Study On The Assessment And Optimization Of Pension Executive Agency's Capability

As the rapid development of pension programs, how to improve the capability of pension executive agency which is the executor of pension law and supplier of pension service has become a hot spot in academia. As to achieve the goal of improvement of the pension executive agency's capability, one of the basic prerequisite is to fully, comprehensively and objectively cognize its present situation.However, the study of the assessment of pension executive agency's capability remains in the early stages in theory and practice.Therefore, to implement the study of assessment of pension executive agency's capability not only be helpful of enhancing the understanding of public sector's internal governance law, promote the applying of government performance management theory, expand the vision of traditional social insurance research field; but also can represent a theoretical reference for new types public sector's reformation of its service and management mechanism,give a realistic thoughts of the measurement of different level's pension executive agency's capability in China,supply a realistic suggestion of promoting the equalization of pension public service and the development of social insurance program in China.Basing on a comprehensive study of the domestic and foreign literature of pension executive agency's construction, the thesis discuss the related concept and theory of pension executive capability, analyzes the current assessment method of the pension executive agency's capability combining with the theory of internal control,establish an assessment system that conforms to the requirement of performance assessment theory and reflects the basic characteristic of the pension executive agency' capability by consulting the expert, acknowledges the status and changes of the pension executive agency's capability and its extension,service, anti-fraud and internal management performance by using the statistical data between 2004 and 2013,analyzes the operating principle and successful experience of Singapore' CPF, USA'S SA and Finland's Kela and finally proposals some advises according with the principal-agent theory. The main content is as follows:The first part, "Introduction" firstly describes the background of the study from the aspects of the pension's and the executive agency's development history and the increase service requirement pressure, and then discuss the meaning of the study in theory and practice,and review the literature from four aspect:(1)the necessity of improvement of the pension executive agency's capability,(2)the nature of the agency,(3)the component of the capability,(4)the method of improvement, and finally introduces the thesis's train of thought,main content,research methods and possible innovation plot.The second part, "The Basic Concepts and Theories" defines the relative concepts such as pension executive agency, extension, service, anti-fraud and internal management and consolidation of social insurance, introduces the relative theory such as intern-control theory, performance management theory and principal-agent theory from a historical, elemental and methodological aspect.The third part, "The Status of Pension Executive Agency's Capability Assessment Method", firstly analyses the three commonly used appraisal method--target-oriented responsibility system, financial audit and working atmosphere and their definition, causation and procedures. And then discusses those method's function in promoting strategic goal, enhancing the understanding of key matters in work procedure and improving ability of communicating and gathering information and analyses the problems in target-oriented control, monitoring, evaluation of internal environment and risk assessment at the same time. Then finally discusses the reason from two aspects:(1)background of pension program development and (2)the situation of pension executive agency explains the reasons why these methods being used.The fourth part, "The Assessment System of Pension Executive Agency's Capability", firstly discusses the basic principle while establishing the system that includes scientific, systematic and operable, and then introduces the establishing procedure, and discusses the target, subject, standard and method of the system, and finally builds an assessment frame structure of extension,service, anti-fraud and internal management according with the characteristics of the pension executive agency's responsibilities and operation and then analyzes relative contents, establish a comprehensive index appraisal system that visas the validity test of specialist investigation, determines the measure method of the index combining with their distinguishing feature.The fifth part, "The Analysis of the Pension Executive Agency's Capability", firstly acquires the weight of each index in the assessment system after disposed questionnaire through investigation, and then evaluates the score of the capability of pension executive agency from 2004 to 2013 by using related Statistical data and analyzes the specific situation of its expansion, service, ant-fraud and internal management one by one.The sixth part, "The Optimization Strategy and Enlightenment of the Pension Executive Agency Capability in Foreign Country", firstly introduces the Singapore's Central Provident Fund, United State's Social Security Administration and Finland's Kela's legal duty, organization structure, operation mechanism and improvement strategy, and then gets inspiration from four aspects:1)completed pension legal system,2) reasonable organization structure,3)advanced information technology,4)perfect HR policy.The seventh part, "Conclusion and Recommendation", firstly summarizes the thesis' conclusion into four aspects:1)the assessment methods using right-now are playing a positive role but also exists some deficiencies,2)while establishing an assessment system of pension executive agency' capability, the method should be systematic, comprehensive and scientific,3)the data has shown that the capability of pension executive agency of China has improved significantly and stably,4) the optimization experience of foreign country's pension executive agency's capacity in legislation, organization structure, information technology and human resources management is useful.And then by using the principal-agent theory, the paper discusses the relationship and interactivity between the public and executive agency in ideal condition under information symmetry and realistic situation under information asymmetry and presents five suggestion: 1)supplement the pension law system,2)consolidate and vocalize the social insurance management system,3)establish a diversified and comprehensive assessment system, 4)speed up the construction of IT devices and software,5)intensify the HR management. Finally, the paper Points out three further research field:one is the dynamic adjustment of weight and standard of the content in the appraisal system, the second is the relationship between the service and internal management, the third is the study on public's satisfaction of the pension executive capability.