This article examines the reform of performance appraisal in China’s civil
service in the 1990s. It discusses the contours of the reform, namely regularization
of performance procedure and indicators as well as differentiation of civil servants
at different performance levels which, to a certain extent, were outcomes of local
governments’ innovations. This article argues that the reform
implementation generated a dynamic between central policymakers who sought to
optimize economic rationality and local leaders who placed more emphasis on coping
with the tensions arising from the implementation of the reform which threatened the
common desire for organizational harmony. Although the Chinese government
successfully established the reform setups, the ambiguous content of the reform and
the conflictual context due to leader cadres’ maneuver watered down the reform.
Bernstein, Thomas P.
, and
Lü Xiaobo
. Taxation without Representation in Contemporary Rural China.
Cambridge: Cambridge University Press
, 2003.
4.
Bian, Hongwei
.
“Care for Jobless Civil Servants Key to Reform.”China Daily, 29July 1998,
4-4
.
5.
Burns, John P.“China’s Nomenklatura System”
. Problems of Communismno. 36 (1987a):
36–51
.
6.
Burns, John P.“Civil Service Reform in Contemporary China”
. The Australian Journal of Chinese Affairs18 (1987b):
47–84
.
7.
Burns, John P.“Chinese Civil Service Reform: The 13th Party Congress Proposal”
. The China Quarterly, no. 120 (1988):
739–770
.
8.
Burns, John P.“China’s Administrative Reforms for a Market Economy”
. Public Administration and Development13, no. 4 (1993):
345–360
.
9.
Burns, John P.“Civil Service Reform in China”
. Asian Journal of Political Science, no. 2
(1994):
44–72
.
10.
Burns, John P.“Changing Environmental Impacts on Civil Service Systems: The
Cases of China and Hong Kong”. In Handbook of
Comparative Public Administration in the Asia-Pacific Basin, ed.
Hoi-kwok Wong
and
Hon S. Chan
, 179–218.
New York: Marcel Dekker
, 1999.
11.
Burns, John P.“Governance and Public Sector Reform in the People’s
Republic of China”. In Governance and Public Sector
Reform in Asia: Paradigm Shifts or Business as Usual, ed.
Anthony B.L. Cheung
and
Ian Scott
, 67–89.
London and New York: Routledge Curzon
, 2003.
12.
Cao, Zhi
,
Liu Junlin
, and
Dai Guanqian
. “Jianli you zhongguo tese de guojia gongwuyuan
zhidu” (Establishment of civil service system with Chinese
characteristics). In Guojia gongwuyuan zhidu quanshu (A collection of
articles on state civil service system), ed.
Zhonghua renmin gongheguo renshibu
, 209–214.
Changchun: Jilin wenshi chubanshe
, 1994.
13.
Chan, Hon S.“In Search of Performance Profile in the People’s
Republic of China”
. Public Administration Quarterly24, no. 4 (2001):
469–490
.
14.
Chou, Bill K. P.“Implementing Recruitment and Selection Reform in the Civil
Service of China in the 1990s: An Application of Ambiguity-Conflict Model of
Policy Implementation”
. Public Administration and Policy12, no. 2 (2003):
83–114
.
15.
Chou, Bill K. P.“Civil Service Reform in China, 1993–2001: A Case
Implementation Failure”
. China: An International Journal2, no. 2 (2004):
210–234
.
16.
Chow, King W.“The Management of Cadre Resources in Mainland China: The
Problems of Job Evaluation and Position Classification, 1949–1987”
. Issues and Studies24, no. 8 (August 1988):
18–28
.
17.
Chow, King W.“The Politics of Performance Appraisal”. In
Public Administration in China, ed.
Miriam K. Mills
and
Stuart S. Nagel
, 109–115.
Westport: Greenwood
, 1993.
De Leon, Peter
. “The Stages Approach to the Policy Process: What Has It
Done? Where Is It Going?” In Theories of the Policy
Process, ed.
Paul A. Sabatier
, 19–34.
Boulder: Westview Press
, 1999.
20.
Deming, W. Edwards
. Out of the Crisis.
Cambridge, MA: Massachusetts Institute of
Technology, Center for Advanced Engineering Study
, 1986.
21.
“Dongyingshi renzhen zuohao tiaozheng bushengren xianzhi lingdao
ganbu gongzuo” (Dongying City seriously implemented the policy of
removing leading cadres rated unsatisfactory). Zuzhi renshi bao
(Organization and personnel post), 23 October 1997, 1-1.
22.
Dresang, Dennis L.Public Personnel Management and Public Policy.
New York: Longman
, 1999.
23.
Dunleavy, Patrick
. Democracy, Bureaucracy, and Public Choice: Economic Explanations in
Political Science.
