我國公務人員考績丙等強制比例之憲法要求與制度設計之研究

The Study on the Constitutionality of Mandatory Proportionality of C Class Civil Service Performance and its Institutional Design in Taiwan

李益賢(Yea-Shyan Lee)

指導教授 ： 黃錦堂

國立臺灣大學/社會科學院/政治學研究所/碩士(2013年)

https://doi.org/10.6342/NTU.2013.00303

摘要

考試院提出「公務人員考績法」修正草案，以「考績丙等強制比例淘汰」為手段，欲追求「提昇行政效率，改善組織績效」之立法目的，各界存有「考績丙等強制比例，要件不明確，是否違反法律明確性原則？」等合憲疑慮，並引發「排除異己工具」、「基層或新進人員先考丙」等爭議，本研究為瞭解「考績丙等強制比例淘汰制度」之合憲性，並期制度之設計係妥善的公共政策，區分為「憲法面向」與「政策面向」2面向探討，在「憲法面向」探討之問題為「考績丙等強制比例淘汰，涉及公務人員基本權，是否符合憲法要求？」，以「法律明確性原則」、「比例原則」及「正當法律程序原則」等3變項探討，另在「政策面向」探討之問題為「考績丙等強制比例淘汰之制度應如何設計，才是妥善的公共政策？」，以「臺灣政治情勢分析」、「全球化分析」、「外國立法例比較」及「考丙救濟實務分析」等4變項探討。
經探討分析後本研究發現，在憲法面向「考績丙等強制比例淘汰」尚符憲法要求，但因各界仍存有爭議，為凝聚共識、降低疑慮，宜提高合憲性；在政策面向，從「臺灣政治情勢分析」，朝野立委、中央或地方政府、公務人員等相關行為者介入並影響政策，非表象所見，其實隱含汲取政經之目的；從「全球化分析」，考績改革方案有回應全球化之影響，並有全球化的視野與思惟，但仍有不足之處，可予調整補充；從「外國立法例比較」，我國考績改革方案，宜參考外國立法例，「著重於平時考核」、「提高考績獎勵功能」、「強化考績救濟機制」、「增訂強制考丙比例」、「提高考績分權化功能」及「提高考績發展性功能」；從「考丙救濟實務分析」，保訓會對嚴重影響受考人權利之考績丙等救濟案，係採「低密度」審查，而考績改革方案之救濟保障配套機制尚不足，有補強空間。
本研究並就探討發現提出研究建議，在「憲法面向」本研究建議，「提高考丙強制比例之文義明確度」、「強化立法目的是迫切重要公益之說理」、「強化考丙程序保障」。在「政策面向」本研究建議，回應臺灣政治情勢之制度設計，包括「掌握『對的』時機提案，俾與政經環境同步發展」、「回應相關行為者的政策意見」、「加強資訊流通，促進良性溝通」；回應全球化下政經變遷之制度設計，包括「強化考績獎優之激勵機制」、「團體績效評鑑標準分權化」、「發揮考績發展性功能」；參考外國立法例之制度設計，包括「重視平時考核」、「增強考績獎勵措施」、「宜維持考丙強制淘汰制度」、「宜再強化績效評核之分權化」、「宜再強化考績發展性功能」；強化考丙救濟之制度設計，本研究建議，第3次考績丙等強制淘汰處分，以「實地訪查」及「召開審查會」方式查證事實，第2次考績丙等降級或減俸處分時，則以「召開審查會」方式審理，是否「實地訪查」得由保訓會審酌必要性決定，第1次考績丙等留原俸級處分時，是否「實地訪查」或「召開審查會」，則均由保訓會審酌必要性決定之，並建議保訓會修正「公務人員保障法」相關規定。其他研究建議，包括「考丙救濟之『言詞辯論』程序宜調整限縮」及「考丙救濟宜增設替代性程序」。

