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研究生: 陳秋政
Chen, Chiu Cheng
論文名稱: 社會中心途徑之跨部門治理研究:以「洛杉磯河整治計畫」為例
Society-Centered Approach for the Research of Cross-Sectoral Governance: A Case Study of “Los Angeles River Revitalization Master Plan(LARRMP)”
指導教授: 江明修
Chiang, Min Hsiu
學位類別: 博士
Doctor
系所名稱: 社會科學學院 - 公共行政學系
Department of Public Administration
論文出版年: 2008
畢業學年度: 96
語文別: 中文
論文頁數: 459
中文關鍵詞: 跨部門治理社會中心途徑合作性公共管理洛杉磯河
外文關鍵詞: cross-sectoral governance, society-centered approach, collaborative public management, Los Angeles River
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  • 面對所謂棘手議題(wicked issues),本文有別於傳統府際管理及其他解析理論的分析觀點,改以跨部門治理概念探討行政轄區界線模糊,多部門、多組織同時參與標的個案之狀況。同時為處理治理概念定義模糊的問題,爰採文獻分析法將治理概念內涵區分為政府中心、市場中心及社會中心三類,並發現多數跨部門治理議題的研究,偏重應用政府與市場觀點,爰本文主張以社會中心治理途徑針對「洛杉磯河整治計畫」進行分析。簡言之,本文的研究問題包括:
    一、過往國、內外跨部門治理議題,採取哪些治理途徑?何謂社會中心治理途徑?以跨部門治理議題之規劃過程為例,其治理原則、治理結構與治理結果應有何具體主張?
    二、「洛杉磯河整治計畫」的草案規劃過程,應用哪些制度性安排,藉以產生該計畫之集體規劃成果?
    三、在前述參與機制的安排之下,研究個案的集體規劃過程是否在治理實務與理論主張之間出現落差?各部門參與狀況為何?存在哪些爭議問題?
    四、「跨部門治理」個案,在集體規劃過程應採用何種治理架構,有助於落實跨部門治理原則,以及提高各部門利害關係人對治理結果的滿意程度。

    透過上述研究問題與個案,本研究探討三個部門(sectors)間如何(How)「合作」(collaboration)或如何促進合作,以達成共識的問題;又或者從反面來說,是探討哪些因素影響了跨部門合作,三個部門之間存在哪些衝突。從個案研究出發,則關心個案為何(Why)合作成效不佳或無法合作的問題,同時以提出促進合作、參與的制度性安排(What)為目標。
    文獻歸納指出,為促進跨部門治理的成效,應堅持公共性、課責與公共參與作為治理原則。就治理結構而言,必須觀察各部門利害關係人於個案參與機制中落實治理原則的程度,並指出應以合作性公共管理作為促進部門間合作的工具。就治理結果而言,則建議對政策利害關係人進行態度調查,詢問對政策結果的滿意與支持程度,亦即以正當性與承諾作為治理結果的指標。
    本研究內文在介紹洛杉磯河整治計畫的推動過程、內容與規劃草案結果後,指出其乃是洛杉磯市府會高度共識下的政策產物,並由議會發動的跨部門治理個案。在個案之規劃過程,執行重心乃是由市政府團隊所主導,安排「社區座談會、諮詢委員會、同儕評論委員會、利害關係人委員會、任務小組會議」等五類官方主辦的參與機制,以期落實公眾參與該政策規劃過程的目的;草案規劃期間,洛杉磯河特別委員會則擔任監督的角色。
    研究發現各部門參與者多數認同也支持整治計畫的願景與草案規劃內容。但整體而言,仍發現部分有待改善的重要問題,分別為受訪者對治理原則的落實存在權變的觀念,政府部門以外的參與者代表性仍嫌不足,對於社會弱勢議題缺乏討論與回應,缺乏明確的責任歸屬與課責結構安排,未臻透明的決策議價過程。再者,從治理結果的角度來分析,對草案規劃結果抱持不滿態度者多數來自整治區,對規劃結果未表支持者多為男性、30歲以上、政府部門以外之受訪者、來自整治區、參與時間點較早;特別是針對整治的經濟利益與所需經費來源的估算,表示了高度的質疑。
    儘管個案規劃過程仍有前述疑義,但在參與觀察的過程,研究者發現個案所處系絡具有較為成熟的社會條件,對於治理原則的認同程度彰顯了公民社會的成熟,也奠定尋求部門間合作的可能性。就跨部門治理之規劃個案而言,本文建議以樹立治理原則為先,進而逐步將其落實於參與過程及相關機制設計之內,最後則可透過正當性與承諾對集體參與之規劃成效加以評估。在研究調查資料與參與觀察的基礎之上,本文運用John Clayton Thomas所提出之「公共涉入形式矩陣」,將洛杉磯河整治計畫草案之規劃過程定位為「修正的獨立自主管理決策」,意指徒具參與形式的決策類型。依據本研究之個案分析架構,本文為洛杉磯河整治計畫之規劃過程提出十三項建議,於下分述之:
    一、就制度性安排而言
    (一)規定弱勢團體最低代表制;(二)公布各委員會之委員遴選標準、程序與職權;(三)訂定跨部門治理個案之責任宣言;(四)增辦弱勢團體公共會議;(五)善用既有公、私渠道以彙整利害關係人的建議。
    二、就部門參與而言
    (一)建立主動的意見回饋系統;(二)提高各類資訊的曝光度;(三)擴大計劃團隊、減小公共會議規模。
    三、就提高規劃草案結果的「正當性」而言
    (一)進行部門間的規劃溝通會議;(二)進行二度訪視/會談計畫;(三)避免由上而下的事前提議。
    四、就提高利害關係人對草案結果的「承諾」而言
    (一)進行施政成效行銷;(二)縮小計畫範圍,推動先導型計畫為先。

