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  • 學位論文

中央對地方政府補助計畫之可評估性衡量與執行評估 —以城鎮風貌型塑整體計畫為例

An Evaluability Assessment and Implementation Evaluation on Central Government to the Local Governments – Using an Integrated Formation Project of Rural and Urban Areas as an Example

指導教授 : 趙永茂
共同指導教授 : 王宏文(hongwung@ntu.edu.tw)
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摘要


臺灣長期以來,地方財政窘困,倚賴中央財政補助情形始終顯著,其中重要機制之一,係以中央以計畫型補助模式來引導地方實踐中央要推動的政策,因此,補助款一直是一項中央影響地方的重要工具與途徑。迄今,這項中央藉以掌控地方的工具仍持續扮演重要角色。 對於計畫的投入、透過活動、產出到成果,整體計畫績效的議題,不論是在私部門或公部門,國內或國外均受到高度重視,尤其在面對很多計畫投入資源後並未產生預期效益時,計畫的評估更顯得有其必要性。但由於知識與技能專業的不同,以及政府組織與制度設計因素,與評估量能的不足,時間、人力與財力的不足,計畫評估常有其限制與不足。計畫的可評估性衡量(evaluability assessment, EA)即是在計畫評估之前,檢驗一個方案或計畫是否能被評估。 在中央對地方計畫型的補助計畫中,臺灣城鄉風貌的計畫內涵豐富且實施迄今已十餘年,極具有代表性。迄今,城鄉風貌計畫的發展呈現出臺灣空間景觀發展的價值與發展脈絡,內涵公民參與、環境改造、空間景觀等元素。中央持續導入全球因應氣候變遷訴求永續發展的趨勢,以及跨域合作等理念,至本期「城鎮風貌型塑整體計畫 (民國102-105年)」,更在策略與內涵加入跨域加值、自償率等新元素,以因應區域發展與紓解財務窘困議題。 本研究擇取城鎮風貌型塑整體計畫,作為中央對地方計畫型補助計畫個案之評估衡量與評估研究,一則以此當期計畫正值轉型確有必要檢視計畫的規劃設計,二則考量以往我國政府計畫未實施可評估性衡量。因之,本研究試圖導入計畫可評估性衡量 (Evaluability Assessment, EA),期衡量結果可提出強化計畫理論與邏輯模式,加強計畫設計之因果鏈,與目標目的之明確性與合理性,為計畫規劃調整參考;此外,就現行計畫進行執行評估,深入了解現行計畫執行狀況、問題與其原因。嘗試建構我國中央補助地方城鎮風貌更嚴謹的執行評估模式,作為日後強化作法之參考,藉以改進此類計畫的評估,俾利中央對地方補助型計畫更具效益並符計畫預期目標。 本研究因係對計畫進行可評估性衡量與執行評估,除了一般常用之文獻分析法、深度訪談法、焦點團體座談法等,並進行可評估性衡量與執行評估。整體言,以質性研究法為主。研究結論提出三面向之政策建議:一、計畫的規劃設計面:(一) 調整計畫組織結構與強化整備量能,以因應跨域整合創新政策;(二)重新設定計畫的目的與目標;(三)重新調整計畫總經費現行不確定之總額作法,使確定總投入資源以利設定目標;(四)配合新目標與因應計畫轉型整備需要,調整設定合理計畫期程;(五)計畫自償率議題的再釐清。二、計畫執行面:(一)專業傳遞服務量能的加強整備;(二)強化計畫機制與結構並加強落實運作。三、計畫整體面:(一)以整合建設計畫為基礎,創新引領地方中長期規劃,推動城市整體發展願景型塑,以有效引導提升城市競爭力;(二)跨域整合建設計畫對地方發展影響更大,尤應擴大與深化在地居民的參與;(三)落實實現中央與地方的夥伴關係,實現中央與地方適度分權。

並列摘要


For a long time, the finances of Taiwan’s local governments have been severely under-funded, have long reled on subsidies from the central government. Among the available mechanisms, program grants have been utilized to guide the local governments in implementing the policies of the central government. Therefore, program grants has always been an important tool and means for the central government to influence the local governments. Assessment topics starting from the initial commitment, proposed projects and activities, to results and achievements, are all highly studied in both public and private sectors. The evaluability assessment (EA) is utilized, prior to evaluation, to examine whether a program can be evaluated; through the analysis of the theory and logical model of the program, to clarify whether the program is logically correct; and whether the investments and activities devoted to the program can achieve the stated goal. In summary, evaluability assessment is an effective tool used economically and rapidly examine the evaluability of a program before the actual program evaluation. Under the planned subsidies from the central government to the local governments, the plans for shaping rural Taiwan are highly diverse and have been on-going for more than 10 years. These plans arose in the 1990’s due to the disappearance of rural landscape and growing environmental concerns. The government began planning the reformation of rural landscape, and proposed plans for action. Currently, plans for the reformation of rural landscape has exhibited the value in the development of Taiwanese landscape space, and the history of its development, including elements such as citizen participation, environmental reclamation, and landscape space design. In the current Comprehensive Plan for Rural Reformation (2013-2016), further incorporates new elements such as cross-boundary value-added and self-liquidation ratio to its core strategy, in order to face the challenges of local development and budget relief. This research has chosen the plan for rural reformation as an example for the evaluation of project subsidies by the central government in local projects; first, the plan is currently undergoing transitions and is in need of evaluation for the transitional plans; second, considering that evaluability assessment has not been carried out prior to project implementation, and reliance on ad-hoc evaluation and oversight during project execution, thus, even if the poor execution of a project is caused by problems in the initial planning, currently there is a lack of means to make large scale adjustments to the project. Therefore this research tries to introduce project evaluability assessment (EA), whose results can strengthen the theories and logic behind a project, strengthen the cause-chain in project design, and clarify and validate the goals of a project. Furthermore, conducting an evaluability assessment for a currently on-going project can enhance the understanding of the state of project execution, problems, and their causes. To perform evaluability assessment and evaluation of the project, this research has conducted literature analysis, in-depth interview, and focus group based qualitative research techniques. The results of this research lead policy recommendations in three different directions. First, in terms of project proposal design: 1) adjust project organization structure and strengthen reorganization capability to meet the needs of cross-regional innovative policies, 2) redefine project goal and target, 3) re-adjust current budgetary practice which leads to uncertainties, in order to gain a comprehensive understanding of resources to set goals and targets. Second, in terms of project execution: 1) enhance the capabilities of professional delivery services, 2) enhance project mechanism and structure, ensuring better operations. Third, in terms of comprehensive planning, 1) using integrated construction plans as basis, lead the local governments towards mid- and long-term innovation, 2) cross-regional construction projects have greater effects to local development, attempts should be made to further involve local populations, 3) ensure the realization of partnership between central and local governments, achieve a proper level of division of power.

參考文獻


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