奥地利联邦公务员绩效管理 Performance management in the Austrian Federal Civil Service

1. 奥地利联邦公务员绩效管理Performance management in the Austrian Federal Civil Service Thomas Pappenscheller 内政部，副司长 DDG, Ministry of Interior 奥地利 Austria 海南，2014年5月 May 2014, Hainan

2. 绩效模型Model of performance 目标：提高道路安全 Objective: Improved road safety • 增加交通流量Increased traffic volume • 天气情况Weather conditions 外部因素 目标objectives 公共行政/服务提供者public administration/service providers 结果outcome 投入input 产出output 活动activities 奥地利道路上造成人员伤亡的交通事故减少Fewer traffic accidents involving injuries on Austrian roads • 人员、资金和其他资源Personnel, financial and other resources • 外部行为者External actors • 一项有关多阶段驾驶员教育系统的规定A regulation on multiphase driver ecucation • 一场有关“酒后驾驶”的意识提高活动An awareness-raising campaign on „drunk driving“ • 与外部行为者合作，定义并实施事故预防措施Defining and implemnting accident prevention measures in cooperation with external actors • 建立一套分成多阶段的驾驶员教育系统Setting up a multiphase driver education system • 设计一场意识提高活动designing an awareness-raising campaign • 在对事故数据和模式进行分析的基础上，起草事故预防措施提议Drawing up proposals for measures to prevent accidents based on the analysis of accident data and patterns 绩效管理Performance Management 2 |

3. 结果导向将成为以下方面的工具：Outcome orientation as a tool for 国会和感兴趣的民众… Parliament & the interested public 政府和部委… Government & Ministers 公共行政部门… public administration 绩效管理Performance Management 3 |

4. 预算改革的要素Elements of budget reform 新的机制性基础设施new institutional infrastructure 截至2009年as of 2009 截至2013年as of 2013 中长期开支跨年（MTEF）、战略报告medium-term expenditure framework (MTEF), Strategy Report 公共机构的放权管理decentralised management of public bodies 结果导向（包括性别平等）outcome orientation (including gender equality) 制定活动预算（“全球预算”）programme budgeting (”global budgets”) 权责发生制预算和会计accrural budgeting and accounting 绩效管理Performance Management 4 |

5. 预算和绩效结构Budget and performance structure 绩效结构Performance structure 预算结构Budget structure MTEF战略报告MTEF, Strategy Report 5大标题5 headings 年度预算Annual Budget 任务、战略、结构陈述mission, strategy, outcome statement 32个预算章节32 budget chapters 产出陈述output statement 全球预算global budgets 年度预算补充Supplements to Annual Budget 绩效合同performance contracts 详细预算detail budgets 绩效管理Performance Management 5 |

6. 绩效管理周期Performance management cycle 战略规划strategic planning 1 报告reporting 7 结果陈述outcome statement 2 评估和报告evaluation & reporting 规划planning 对产出和结果进行评估evaluation of outputs & outcomes 6 3 结果陈述output statement 实施implementation 4 5 依据目标进行管理management by objectives 绩效合同performance contracts 绩效管理Performance Management 6 |

7. 每个预算章节内的年度结果陈述Annual outcome statement per budget chapter 结果1-5Outcomes 1-5 绩效管理Performance Management 7 |

