推動我國運輸安全管制之影響評估分析

Abstract

由於政府推動運輸安全管制措施將會對民眾、運輸業、行政機關等造成相當程度之影響，故有必要建立影響評估機制，藉以瞭解安全管制措施受影響範圍與程度，有效達到管制之目標。目前OECD已要求其會員國，對於管制政策除要落實民主監督之法制精神外，對於快速變遷與多元的外在環境，亦要兼顧及保障政策推動過程中各利害關係人的權益，確實落實RIA (Regulatory Impact Assessment) 機制，藉以提升政府管制措施的品質。 本研究首先回顧RIA之理論發展，彙整相關國家推動RIA的作法，並蒐集各國交通運輸建設計畫的影響評估研究。其次提出未來包括與運輸安全管理、物流安全管理、增加運輸業安全成本或營運難度、安全補助或租稅減免、地方政府執法或查緝、政府機關運輸安全設備採購、運輸產業技術調整等相關運輸安全管制規範，以及運輸安全相關之中長程施政計畫，建議都應於推動前先進行影響評估，並建議從「政策分析」、「政策評估」、「行政執行檢視」及「績效評估」等逐步進行影響評估分析之作業。 接者本研究分別以推動我國軌道運輸系統安全監理管制與認證措施及優質企業認證及管理辦法為範例，分別探討推動運輸安全管制前後之影響評估及衝擊評估。在推動軌道運輸系統安全監理管制與認證措施部分，著重在政策分析與政策評估部分，系統性進行該管制影響評估之分析，論述如何在相關規範中建立軌道運輸系統安全驗證與認證、行車標準及監督管理等制度，且評估結果建立推動軌道監理與驗證制度其經濟效益大於成本。在優質企業認證及管理部分，則著重該管制措施推動後績效評估，探討被廠商能力能否符合優質企業驗證，本研究運用Rasch模式進行優質企業驗證制度對廠商之衝擊，研究發現年平均營業額較高的廠商顯著具有通過優質企業驗證較高的能力，大型公司顯著較小型公司具有達成優質企業驗證要求的能力。 本研究認為推動運輸安全管制影響評估機制的目的，不外乎為了提升管制措施的品質、確保制利益大於成本與強化民主溝通機制。在運輸安全管制政策實施後，還需要定期追蹤進行事後衝擊評估，衡量評估管制措施執行之績效，檢討政策推動後是否達成管制目的。這樣的作業程序不但強調運輸安全政策推行專業評估方法的建立，更重視政策研擬過程中的公開透明及意見徵詢，這也是現代化政府施政的方式，期望藉由本研究作為RIA研究之敲門磚，促使政府積極研議後續推動相關作為。

Since the transportation safety regulations being promoted by the government will have considerable impact on the public, the transportation industry, and administrative offices, there is a compelling need to establish an RIA (Regulatory Impact Assessment) mechanism, in order to understand the scope and extent of the regulations’ impact and to effectively meet the regulatory objectives. At present, the OECD already requested its member countries regulations not only implement the democratic supervision’s spirit of legality, but to also consider and protect the interests of all the stakeholders during the policy promotion process amidst the rapidly changing and external environment. The RIA mechanism should indeed be implemented to elevate the quality of the regulations.

This thesis first reviews the theoretical evolution of RIA, collating information on how other countries promoted RIA, and gathering impact assessment on some countries’ transport infrastructure projects. Next, it proposes future transportation safety regulations including transportation safety management, logistics security management, increasing transportation industry safety costs or operational difficulties, subsidy or tax break, local government law enforcement and check, administrative offices transportation safety equipment procurement, and transportation technology adjustment. Moreover, it proposes mid and long-term policy plans for transportation safety, recommending that all should conduct RIA prior to promotion and do this step by step from "policy analysis", "policy evaluation", "administrative inspection", to "performance assessment".

Next, this thesis uses promotion of “Taiwan railway transportation system safety supervision and verification” and “AEO (Authorized Economic Operators) validation programs” as examples, studying the before and after impact assessment of promoting transportation safety regulations. In the promotion of Taiwan railway transportation system safety supervision and verification portion, this research focuses on the policy analysis and policy evaluation, systematically proceeding to analysis RIA, discussing how to establish railway transportation system safety verification and validation, operation standards, and supervision and management system in the related regulations. It also evaluates the findings and establishes that the economic benefits of promoting the railway supervision and verification system outweigh the administrative investment costs. In the AEO validation programs portion, this research focuses on the performance evaluation of the regulation after promotion, probing whether the ability of the company can meet the validation criteria. This research uses the Rasch model to evaluate the impact of AEO validation programs on firms. The result shows that a company’s ability to obtain AEO validation was found to be positively correlated with a company’s turnover volume and its number of staff.

This thesis believes that the objective behind promoting transportation safety regulations assessment mechanism is nothing more than to elevate the quality of regulations, to ensure that the benefits outweigh the investment costs, and to strengthen the democratic communication mechanism. After implementing the transportation safety regulations, post-implementation impact assessment should still be done regularly to measure the effectiveness of the regulation mechanism’s implementation and evaluate whether the government’s promotion achieved its regulatory objectives. This kind of process not only emphasizes the establishment of a specialized evaluation method for transportation safety regulations promotion, but also attaches importance to the open and transparent feedback gathering during the policy development process. This is also how the governments are enforcing the law and regulations. Hopefully, this thesis may become a basis for RIA research to encourage the government to conduct further RIA research as a follow-up.