公務員廉政倫理規範之回應性評估研究--以交通部公路總局為例

Research of the Responsive Evaluation of the Ethics Directions for Civil Servants – A Case Study of the Directorate General of Highways of the Ministry of Transportation of Communications

吳季娟(CHI-CHUAN WU)

指導教授 ： 張四明

國立臺北大學/公共事務學院/公共行政暨政策學系碩士在職專班/碩士(2014年)

摘要

97年8月1日公務員廉政倫理規範施行，全部條文計20點，99年7月30日新增規範第8點，條文合計21點。為瞭解適用對象、執行人員、承攬廠商等利害關係人，對規範之推動方式、法規內容瞭解程度、適用過程有無疑義、規範本身是否窒礙難行、法之位階是否恰當等意見之看法，根據三角交叉法(triangulation)概念的啟發，採用多元方法併用的途徑，包括文獻回顧與分析、深度訪談法及問卷調查法進行資料蒐集，藉此對規範提出政策建議。
本研究範圍針對交通部公路總局內之公務員(包含業務人員與政風人員)及互動往來之廠商為對象，瞭解其對於公務員廉政倫理規範認為適當與否、能否回應國家廉政政策、以及對政風人員推動規範過程，是否滿意等內容。採用第四代評估（Guba and Lincoln）之回應性政策評估(responsive evaluation)作為研究途徑，從「政策適當性」、「目標達成度」、「執行者意向」、「適用對象滿意度」四大指標，蒐集利害關係人的看法。
本研究結果發現: 規範部分內容及規範標準確有檢討必要、請託關說與其他法規需要通盤檢討、規範位階無須調整、宣導方式需要深化與加強、倫理登錄事件的運用與管理不彰、缺乏外部倫理監督機制、未見科學性的績效指標、倫理事件決策不夠透明公開。
針對上述發現，提出建議如後:
一、 政策面: 推動各類公務人員服務守則，研定適切之倫理規範、加速公務人員基準法立法作業，建構公務倫理之法制基礎。
二、 法制面: 定期檢討標準研提修法意見、 探討規範內容，增列態樣引導。
三、 管理面: 創意個案宣導，深化倫理教育、探討規範實施成效，建構倫理規範評估指標、建構倫理諮詢小組，公開決策結果、推動外部監督機制，降低黑箱疑慮。

關鍵字

公務員廉政倫理規範 ； 回應性評估

並列摘要

The Ethics Directions for Civil Servants, published and enforced on August 1, 2008, was composed of a total of 20 articles and was later amended on July 30, 2010 with the addition of Article 8 for a total of 21 articles. In the study, we investigate whether the interested parties, including the civil servants, enforcement officers, and contractors, have any opinions as to the enforcement of the Directions, their degree of understanding of the Directions, any possible problems resulting from the application of said Directions, possible difficulties in implementing the Directions in practice, and whether the legal hierarchy of the Directions is proper. Based on the inspiration of the concept of Triangulation, we employed multiple methods, including literature review and analysis, extensive interviews, and questionnaires to collect any necessary data and further provide our policy suggestions to the Directions.
The objects of this study are the civil servants (including case officers and ethic officers) of the Directorate General of Highways, MOTC, and the contractors who have business involvements with said servants. We investigate their opinions regarding whether the Directions are proper, whether they are capable of meeting the government's anti-corruption policies, and whether they are satisfied with the process with which ethic officers enforce said mechanism. The fourth generation evaluation method proposed by Guba and Lincoln, Responsive Evaluation, is employed in this study, and we collect and categorize those opinions into four major indices, including “Appropriateness of the Policy," "Achievement Percentage", "Enforcer's Intent", and "Satisfaction of the Persons on Whom it Is Applied"
We found in this study that parts of the articles and standards in the Directions require further amendments. Provisions concerning entreating or lobbying are subject to comprehensive reviews. The legal hierarchy of the Directions does not need to be changed, but its promotion methodology should be both deepened and strengthened. Furthermore, it has been found that the management and application of the ethics cases reporting and registration system does not function properly, that the external ethic supervising mechanism is insufficient, that any scientific performance indicators are absent, and that the decision-making procedure regarding ethics cases is not transparent or publicly known.
To respond to the above noted findings and defects, we proposed the following:
1. Policy Approach: promote the service guidelines of civil servants of any fields, develop a set of appropriate ethic norms, facilitate the legislation of the Civil Servant Basic Law, and create the legal basis of civil ethics.
2. Legal Approach: review current standards and encourage amendments regularly, and research the Directions, supplementing them with case studies and scenarios.
3. Management Approach: promote creative case scenarios, implement ethics education, review the performance of enforcement, construct an ethics norms evaluation index, form an ethics consultation group, open the decision-making procedure to the public, promote an external supervising mechanism, and reduce any suspicions regarding under-the-table operations.

並列關鍵字

Ethics Directions for Civil Servants ； Responsive Evaluation

參考文獻

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