New York: Harvester Wheatsheaf
, 1991.
24.
Dunsire, Andrew
. Implementation in a Bureaucracy.
Oxford: Martin Robertson
, 1978.
25.
Edin, Maria
. Market Forces and Communist Power: Local Political Institutions and
Economic Development in China.
Uppsala: Uppsala University
, 2000.
26.
Edin, Maria
.
“State Capacity and Local Agent Control in China: CCP Cadre
Management from a Township Perspective”
. The China Quarterly, no. 173 (2003):
35–52
.
27.
Elmore, Richard F.“Forward and Backward Mapping”. In Policy
Implementation in Federal and Unitary Systems, ed.
Kenneth Hanf
and
Theo A. J. Toonen
, 33–70.
Dordrecht: Martinus Nijhoff
, 1985.
28.
Gray, Andrew
, and
Bill Jenkins
. “Implementing the Next Steps: A Choreography of Management
Change”. In Next Steps: Improving Management in
Government, ed.
Barry J. O’Toole
and
Grant Jordan
, 37–54.
Aldershot: Dartmouth Publishing
, 1995.
29.
Grindle, Merilee S.“Policy Content and Context in Implementation”.
In Politics and Policy Implementation in the Third World, ed.
Merilee S. Grindle
, 1–26.
Princeton: Princeton University Press
, 1980.
30.
Gongren ribao (Workers’ daily), 4 February 2002, 2-2.
31.
Gongwuyuan kaoshi yu renyong yanjiuzu
. “Gongwuyuan luyong: quanguo dazhuizong” (Civil
service examination and appointment: a national overview).
Zhongguo rencai (Chinese talent), November 1995, 17–20.
32.
“Gongwuyuan zhidu zai Beijing shi quanmian rugui”
(Beijing has completed the establishment of civil service system).
Zhongguo renshi bao (Chinese personnel post), 3 November
1998, 1-1.
33.
Gu, Baohua
.
“Beijing Municipal Bureau Chiefs Performance Appraisal Plan and Implementation”
. Chinese Law and Government23, no. 4 (1990–1991):
74–89
.
34.
Guowuyuan fazhiju
. Zhonghua renmin gongheguo xinfagui huibian—1994 diyiji (New
regulations of the People’s Republic of China, vol. 1, 1994).
Beijing: Zhongguo fazhi chubanshe
, 1994.
35.
Harding, Harry
. Organizing China: The Problem of Bureaucracy 1949–1976.
Stanford: Stanford University Press
, 1981.
36.
Huang, Jianrong
. The Applicability of Policy-Making Theories in Post-Mao China.
Aldershot: Ashgate
, 1999.
“Jiakuai zhidu wanshan, jiaqiang duiwu jianshe”
(Quickening the improvement of system and enhancing the construction of the
rank-and-file of the civil service)
. Zhongguo gongwuyuan (Chinese public servants), no.
9 (2000):
6-6
.
40.
Kaufman, Herbert
. The Limits of Organizational Change.
New Brunswick: Transaction Publishers
, 1995.
41.
Klingner, Donald E.
, and
John Nalbandian
. Public Personnel Management: Contexts and Strategies.
New Jersey: Prentice-Hall
, 1998.
42.
“Laodong renshibu guanyu jianli guojia xingzheng jiguan
gongzuorenyuan ganwei zerenzhi de tongzhi” (The notice of the Ministry
of Labour and Personnel concerning the establishment of cadre responsibility
system in state organs). In Jiangcheng gongzuo wenjian huibian (A
collection of documents concerning reward and punishment), ed.
Laodong ji renshi bu ganbuju
, 608–609.
Beijing: Laodong ji renshi bu ganbuju
, 1984.
43.
Lee, Hong Yung
. From Revolutionary Cadres to Party Technocrats in Socialist
China.
Berkeley: University of California Press
, 1991.
44.
Levine, Charles H.“Organizational Decline and Cutback
Management”. In Public Sector Performance: Management,
Motivation, Measurement, ed.
Richard C. Kearney
and
Evan M. Berman
, 230–249.
Boulder: Westview
, 1999.
45.
Li, Ruhai
, and
Zeng Yumin
. Ganbu xiang gongwuyuan gedu shiwu (A practical handbook of civil
service transition).
Beijing: Zhongguo renmin chubanshe
, 1994.
46.
Li, Yonggen
. Bada xitong—Shenzhen xingzheng guanli tizhi gaige tansuo
(Eight major systems: an investigation on the administrative reform in
Shenzhen).
Shenzhen: Haitian chubanshe
, 1998.
47.
“Lianyuanshi niandu kaoke xiaoguo hao” (Achievements in
the reform of annual appraisal in Lianyuan city). Zhongguo renshi
bao (Chinese personnel post), 25 December 1998, 3-3.