關鍵字

考績丙等淘汰 ； 法律明確性原則 ； 比例原則 ； 正當法律程序原則 ； 政治經濟 ； 全球化 ； 考績再申訴

並列摘要

Examination Yuan proposed a Draft Amendment of the Civil Service Performance Rating Act. Examination Yuan used mandatory percentage appraisal C class elimination as a way to enhance administrative efficiency and improve organization performance. However, the community has questions about the constitutionality of mandatory percentage appraisal C class is indefinite, may violate the principle of legal certainty, exclusionary different factions tool, and concerns about the level or new employees of priority appraisal Performance appraisal C class. The purpose of this study is to understand its constitutional doubt and expects its institutional design is a proper public policy.
This study is divided into constitution-oriented and policy-oriented perspectives. Constitution-oriented perspectives is to explore whether it violates the constitutional human rights guarantees public service issues. Study is based on“principle of legal certainty”and“principle of proportionality”and“due process principles”.Policy-oriented perspectives is to explore whether It should be how to design institutional, is a proper public policy. Study is based on“Taiwan's political analysis of the situation”and “globalization analysis”and“comparison of foreign legislative cases”and“performance appraisal C class relief to practice analysis”.
The study found out that on the constitution-oriented perspective, mandatory percentage appraisal C class meets constitutional requirements. The controversy remains so it is appropriate to raise the constitutionality to reduce the debate. On the policy-oriented perspective, analyzed from the political status in Taiwan, legislators, civil servants from central or governments intervened to influence the policy; as a result, other purposes about politic of economy are potential. Analyzed from globalization appraisal reform program is to respond the impact of globalization with globalized view and thinking; still it needs to be adjusted. Compared with legislative cases in other nations, we need to refer other cases to emphasize on normal performance check, to raise the performance-rewarding function, to strengthen performance remedy mechanism, to revise and augment forcing proportion of mandatory percentage appraisal C class, to enhance performance authorized function, and to raise the development function in Taiwan needs. Analyzed from practical Performance appraisal C class relief system, relief to authority has a serious impact on the right of assessee on performance appraisal C class relief. Assessed with low level lenient review, there is still more room for relief to guarantee.
This study proposed some suggestions. On constitution-oriented perspective, we can try to raise literal meaning clarity of mandatory percentage appraisal C class, to strengthen the speaking of that emphasizing law making is important public interest, to strengthen procedural safeguards of mandatory percentage appraisal C class. On policy-oriented perspective, we can try to respond to the system design of political status in Taiwan, including proposing at the right time in order to develop with politic and economy, responding the policy opinions, strengthening the rewarding performing good mechanism, decentralization on group performance assessment, elaborating then performance developing function. Learned from law cases in other nations, we can consider emphasizing on normal performance check, strengthening performance-rewarding actions, maintaining mandatory percentage appraisal C class, strengthening decentralization on performance review, strengthening performance development fuction. As for the system design of strengthening relief system of mandatory percentage appraisal C class, it is proper to verify the fact by field checking or holding the examination meeting when it comes to the third time for mandatory percentage appraisal C class.About the second time for demote or salary reduction of mandatory percentage appraisal C class, it is appropriate to hold the examination meeting. Relief to authority decides if it needs to assessed by field checking. Relief to authority decides if it needs to assessed by field checking or holding the examination meeting, when it comes to the first time is not to increase salaries. Also, we would suggest relief to authority adjust the regulations of legal protection of civil servants. Other suggestions include shrink oral debate procedure of performance appraisal C class relief and additional alternative procedures of performance appraisal C class relief .

並列關鍵字

Performance appraisal C class elimination ； principle of legal certainty ； principle of proportionality ； due process principles ； political and economic ； globalization ； Performance appraisal re-appeal

參考文獻

黃金益，2004，〈我國傳播、通信及資訊機關組織與作用法統合之研究〉，臺北：臺灣大學政治學研究所碩士論文。

李建良，1999，〈行政程序法與正當法律程序〉，《憲政時代》。

黃昭元，2004，〈憲法權利限制的司法審查標準：美國類型化多元標準模式的比較分析〉，《臺大法學論叢》。

蔡相廷，2010，〈歷史制度主義的興起與研究取向－政治學研究途徑的探討〉，《臺北市立教育大學學報》。

張志偉，2008，〈比例原則與立法形成餘地－由法律原則理論出發〉，《中正大學法學集刊》。