8. 结果1：Outcome 1: 提高安全和安保Improving safety and security • 为何要有该结果？Why this outcome? • 公、私生活中的安全和安保是一项人权，对幸福安康至关重要。国际比较显示，奥地利是世界上最安全的国家之一。必须维持并进一步提升这种高水平的安全。Safety and security in public and private life is a human right and essential to well-being. International comparisons show that Austria is one of the safest countries in the world. This high level of safety must be maintained and upgraded further. • 正在开展何工作以实现该结果？What is being done to achieve this outcome? • 推广预防工作和意识培训Extending preventive work and awareness training • 以新办法和新技术有效、高效地打击犯罪Combating crime effectively and efficiently with new methods and technologies • 有关打击犯罪的特别培训活动Special training programme on combating crime • 缩短警察反应时间（即紧急呼叫和抵达现场的时间差）Improving police response times (i.e. time between an emergency call and arrival at the scene) • 以证据为基础的人力资源配置Evidence-based human resource allocation • 分析道路事故模式，找出交通热点Analysing road accident patterns and identifying traffic hot spots • 怎样算是成功？What would success look like? • 犯罪率：2013年期望结果：<x%；2011年初始水平：y% [定义：每10万居民的犯罪事件总数，来源：内政部，犯罪数据]Crime rate: desired outcome 2013: <x%; starting level 2011: y% [definition: total number of crime incidents per 100,000 inhabitants, source: Crime Statistics, Ministry of the Interior] • 解决犯罪百分率：2013年期望结果：>x%；2011年初始水平y% [定义：解决案件占犯罪总数比例，来源：内政部，犯罪数据]Percentage of crimes solved: desired outcome 2013: >x%; starting level 2011: y% [definition: ratio of cases solved to total number of crimes, source: Crime Statistics, Ministry of the Interior] • 造成伤亡道路事故数量：2013年期望结果：<x；2011年初始水平：y[定义：死于道路事故人员总数，来源：奥地利统计局，道路事故数据]Number of road accidents with injuries: desired outcome 2013: <x; starting level 2011: y [definition: total number of persons killed in road accidents, source: Road Accidents Statistics, Statistik Austria] 绩效管理Performance Management 8 |

9. 性别平等的预算原则Budgetary principle of gender equality 宪法预算原则：包括性别平等的结果导向Constitutional budgetary principle: outcome orientation including gender equality 综合办法：在决策和管理（战略报告、年度结果和产出陈述、绩效委任）中考虑性格平等Integrated approach: gender equality is to be considered in policy making and management ( strategy report, annual outcome and output statements, performance mandates) 超越简单为女性和男性分配单独预算的办法Goes beyond simply allocating separate budgets for women and men 综合的性别主流化和预算制定要求Integrated gender mainstreaming and budgeting requires 性别分析gender analysis 明确挑战identification of challenges 定义目标（即结果陈述）definition of objectives (i.e. outcome statements) 拟采取的行动（即产出陈述）action to be taken (i.e. output statements) 评估和报告（即监督联邦绩效报告）evaluation and reporting (i.e. Annual Federal Performance Report) 绩效管理Performance Management 9 |

10. 性别平等有关结果的范例Examples of outcomes relating to gender equality • 教育、艺术与文化部Ministry of Education, Arts and Culture • 提高教育系统中的平等（降低性别、民族和社会经济方面的不平等）Promoting equality in the educational system (reducing gender, ethnic and socioeconomic inequality) • 经济、家庭与青年部Ministry of Economy, Family and Youth • 协助协调工作和家庭生活Facilitating the reconciliation of work and familiy life • 劳动、社会事务与消费者保护部Ministry of Labour, Social Affairs and Consumer Protection • 帮助妇女重新融入劳动市场，尤其在产假之后Reintegration of women into the labour market, especially after parental leave • 内政部Ministry of the Interior • 更好保护民众，尤其是妇女、儿童和老年人不遭受暴力Better protection against violence, especially violence against women, children and elderly people • 财政部Ministry of Finance • 提高国有企业监管委员会的妇女比例Increasing the percentage of women on the supervisory boards of state-owned companies 绩效管理Performance Management 10 |

11. 每项全球预算中的年度产出陈述Annual output statement per global budget 绩效管理Performance Management 11 |

12. 年度产出陈述——全球预算“安保和安全”Annual output statement –global budget „Security & Safety“ 12 绩效管理Performance Management 12 |