48.
Lu, Ruifeng
. Shenzhen ganbu zhidu gaigelun (Discussions on the reform of the cadre
system in Shenzhen).
Guangzhou: Haitian chubanshe
, 1997.
49.
Mani, Bonnie G.“Performance Appraisal Systems, Productivity, and Motivation: A
Case Study”
. Public Personnel Management31, no. 2 (2002):
141–159
.
50.
Manion, Melaine
. Retirement of Revolutionaries in China.
New Jersey: Princeton University Press
, 1993.
51.
Matland, Richard C.“Synthesizing the Implementation Literature: The
Ambiguity-Conflict Model of Policy Implementation”
. Journal of Public Administration Research and Theory5, no. 2 (1995):
146–170
.
52.
O’Brien, Kevin J.
, and
Li Lianjiang
.
“Selective Policy Implementation in Rural China”
. Comparative Politics31, no. 2 (1999):
167–189
.
53.
Oi, Jean C.Rural China Takes off.
Berkeley: University of California Press
, 1999.
54.
Pynes, Joan E.Human Resources Management for Public and Nonprofit Organizations.
San Francisco: Jossey-Bass Publishers
, 1997.
55.
“Reform to Foster Competent Cadres”. China
Daily, 23 November 1998, 4-4.
56.
Ren, Su
.
“Zhua biaojin lianghuai, zhong tuixian jieguo”
(Emphasizing quantified indicators and concrete result)
. Zhongguo gongwuyuan (Chinese public servant), no.
5 (2001):
40–41
.
57.
Sabatier, Paul A.“Towards Better Theories of the Policy Process”
. PS: Political Science and Politics24, no. 2 (1991):
147–156
.
58.
Schurmann, Franz
. Ideology and Organization in Communist China.
Berkeley and Los Angeles: University of
California Press
, 1968.
Smith, Wanda J.
,
K. Vernard Harrington
, and
Jeffrey D. Houghton
.
“Predictors of Performance Appraisal Discomfort—A
Preliminary Examination”
. Public Personnel Management29, no. 1 (2000):
18–31
.
66.
Takahara, Akio
. The Politics of Wage Policy in Post-Revolutionary China.
London: Macmillan
, 1992.
67.
Tang, Daiwan
, and
Tang Xiaoyang
.
“Guojia gongwuyuan zanxing tiaoli zai shishizhong de wenti jiqi
duice” (The implementation problems and solutions of provisional
regulations of the state civil servant)
. Gonggong xingzheng yu renli ziyuan (Public administration and human
resources), no. 27 (1999):
27–31
.
“Unqualified Public Servants Dismissed in Hunan” (text),
8 February 1998. Transl. Foreign Broadcast Information Service. FBIS Daily
Report—China, 11 February 1998, FBIS-CHI-98-039.
70.
Walder, Andrew G.Communist Neo-Traditionalism: Work and Authority in Chinese Industry.
Berkeley: University of California Press
, 1986.
71.
Whiting, Susan H.Power and Wealth in Rural China: The Political Economy of Institutional
Change.
Cambridge: Cambridge University Press
, 2001.
72.
“Woguo renshi zhidu gaige buduan shenru, guojia gongwuyuanzhidu
jiben jianli” (China has deepened personnel reform and basically
established civil service system), Renmin ribao
(People’s daily),
<http://202.99.23.245/08/15/current/newfiles/c1020.html>
(accessed 29 December 2001).
Xinhuashe
. Zhonghua renmin gongwuguo nianjian 1998 (Yearbook of People’s
Republic of China 1998).
Beijing: Zhonghua renmin gongheguo nianjian chubanshe
, 1998.
75.
Xiu, Liu
. Zhongguo gongwuyuan zhidu (Chinese civil service system).
Beijing: Tsinghua daxue chubanshe
, 2002.
76.
Xu, Liming
, and
Yang Chaoren
. Zhongguo ganbu renshi guanli (Chinese cadre and personnel
management).
Beijing: Zhongguo renshi chubanshe
, 1998.
77.
Ye, Bing
.
“Jingzheng shanggan guaitai zhongzhong” (Awkward
phenomena in open recruitment)
. Rencai kaifa (Talent exploitation), no. 145
(1998):
40-40
.
78.
Zhong, Yang
. Local Government and Politics in China: Challenges from Below.
Armonk, NY: M. E. Sharpe
, 2003.
79.
Zhonggong Hubei shengwei zuzhibu yanjiuzu
. “Tuijin dangzheng lingdao ganbu nengshangnengxia wenti
yanjiu” (A research on implementing promoting and demoting leading
cadres). In Zuzhi gongzuo yanjiu wenxuan shang (A collection of
research manuscripts of organization work, vol. 1), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 120–124.