    總結研究「洛杉磯河整治計畫」所獲得之啟示,在研究層面確認政府機關在跨部門治理議題中,其扮演的角色不因營利及非營利部門的涉入而被取代,反倒是承擔關鍵整合者的角色,應以合作促進政策議題得以被妥善解決。對本土的啟示而言,社會條件的成熟程度乃是推動跨部門治理的重要因素,無論是公民資格的養成或公民社會的建立,都將有利政策參與環境的鞏固。對土本同質個案的啟示而言,以台北市政府目前積極推動的「活化淡水河系」政策為例,其政策倡議的源頭與洛杉磯河整治計畫絕然不同,規劃、整合、執行及監督的分工亦尚未明朗,民間力量的參與渠道亦尚未建立。質言之,若以洛杉磯河整治計畫草案的規劃經驗為鑑,要避免陷落於「獨立自主決策」類型,建議除了持續健全社會條件之外,在參與機制的安排上,應妥善顧及公共性、課責及公共參與等治理原則,以社會中心治理途徑平衡過渡傾向政府主導、市場取向的規劃觀點。


    第一章 緒論……………………………………………………………… 1
    第一節 研究背景與動機………………………………………………… 1
    一、研究背景………………………………………………………………… 1
    二、研究動機………………………………………………………………… 7
    第二節 研究範圍、目的與問題………………………………………… 9
    一、研究範圍………………………………………………………………… 9
    二、研究目的與問題………………………………………………………… 11
    第三節 名詞辯正與定義………………………………………………… 13
    一、“governing”(統理)與”governance”(治理)…………… 13
    二、”government”(政府)與”governance”(治理)………… 13
    三、”collaboration”(合作)與”cooperation”(協力)…… 15
    四、”boundary-spanning”、”across area”與”across boundaries”………………………………………………………………… 16
    五、「跨域管理」、「跨域治理」、「跨部門治理」…………………… 17
    六、跨部門治理的定義……………………………………………………… 19
    第四節 研究方法………………………………………………………… 20
    一、文獻分析法……………………………………………………………… 20
    二、個案研究法……………………………………………………………… 20
    三、問卷調查法……………………………………………………………… 21
    四、參與觀察法……………………………………………………………… 21
    五、內容分析法……………………………………………………………… 22

    第二章 文獻回顧與分析………………………………………………… 23
    第一節 國內相關文獻…………………………………………………… 23
    第二節 國外相關文獻…………………………………………………… 26
    一、理論層面的文獻………………………………………………………… 26
    二、實務層面的文獻………………………………………………………… 36
    (一)美國實務文獻………………………………………………………… 37
    (二)非美國實務文獻……………………………………………………… 43
    第三節 分析與比較……………………………………………………… 46
    一、治理途徑分析…………………………………………………………… 46
    (一)政府中心治理途徑…………………………………………………… 47
    (二)市場中心治理途徑…………………………………………………… 48
    (三)社會中心治理途徑…………………………………………………… 48
    二、跨部門治理議題的困境………………………………………………… 51
    (一)理論層面的困難……………………………………………………… 52
    (二)實務層面的困難……………………………………………………… 56