13. 绩效合同（详细预算层面）Performance contracts (detail budget level) 公共机构的内部中长期指导文件Internal medium-term steering document for public bodies 融合了Integrating 绩效信息（产出和指标）及performance information (outputs and indicators) with 预算和人力资源budget and personnel resources 仅在以下两者间有约束力:Only binding between 部级单位the Ministry and 部级单位附属机构its subordinate bodies 年度预算补充包含绩效合同总结The Supplement to the Annual Budget include a summary of performance contracts. 绩效管理Performance Management 13 |

14. 绩效合同——“警察部门X”详细预算Performance contract –detail budget „Police Department X“ 14 绩效管理Performance Management 14 |

15. 质量保障Quality assurance • 责任Responsibility • 联邦绩效管理办公室Federal Performance Management Office • 范围Scope • 年度预算中的结果和产出陈述outcome and output statements in the Annual Budget • 重点Focus • 统一的目标和指标质量uniform quality of objectives and indicators • 流程Process • 绩效管理办公室可建议部级单位对结果和产出陈述加以明确和修改Performance Management Office can recommend clarification and changes to ministry‘s outcome and output statement • 部级单位必须“遵照或解释”Ministry must “comply or explain“ 绩效管理Performance Management 15 |

16. 绩效信息的质量标准Quality criteria for performance information 关注部级单位的优先顺序；提供有意义的信息 结果和产出、目标和绩效指标相关联 明确规定、易于理解 以联邦政府安排及具体部级单位的职能范围为基础 目标和指标的一致使用 使用数量化或质量化的绩效指标 Performance Management 16 |

17. 国会辩论准备Preparation of parliamentary debate 定期就框架向咨询委员会进行通报Advisory Committee regularly informed about framework 咨询委员会就“真实”绩效信息进行反馈有关的政治信息Feedback by Advisory Committee on „real“ performance information  political relevant information 感兴趣的国会议员的非正式反馈Informal feedback of interested members of parliament 辩论前2个月所有政党的信息活动Information activities in all political parties 2 months before debate 反馈被用作发展绩效信息的压力Feedback used as pressure to develop performance information 知会国会议员发起一项学习流程Sensibilize members of parliament to initiate in a learning process Performance Management 17 |

18. 国会讨论Discussion in Parliament 2012年11月November 2012 重点关注结果目标、各自的活动和指标，而非详细预算Strong focus on outcome objectiveses, respective activities and indicators, not on detail budgets 国会辩论从非系统、投入导向性的问题转向关注部级单位的优先顺序和战略Debate in parliament shifts from unsystematic, input-oriented questions to a focus on priorities and strategies of ministries 所有政党提及绩效信息并对其进行讨论All political parties refer to performance information and discuss them. 关注指标的目标价值，而非技术性/方法性细节Focus on target values of indicators, not on technical/methodological details Performance Management 18 |

19. 绩效报告Performance reporting • 部级单位有关目标达成的陈述Ministries’ statements on achievement of objectives • 重点：年度预算中的结果和产出陈述focus: outcome and output statement in the Annual Budget • 应在次年5月31日前递交至绩效管理办公室to be submitted to Performance Management Office by May 31 of the following year • 年度联邦绩效报告Annual Federal Performance Report • 由绩效管理办公室起草drawn up by the Performance Management Office • 以部级单位陈述为基础based on Ministries’ statements • 应在10月31日前递交至国会to be submitted to Parliament by October 31 • 与次年年度预算草案一同讨论discussed together with the draft Annual Budget for the next year 绩效管理Performance Management 19 |

20. 年度联邦绩效报告Annual Federal Performance Report 绩效管理办公室Performance Management Office 国会和感兴趣的民众Parliament & interested public 部级单位Ministries • 评估evaluation • 有关目标达成的陈述statement on achievement of objectives • 报告reporting • 标准化standardisation • 质量保障quality assurance • 协调coordination • 报告reporting • 对结果的讨论discussion of results • 政治责任political accountability 5月31日31 May 10月31日31 October 绩效管理Performance Management 20 |

