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法官业绩评价制度的价值构建和体系补全
——基于T市18个中基层法院法官考核情况的调查
作者:孙伟  发布时间:2017-07-12 09:53:54 打印 字号: | |

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论文摘要:司法改革以来各地法院对法院业绩评价进行了多样化尝试。本文总结现行法官业绩评价制度存在的问题。提出首先要完善业绩评价制度,明确评价目的,其次要对法官特质进行共性和个性的归纳总结。最终提出要根据法官类型和改革时期的不同,分层次分时期的设计法官业绩评价制度。并建议将业绩评价回归到绩效管理体系中,补全绩效计划和绩效反馈。以完整的管理体系达到员额制法官以法官为中心的目的。

关键词:业绩评价 价值 指标 体系 

 

引言

自上世纪90年代中后期开始,法官绩效管理考核在法院审判管理改革中日益凸显,成为法院管理的重要手段。[1]而随着2011年最高法院发文布局案件质量评估指标体系,以313级指标来衡量法院工作业绩,给法院将案件质量评估融合进法官绩效考核。有的是直接将案件质量评估作为审判绩效考核的结果,有的是作为审判绩效考核的主要参考,部分计入审判绩效考核分数。[2]本用于考核法院的指标用于考核个人,符合法官个人特性的相关指标缺失,业绩数据化在初期能激发办案积极性,但随着工资改革和审判压力增大,绩效考评的效果逐渐减少,法官不堪重负的情况不断出现。而在司法改革中,员额制改革将改变我国法院长期以来“重集体、轻个人”的现状,在法官工作量不断增加、职业保障缺乏、司法公信力亟待重建的执业环境中,如何既有效衡量法官工作情况,又能激发法官的积极性。面对各地对法官业绩评价的探索,有必要对此进行梳理,让法官业绩评价系统的为法官员额制服务。

一、现状调查:法官业绩评价机制的演变及实情

我国在历次“五年改革”中都对法官考核做出了贯彻和拓展,对法官的考核贯穿了法院改革的全过程,整体呈现递进式完善的趋势,但该项制度具体实施过程中实然状况并不理想。

(一)历史分析:法官业绩评价的演变

《法官法》对法官考核的形式、内容以及作用进行了规定,此后一系列的政策已形成一条脉络完整的法官业绩评价运行思路。(详见下图)



    对此进行总结分析,可以得出如下结论:

1、考核模式从行政考核向符合法官特征模式转变。二十年间法官考核的名称产生多次变化,由最初的“考核”,历经“考评”、“绩效”、“业绩评价”[3]。可以推断,随着对审判工作与一般政府公共管理工作之间差别的认识,法院通过判断去维护社会公正的目的凸显,最终考核中“考”的目的减少,“评”的目的加强。

2、考核指标变化较小。考核内容除了增加了外部评价,并未有较大变化。总体仍以法官工作业绩即办案数量和质量为主。但二五改革纲要提出要根据法官特点和不同岗位要求科学设计考评项目。大部分法院对此并未做到,只有部分地方法院做出了有益尝试。

3、考评结果运用逐渐理性。相较《法官法》,四五改革纲要对于考评结果的运用删除了“奖惩”培训和辞退,而增加了法官任职、晋职晋级等形式。考评者不再决定被考评者的“出”,考评结果不具备惩罚意义,逐渐转变为对法官能力的评价。

(二)实情调查:T市基层法院业绩评价情况

最高法院并未制定法官业绩评价的细则,各地法院根据自身对最高法院确立的运行思路的理解自行设计业绩评价方式。为调查法官业绩评价的具体情况,笔者设计问卷向T市基层法院发放,收集一线法官对于法官绩效考核的相关意见以及各法院业绩评价的实际情况。[4]

1.业绩评价制度化程度较低



    89%的法院都对法官进行业绩评价,11%的法院未进行考评,反馈系因以前法官个人考核是与绩效奖励挂钩,绩效奖励取消后自然就不进行考评。而截然相反的是,只有有33%的法院形成了业绩评价的文件。缺乏制度化的结果是最终评价方式的不确定。

2.业绩评价的方式多样化

半数法院采取量化打分的定量考评方式和考核评语的定性方式相结合的形式对法官进行考评,单纯考核评语方式考核的仅占13%



    3.法官业绩评价目的认同


    鉴于法官业绩评价除了提高办案效率,其他目的均是根据学者观点和改革实际需求进行设计。提升办案效率理所当然的获得最大的支持率,其次依次为晋升奖惩依据、提高法官自身认识,而“上级遴选依据”目的垫底。


(三)文本分析:样本法院绩效考核办法之比较

为进一步了解业绩评价制度建设情况,笔者调取了T市四个中基层法院[5]制定的绩效考核办法以及两个不同类别的司法改革先行试点法院上海二中院(系统改革)和深圳福田法院(审判团队建设)的绩效考核办法进行比较,探讨法官绩效考核制度化的多样化模式。

1.独立设定

绩效办法存在两种设定模式,一是独立考核模式。上海二中院制定了单独的法官考评办法对法官进行单独考评,又制定了《岗位绩效考核办法》对业务庭、综合部门的考核指标进行单独设定。TY中院也同样制定了单独的法官考评办法。另一模式则是混合模式,即与部门绩效考核办法合并,对部门需承担的绩效考核指标全部或者部分作为法官个人考核指标。其他四个法院都采取此办法。

2.考核制度完整性

完整的绩效考核制度应当包括考核目的、原则、主体、客体、内容和方法、程序(包括申诉权利)、结果设置和利用等一系列程序。上海二中院和福田法院都作出了比较完整的规定。Y中院、B区法院、G区法院对上述大部分内容作了较简略规定,D区法院则仅对考核指标进行设计,对其他内容并未涉及。

3.指标设置

指标设置是绩效考核制度的核心。各法院大都设定了一些共性指标、并针对部门特征设计乐个性指标。但审判部门考核指标较多,量化程度高。行政部门以及研究室等综合审判部门的指标则以条文列举为主,量化程度低。以审判业务法官考核指标设计为例,六个法院的指标繁简程度并不相同。繁简和追究效果存在明显差异,最少的上海二中院只有十个指标,最多的D法院则设置了19个指标。(详见下图)



    二、抽丝剥茧:法官业绩评价的困境和需求

世界各国对法官普遍进行考评,但其他国家的考评与我国的质量评估体系——质效考评的“量化”相比,操作起来更为困难。但并非说明我国的业绩评价体系已趋于完善。一个制度的最终评价是建立在对其价值基础的实现功能上的。[6]各地法院以最高法院案件质量评估体系为蓝本对本院案件进行评估,一些省市还进行了排名,最终导致设置了少则几十项,多则上百项考核的指标被强加至法官身上加以考核。在此过程中,不断出现为了表面数字弄虚作假的情况,违背了质效考核的本意,最终最高法院取消了全国的质效排名。绩效考核制度背后的“规训逻辑”对司法规律的反动、对法官实质理性的伤害以及形成的逆向奖励和淘汰机制表明该制度是一种不成功的实践。[7]与此相比,上述法院的样本制度已经对法官的考核指标进行了缩??so-hans?设讑??院別作箰状蒌刘额制朹革?势,佻?旧??在两??。

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