Beijing: Dangjian duwu chubanshe
, 1999.
80.
Zhonggong Jilin shengwei zuzhibu yanjiuzu
. “Guanyu buchengzhi dangzheng lingdao ganbu xia de wenti de
tiaocha yu sikao” (A research and reflection on demoting leading
cadres with unsatisfactory performance). In Zuzhi gongzuo yanjiu
wenxuan shang (A collection of research manuscripts of organization work, vol.
1), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 399-399.
Beijing: Dangjian duwu chubanshe
, 1999.
81.
Zhonggong Liaoning shengwei zuzhibu yanjiuzu
. “Guanyu wanshan xianshi dangzheng lingdao banzi gongzuo
shizhi kaoke zibiao tixi wenti de yanjiu baogao” (A research report
concerning improving performance indicators for evaluating the leadership groups
in county/city governments). In Zuzhi gongzuo yanjiu wenxuan shang
(A collection of research manuscripts of organization work, vol. 1), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 175–195.
Beijing: Dangjian duwu chubanshe
, 1999.
82.
Zhonggong Neimenggu zizhiqu quwei zuzhibu
. “Guanyu ganbu shizhi kaoke de shixian yu sikao”
(Practices and reflection on implementing cadre appraisal). In
Shisida yilai ganbuzhidu gaige jinyan xuanbian (A collection of articles on
cadre system reform since the Fourteenth National Congress of Communist Party of
China), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 170–191.
Beijing: Dangjian duwu chubanshe
, 1999.
83.
Zhonggong Ningbo shiwei zuzhibu tiaoyanzu
. “Ganbu gongzuozhong guanche qunzhong gongren yuanze fangfa
de tiaoyan sikao” (A research and reflection on applying mass line
principle to cadre work). In Zuzhi gongzuo yanjiu wenxuan zhong (A
collection of research manuscripts of organization work, vol. 2), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 126-126.
Beijing: Dangjian duwu chubanshe
, 1999.
84.
Zhonggong Shanxi shengwei zuzhibu
. “Guanyu jinzhong diqu ganbu zhidu gaige de
tiaocha” (A survey concerning cadre system reform in Jinzhong
prefecture). In Shisida yilai ganbuzhidu gaige jinyan xuanbian (A
collection of articles on cadre system reform since the Fourteenth National
Congress of the Communist Party of China), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 313–323.
Beijing: Dangjian duwu chubanshe
, 1999.
85.
Zhonggong Tianjin shiwei zuzhibu yanjiuzu
. “Guanyu ganbu xuanba renyong gongzuozhong guanche qunzhong
gongren yuanze fangfa de tiaocha yu sikao” (A research and reflection
on applying mass line principle to cadre appointment and promotion). In
Zuzhi gongzuo yanjiu wenxuan shang (A collection of research manuscripts of
organization work, vol. 1), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 17–28.
Beijing: Dangjian duwu chubanshe
, 1999.
86.
Zhonggong Xi’an shiwei zuzhibu yanjiuzu
. “Ganbu gongzuozhong guanche qunzhong gongren yuanze fangfa
yanjiu” (The methods of applying mass line principle to cadre
work). In Zuzhi gongzuo yanjiu wenxuan zhong (A collection of research
manuscripts of organization work, vol. 2), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 88–100.
Beijing: Dangjian duwu chubanshe
, 1999.
87.
Zhonggong Zhejiang sheng taizhou shiwei zuzhibu tiaoyanzu
. “Taizhoushi dui ganbu shixing liti kaoke de
tansuo” (An exploration on Taizhou city’s cadre appraisal
from different perspectives). In Shisida yilai ganbuzhidu gaige
jinyan xuanbian (A collection of articles on cadre system reform since the
Fourteenth National Congress of the Communist Party of China), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 199-199.
Beijing: Dangjian duwu chubanshe
, 1999.
88.
Zhonggong zhongyang Wuxi shiwei zuzhibu
, “Tuixing xian shi dangzheng lingdao banzi gongzuo shizhi
kaoke de shijian” (Implementation of appraisal of leadership groups in
county/city governments). In Shisida yilai ganbuzhidu gaige jinyan
xuanbian (A collection of articles on cadre system reform since the Fourteenth
National Congress of the Communist Party of China), ed.
Zhonggong zhongyang zuzhibu yanjiu bangongshi
, 213–222.
Beijing: Dangjian duwu chubanshe
, 1999.
89.
Zhonggong zhongyang zuzhibu dangjian yanjiu zhongxin
, ed. Dangde jianshe dashiji (The important issues of party
building).
Beijing: Dangjian duwu chubanshe
, 1997.