21. 每一预算章节的部级单位陈述Ministries‘ statements per budget chapter 总体信息：General information: 任务：Mission: 外部因素：External factors: 绩效管理Performance Management 21 |

22. 每一预算章节的部级单位陈述Ministries’ statements per budget chapter 结果1-5Outcomes 1-5 结果1：Outcome 1: 为何是该结果？Why this outcome? 已做了什么来实现该结果？What has been done to achieve this outcome? 目标达成情况Achievement of objective: 绩效指标Perfomance indicators 2013年达成结果Outcome achieved 2013 2012年初始水平Starting level 2012 2013年期望结果Desired outcome 2013 2013年偏离情况Deviation 2013 2014年期望结果Desired outcome 2014 口头描述：Verbal description: 绩效管理Performance Management 22 |

23. 每项全球预算中的部级单位陈述Ministries’ statements per global budget 产出1-5Outputs 1-5 产出1：Output 1: 目标达成情况Achievement of objective: 2013年偏离情况Deviation 2013 2013年产出Output 2013 结果编号Contribution to Outcome No. 绩效指标Performance indicators 2012年状态Status 2012 2014年目标Target 2014 2013年目标Target 2013 口头描述：Verbal description: 绩效管理Performance Management 23 |

24. 监管评估REGULATORY IMPACT ASSESSMENT 绩效管理Performance Management 24 |

25. RIA基本理念Basic idea of RIA 非期望影响undesired impact 期望影响desired impact 成本cost 结果outcome 绩效管理Performance Management 25 |

26. RIA范围Scope of RIA Mandatory as of 1 January 2013 for • new laws and regulations and • major projects • procurement activities • infrastructure projects  No exceptions Performance Management 26 |

27. RIA步骤Steps of RIA 问题分析Problem analysis 结果陈述Outcome statement 产出陈述Output statement 影响评估Impact assessment 内部评估规划Planning of internal evaluation （结果1-5）文件记录Documentation (of results 1. – 5.) 内部评估Internal evaluation 绩效管理Performance Management 27 |

28. 1. 问题分析Problem analysis 目的：解释为何需要政府行动，为何选择了所提议的方案。Purpose: to explain why government action is required and why the proposed solution was chosen. 问题分析的元素：Elements of problem analysis: 采取行动的理由Reason for taking action 操作空间（实施欧盟法律时）Room for manoeuvre (when implementing EU law) 问题的范围Extent of the problem 受影响的人员/实体Persons/entities affected 零选择和任何其他选项Zero option and any alternatives 绩效管理Performance Management 28 |

29. 2. 结果陈述Outcome statement 目的：制定通过各自监管（或其他）项目拟达成的结果。Purpose: to set out the outcome to be achieved by means of the respective regulatory (or other) project. 结果陈述的元素：Elements of outcome statement: 外部、社会效果External, societal effects 指标（关键数据）Indicators (key figures) 帮助开展后续的内部评估Facilitate the subsequent internal evaluation 与年度预算的关联Link to Annual Budget Performance Management 29 |

30. 3. 产出陈述Output Statement 目的：陈述为达成期望目标开展的措施、活动等。Purpose: to state the measures, activities, etc. through which the defined objectives are to be achieved. 产出陈述的元素：Elements of output statement: 指标Indicators 至少由一项具体产出实施一项结果At least one specific output to implement an outcome 绩效管理Performance Management 30 |