    第三章 社會中心治理途徑之建構……………………………………… 60
    第一節 以「治理」作為基礎…………………………………………… 60
    一、治理概念的多元性……………………………………………………… 61
    二、社會中心途徑的治理要點……………………………………………… 65
    第二節 治理原則………………………………………………………… 70
    一、公共性…………………………………………………………………… 70
    二、課責……………………………………………………………………… 73
    三、公共參與………………………………………………………………… 76
    第三節 治理結構………………………………………………………… 82
    一、合作性公共管理………………………………………………………… 83
    二、發展合作工具…………………………………………………………… 94
    三、合作治理的維繫………………………………………………………… 100
    第四節 治理結果………………………………………………………… 104
    一、正當性…………………………………………………………………… 104
    二、承諾……………………………………………………………………… 106
    第五節 分析架構與內涵說明…………………………………………… 109
    一、治理原則………………………………………………………………… 110
    (一)公共性………………………………………………………………… 111
    (二)課責…………………………………………………………………… 111
    (三)公共參與……………………………………………………………… 111
    二、治理結構………………………………………………………………… 112
    (一)制度性安排…………………………………………………………… 112
    (二)參與…………………………………………………………………… 113
    三、治理結果………………………………………………………………… 114
    (一)正當性………………………………………………………………… 114
    (二)承諾…………………………………………………………………… 114

    第四章 個案介紹與研究設計…………………………………………… 115
    第一節 研究個案介紹…………………………………………………… 115
    一、研究個案之選擇理由及其重要性……………………………………… 115
    二、洛杉磯河簡史…………………………………………………………… 116
    三、洛杉磯河特別委員會…………………………………………………… 118
    (一)發展過程……………………………………………………………… 118
    (二)組織結構……………………………………………………………… 119
    (三)組織分工……………………………………………………………… 119
    四、洛杉磯河整治計畫……………………………………………………… 121
    (一)計畫期程……………………………………………………………… 121
    (二)計畫範圍……………………………………………………………… 121
    (三)洛杉磯河整治計畫之專案目的……………………………………… 122
    (四)五大機會區…………………………………………………………… 122
    第二節 整治計畫與分析架構…………………………………………… 124
    一、治理指導原則…………………………………………………………… 124
    二、參與部門及其成員……………………………………………………… 125
    三、制度性安排……………………………………………………………… 127
    四、「洛杉磯河整治計畫」草案之執行摘要……………………………… 129
    第三節 研究設計………………………………………………………… 137
    一、分析單位………………………………………………………………… 137
    二、施測平台、抽(取)樣與統計方法…………………………………… 141
    (一)線上施測平台………………………………………………………… 141
    (二)滾雪球取樣法………………………………………………………… 142
    (三)統計方法……………………………………………………………… 142
    三、問卷設計與實施………………………………………………………… 142
    (一)預試階段……………………………………………………………… 143
    (二)前測階段……………………………………………………………… 143
    (三)正式施測階段………………………………………………………… 144
    四、問卷效度與信度說明…………………………………………………… 146

    第五章 研究分析與討論………………………………………………… 148
    第一節 個案之描述性統計分析………………………………………… 148
    一、樣本資料分析…………………………………………………………… 148
    二、參與狀況分析…………………………………………………………… 152
    第二節 個案「治理原則」之跨部門分析……………………………… 160
    一、公共性…………………………………………………………………… 160
    二、課責……………………………………………………………………… 162
    三、公共參與………………………………………………………………… 163
    第三節 個案「治理結構」之跨部門分析……………………………… 166
    一、Publicness in the process of LARRMP……………………… 166
    二、Accountability in the process of LARRMP………………… 168
    三、Public Participation in the process of LARRMP……… 171
    第四節 個案「治理結果」之跨部門分析……………………………… 174
    一、正當性…………………………………………………………………… 174
    二、承諾……………………………………………………………………… 177
    第五節 洛杉磯河整治計畫規劃模式之分析…………………………… 180
    一、規劃決策的模式分析…………………………………………………… 180
    二、洛杉磯河整治計畫的決策類型定位…………………………………… 184

