level Changchun, December 201234

35. Example 5: Targets of Health Care (2) The Process of Evaluation and Quantification: Working groups on results and reviewing the targets (every year) Adjustment of structures and responsible institutions (every year) Survey of strategies and methods (Conference, all 3 years) Consistent operationalizing of targets and model projects (on- going) Sectoral reports, documentations, General Report on Health Policy Changchun, December 201235

36. Examples II (6) Sustainable City development (7) Programmes of Youth Policy (8) Benchmarking (GPA) (9) Education Changchun, December 201236

37. Example 6: City Development 5 slides City of Ludwigsburg (South-West Germany): 12 fields of action and objectives with 66 indicators Changchun, December 201237

38. 12 fields of city development 0 General indicators 1 Attractive Housing 2 Cultural life 3 Economy and labour 4 Vital city districts 5 Lively city center Changchun, December 201238

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 201239

40. 4 Lively city center (4 Indicators) Visitors satisfaction Customers satisfaction Numbers of customers Percentage of vacantness of shops Changchun, December 201240

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 201241

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 201242

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 201243

44. (2) Programmes and products … Relationsship between ambulant and inhouse measures Percentage of cases for young adults (over 18 years old) ….. Changchun, December 201244

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 201245

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 201246

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 201247

48. Example 8: Benchmarking (GPA) Changchun, December 201248

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 201249

50. Benchmark (GPA) Changchun, December 201250

51. Benchmark: Example (GPA) TaskIndicatorBenchmarkRemarks Management of personnel Cases per full-time- employee 1900 6 cities match the benchmark Support to breeding Proportion of ambulatory measures 60 % 2 cities below the line of 60% Long term care Proportion of persons living outside of homes for long term care 65 % 3 cities match the benchmark Consumption of electricity and heating Consumption of kilowatt-hour per square meter Heating: 90 Electricity: 20 Several cities are below this line Expenditures for adult evening class, music, public library X Euro/citizen1.50 € 3.00 € 5.50 € High differences between the cities Changchun, December 201251

52. Example 9: Education: Relationship between teachers and students (HE) Klassenhöchstgrenzen für das Schuljahr 2011/2012 Schulform Jahrgangss tufe Klassenhö chstgrenze bereits ohne Sternchenr egelung Klassenhö chstgrenze mit Sternchenr egelung Grundschu le 1-325 428 Hauptschu le 5-8 25 9-10 28 Realschule5-730 8-1033 IGS5-727 8-1030 Gymnasiu m 5-730 8-9 (10) 33 Changchun, December 201252

53. Example 9: Education: abilities and skills learned Abilities of students aged 10 (extract): Reading skills of new and superior texts Writing skills of drafting logic and comprehensive reports Skills in multiplication tables Knowledge in basics of the environment Skills in oral communication (ability to express precisely, properly; level of active wording and of grammar; ability to differentiate) Changchun, December 201253

54. VII. Consequences 影响 (1)The feed-back-loop in the programme cycle 项目周期中的反馈圈 (2)Changes of programmes 项目变更 (3)Performance assessment and evalution: Always connected to the political system 绩 效评估和评价：总是与政治体系挂钩 Changchun, December 201254

55. VIII. Further approaches 进一步的办法 (1) Contracting targets between institutions (the cases of universities and Ministry of Interior) 缔结机构间目标（大学和内政部的案例） (2) Result-orientated management (Quality management, including CAF/Common Assessment Framework) 结果导向管理（质 量管理，包括 CFA/ 共同评估框架） Changchun, December 201255

56. Many thanks for your attention and discussions! Changchun, December 201256