31. 绩效预算和RIA的关联Link between performance budgeting and RIA 预算结构Budget Structure 绩效结构Performance Structure MTED战略报告MTEF Strategy Report 标题headings 年度预算Annual Budget 任务、战略、结果陈述mission, strategy, outcome statement 预算章节budget chapters 全球预算global budgets 产出陈述output statement 绩效委任performance mandates 年度预算补充Supplements to Annual Budget 详细预算detail budgets other planning documents 以目标进行管理management by objectives 新法律或重大项目可能影响年度预算的一项结果，或甚至成为一项产出。在详细预算层面与绩效合同发生关联也是可能的。 New legislation or a major project can contribute to an outcome or even be an output in the Annual Budget. A connection to performance contracts on the detail budget level is possible too. 绩效管理Performance Management 31 |

32. 虚构例子：公共安全——预算章节层面的结果Fictional example: public safety – outcome at Budget Chapter level 结果1：提高交通安全Outcome 1: Increasing traffic safety • 为何要有该结果？Why this outcome? • 道路安全对于运转良好的社会来说很有必要，也是整体安全和安保的关键因素。Road safety is necessary for a functioning society and a key factor of overall safety and security • 正在做什么以达成这一结果？What is being done to achieve this outcome? • 加大打击超速Increased efforts to combat speeding • 通过强制要求儿童戴头盔，提高骑行者安全Increasing safety for cyclists through mandatory helmets for children • 推广预防工作和意识培训Extending preventive work and awareness training • 发起拒绝酒后驾车的活动Initiating a campaign against drinking and driving • 分析道路事故模式，明确交通热点Analyzing road accident patterns and identifying traffic hot spots • 怎样算是成功？What would success look like? • 导致伤亡的道路事故：2013年期望结果：<x；2011年初始水平：y[定义：道路事故中受伤人员总数，来源：奥地利统计局，道路事故数据]Road accidents with injuries: desired outcome 2013: <x; starting level 2011: y [definition: total number of persons injured in road accidents, source: Road Accidents Statistics, Statistik Austria] • 致死道路事故：2013年期望结果：<x；2011年初始水平：y[定义：道路事故致死人员总数，来源：奥地利统计局，道路事故数据]Fatal road accidents: desired outcome 2013: <x; starting level 2011: y [definition: total number of persons killed in road accidents, source: Road Accidents Statistics, Statistik Austria] • 涉酒精道路事故：2013年期望结果：<x；2011年初始水平：y[定义：有一人受酒精影响的事故总数，来源：奥地利统计局，道路事故数据]Road accidents involving alcohol: desired outcome 2013: <x; starting level 2011: y [definition: total number of accidents in which one of the persons involved was under the influence of alcohol, source: Road Accidents Statistics, Statistik Austria] fictional Performance Management 32 |

33. 虚构例子——道路交通法规修订：法律草案Fictional example – amendment of Road Traffic Code: draft legislation 结果1：提高交通安全Outcome 1: Increasing traffic safety • 正在做什么以达成该结果？What is being done to achieve this outcome? • 通过允许在平均速度检测区使用自动肖像处理，加大打击超速Increased efforts to combat speeding by allowing automated image processing in average speed check zones • 通过强制要求儿童戴头盔，提高骑行者安全Increasing safety for cyclists through mandatory helmets for children 怎样算是成功？What would success look like? fictional 对年度预算中结果或产出陈述的贡献：通过提供降低交通伤亡的办法，该法律草案为预算章节X“提高交通安全”做出贡献。Contribution to outcome or output statement in the Annual Budget: This draft legislation contributes to Outcome Statement 1 in Budget Chapter X: „Increasing traffic safety“ by providing for means to reduce traffic casualties. 绩效管理Performance Management 33 |

34. 4. 影响评估Impact assessment 统一流程Uniform procedure • 总结评估回答是或否的问题Summary assessment Yes/No questions • 重要性检查实质性？Significance check  substantial? • 深入评估In-depth assessment 重要性标准Criteria for significance • 数量性quantitative or • 描述性descriptive 绩效管理Performance Management 34 |