    第六章 結論……………………………………………………………… 188
    第一節 研究建議………………………………………………………… 189
    一、「治理原則」的建議…………………………………………………… 189
    二、「治理結構」的建議…………………………………………………… 191
    三、「治理結果」的建議…………………………………………………… 192
    四、理想的「跨部門治理經驗」…………………………………………… 194
    第二節 研究啟示與限制………………………………………………… 196
    一、研究上的啟示…………………………………………………………… 196
    二、對本土的啟示…………………………………………………………… 197
    三、研究限制………………………………………………………………… 200
    第三節 後續研究建議…………………………………………………… 202
    一、進行研究個案之深度訪談……………………………………………… 202
    二、進行本土個案研究……………………………………………………… 202
    三、研究方法上的建議……………………………………………………… 203
    四、重視跨部門合作議題之研究…………………………………………… 203

    參考書目……………………………………………………………………… 204

    圖目錄
    圖1-1:跨部門治理議題之研究定位說明…………………………………… 11
    圖3-1:組織參與跨部門社會問題解決合作的前提要件分析……………… 102
    圖3-2:政治權威對組織行為影響的三位一體模式………………………… 105
    圖3-3:分析架構……………………………………………………………… 110
    圖4-1:二元模式:使命管理與共享的政策及行政責任區分圖…………… 120
    圖4-2:「洛杉磯河整治計畫」草案規劃過程之分析架構………………… 124
    圖5-1:有效合作過程的策略圖……………………………………………… 181
    圖5-2:公共涉入之有效決策模式…………………………………………… 183

    表目錄
    表1-1:從政府到治理:轉換的焦點………………………………………… 14
    表2-1:管理複數決策的途徑類型…………………………………………… 27
    表2-2:全觀治理階段目標與支持機制……………………………………… 30
    表2-3:複雜性、動態性、多樣性與政府型態……………………………… 33
    表2-4:設計類型的比較……………………………………………………… 35
    表2-5:夥伴關係類型………………………………………………………… 37
    表2-6:公民參與模式特徵分析……………………………………………… 43
    表2-7:菁英規劃的三種模式………………………………………………… 47
    表2-8:治理途徑類型整合表………………………………………………… 49
    表2-9:合作觀點的跨學科光譜分析………………………………………… 55
    表3-1:治理相關定義整理…………………………………………………… 66
    表3-2:參與類型……………………………………………………………… 79
    表3-3:夥伴關係組成表……………………………………………………… 84
    表3-4:合作意義的類型分析………………………………………………… 86
    表3-5:主動型及依賴型夥伴關係的特徵對照……………………………… 87
    表3-6:「合作性公共管理」相關研究一覽表……………………………… 88
    表3-7:治理類型……………………………………………………………… 91
    表3-8:公共涉入技術比較…………………………………………………… 97
    表3-9:評估合作規劃計畫執行的架構表…………………………………… 101
    表3-10:兩種觀點下的承諾:組織行為與理性選擇……………………… 108
    表4-1:四大機會區可能的經濟發展計畫之估算…………………………… 135
    表4-2:研究個案之參與部門及其成員分類………………………………… 140
    表4-3:正式問卷寄發與回收統計…………………………………………… 146
    表5-1:公共涉入形式的矩陣說明…………………………………………… 182