35. 影响方面Impact dimensions以法律定义defined by law 财务影响Financial impacts 对整体经济影响Impacts on the overall economy 对企业影响Impacts on enterprises 环境影响Environmental impacts 消费者保护政策领域影响Impacts in the field of consumer protection policy 对公民和企业行政成本影响Impacts on administrative costs for citizens and enterprises 社会影响Social impacts 对儿童和年轻人影响Impacts on children and young people 有关男女平等的影响Impacts regarding equality of women and men 绩效管理Performance Management 35 |

36. 影响方面Impact dimensions 在复杂系统中：对其他政策领域的期望与非期望效果In complex systems: desired and undesired effects on other policy areas RIA不总由政策专家开展RIA not always conducted by policy experts 通过提供关键数据、准确问题，关注政策领域关键问题Focus on key issues of the policy area, providing key figures, precise questions 绩效管理Performance Management 36 |

37. 性别影响评估：内容Gender impact assessment: content 性别影响评估以有关以下内容的详细问卷为基础：Gender impact assessment is based on a detailed questionnaire about: 补贴、拨款和资金Subsidies, grants and funding 就业、教育和收入Employment, education and income 税收Taxes 无偿工作Unpaid work 对决策过程的参与Participation in decision-making processes 健康Health 绩效管理Performance Management 37 |

38. 质量保障Quality assurance • 由绩效管理办公室开展：By Performance Management Office: • 问题分析、结果陈述、产出陈述problem analysis, outcome statement, output statement • 在评估影响（财务影响除外）重要性时做出合理性假设plausibility of the assumptions made in assessing the significance of impacts (except for financial impacts) • 由影响方面部级单位开展：By impact dimension ministries: • 对各影响方面信息进行深入审查in-depth review of information in the different impact dimensions • 作为咨询过程一部分As part of the consultation process 绩效管理Performance Management 38 |

39. 质量保障：关注重点Quality assurance: focus RIA的通用部分：问题分析、产出陈述、结果陈述Common part of RIA: problem analysis, output statement, outcome statement 标准Criteria 相关：解决相关问题的普遍适宜性，RIA反应法律草案的优先顺序Relevant: general suitability for solving the problem in question, priorities of the draft law are mirrored in the RIA 一致：结果和产出、目标和绩效指标、预算结果陈述和产出陈述相关联Consistent: linkage of outcomes and ouputs, objectives and performance indicators, as well as with outcome and output statements in the budget 可理解：明确规定，易于理解（长度、术语、缩略语）Comprehensible:clearly formulated and easy to understand (length, terms, abbreviations) 结合语境：以具体部级单位的职能范围为基础Contextualized: based on the respective ministry‘s sphere of competence 可比较：目标和指标的一致使用Comparable: consistent use of objectives and indicators 可核查：使用数量或质量绩效指标Verifiable: using quantitative or qualitative performance indicators 绩效管理Performance Management 39 |

40. 内部评估Internal evaluation绩效控制条例规定了Laid down in the Ordinance on Performance Controlling- 达成的结果Outcomes achieved- 产生的产出Outputs produced - 成功评估Evaluation of success- 实际影响Actual impacts-可改善领域Areas for improvement 绩效管理Performance Management 40 |

41. 内部评估报告Report on internal evaluation 政府实体 国会委员会 联邦绩效管理办公室 提交内部评估 开展质量保障工作 总结 必要时进行评论 辩论 记录 2月28日前 5月31日前 绩效管理Performance Management 41 |

42. 挑战Challenges • 工作量Workload • 重要性检查significance check • IT工具ITtool • 联邦总理府/财政部的协调配合coordination by Federal Chancellery/Ministry of Finance • 来自其他专业领域的问题Questions form other areas of expertise • 培训、手册、数据training, handbook, data • 有关影响方面的详细问卷指导detailed questionnaire guiding through impact dimensions • 透明度Transparency • 质量保障以提升责任感quality assurance to increase commitment • 内部评估internal evaluation • 公共行政部门内的文化改变culture change within public administration 绩效管理Performance Management 42 |