    附錄
    附錄1:國內相關研究之整理………………………………………………… 241
    附錄2:研究範圍說明表……………………………………………………… 254
    附錄3:治理結構特徵表……………………………………………………… 255
    附錄4:過程價值與治理結構………………………………………………… 256
    附錄5:「洛杉磯河整治計畫」之執行進度、相關會議時程與議程……… 257
    附錄6:洛杉磯河特別委員會2003年相關洛杉磯河事務之會議內容摘錄… 260
    附錄7:洛杉磯河特別委員會2004年相關洛杉磯河事務之會議內容摘錄… 263
    附錄8:洛杉磯河特別委員會2005年相關洛杉磯河事務之會議內容摘錄… 265
    附錄9:洛杉磯河特別委員會2006年相關洛杉磯河事務之會議內容摘錄… 267
    附錄10:洛杉磯河特別委員會2007年相關洛杉磯河事務之會議內容摘錄 269
    附錄11:「洛杉磯河整治計畫」環境影響評估調查之摘要……………… 270
    附錄12:「洛杉磯河整治計畫」環境影響評估報告之摘要……………… 272
    附錄13:「洛杉磯河整治計畫」相關媒體報導彙整表…………………… 274
    附錄14:「洛杉磯河整治計畫」專案團隊之組成表……………………… 276
    附錄15:「洛杉磯河整治計畫」同儕評論委員會成員名單……………… 276
    附錄16:「洛杉磯河整治計畫」利害關係人名冊………………………… 277
    附錄17:「洛杉磯河整治計畫」任務小組成員表………………………… 278
    附錄18:「洛杉磯河整治計畫」諮詢委員會成員名單…………………… 280
    附錄19:名詞界定…………………………………………………………… 281
    附錄20:八種選擇參與者的方法…………………………………………… 284
    附錄21:溝通與決策方式分類表…………………………………………… 285
    附錄22:權威與權力運作程度表…………………………………………… 286
    附錄23:前測問卷施測名單………………………………………………… 287
    附錄24:「洛杉磯河整治計畫」規劃過程重要事件之階段分析表……… 289
    附錄25:系列座談會公共投入意見彙整表………………………………… 294
    附錄26:前測問卷…………………………………………………………… 297
    附錄27:前測問卷之結構說明……………………………………………… 308
    附錄28:前測問卷題目刪除、修改表……………………………………… 312
    附錄29:前測問卷樣本編碼………………………………………………… 316
    附錄30:前測問卷評論意見………………………………………………… 317
    附錄31:正式問卷…………………………………………………………… 330
    附錄32:正式問卷之結構說明……………………………………………… 341
    附錄33:洛杉磯河整治計畫草案之後續工程分佈表……………………… 345
    附錄34:public/citizen participation & civic engagement相關名詞討論紀錄…………………………………………………………………… 346
    附錄35:正式制度結構、過程及非正式制度之評估要件………………… 347
    附錄36:合作性公共管理個案介紹………………………………………… 349
    附錄37:正式問卷樣本編碼………………………………………………… 350
    附錄38:正式問卷評論意見………………………………………………… 354
    附錄39:正式問卷「各題答覆」之次數分配與百分比分析……………… 361
    附錄40:社區座談會出席記錄與「性別」、「年齡」、「部門歸屬」、「居住地點」、「參與時間點」之交叉分析……………………………………… 389
    附錄41:諮詢委員會出席記錄與「性別」、「年齡」、「部門歸屬」、「居住地點」、「參與時間點」之交叉分析……………………………………… 391
    附錄42:同儕評論會議出席記錄與「性別」、「年齡」、「部門歸屬」、「居住地點」、「參與時間點」之交叉分析…………………………………… 393
    附錄43:利害關係人委員會出席記錄與「性別」、「年齡」、「部門歸屬」、「居住地點」、「參與時間點」之交叉分析……………………………… 395
    附錄44:任務小組會議出席記錄與「性別」「性別」、「年齡」、「部門歸屬」、「居住地點」、「參與時間點」之交叉分析……………………… 397
    附錄45:Q39與「性別」、「年齡」、「部門歸屬」、「居住地點」、「參與時間點」之交叉分析………………………………………………………… 399
    附錄46:Q42與「性別」、「年齡」、「部門歸屬」、「參與時間點」之交叉分析…………………………………………………………………………… 401
    附錄47:Q44與「性別」、「年齡」、「部門歸屬」、「居住地點」、「參與時間點」之交叉分析………………………………………………………… 402
    附錄48:Q47與「性別」、「年齡」、「部門歸屬」、「居住地點」、「參與時間點」之交叉分析………………………………………………………… 404
    附錄49:洛杉磯河整治計畫主要推動力量之交叉分析…………………… 406
    附錄50:可能面訪對象之分佈狀況分析…………………………………… 407
    附錄51:「洛杉磯河」年表………………………………………………… 408
    附錄52:洛杉磯河整治計畫相關會議之觀察筆記………………………… 411
    附錄53:文獻歸納之跨部門參與機制建議………………………………… 454
    附錄54:「淡水河整治公民陪審團」會議議程…………………………… 458

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