Made available in DSpace on 2016-04-26T20:30:18Z (GMT). No. of bitstreams: 1 Ricardo Palazzo de Almeida Barros.pdf: 913214 bytes, checksum: c232425da93b9089fb1ab8caeb40902b (MD5) Previous issue date: 2010-05-28 / We present a brief historical background of the administrative discretion, from its beginning until its insertion at the modern State, under the rule of law. Afterwards, we will discuss the administrative function in accordance with constitutional principles and its system. We examine the doctrine of Brazilian and foreign jurists in search of different ways to understand the administrative discretion. In view of Brazilian law, we visit the competence to use such discretion. We expose two different and opposite doctrines regarding the extension and depth admitted to issue regulatory rules by the administrator under the Brazilian law. We analyze the concepts of quality and its various aspects. Based on the doctrinaire lessons, we observe the use of discretion by ANATEL (Telecommunication Agency) at the definition of quality standards and measurement criteria related to fixed and mobile telephone / Apresentamos, inicialmente, um breve desenvolvimento histórico do instituto da discricionariedade administrativa, do seu advento até sua inserção nos contornos atuais do Estado de Direito. Na seqüência, tratamos da função administrativa do Estado, em subordinação a princípios constitucionais, que lhe demarcam um regime jurídico peculiar. Examinamos, então, a doutrina de alguns juristas brasileiros e estrangeiros, em busca de diferentes formas de entender a discricionariedade administrativa. Visitamos o tema da competência para exercer esse poder discricionário, já voltando os olhares para as disposições do direito positivo brasileiro. Apresentamos duas grandes correntes doutrinárias, que se antagonizam, a respeito da extensão e da profundidade admitidas na edição de normas de regulação pelo Administrador brasileiro, sob as luzes do ordenamento pátrio. Analisaremos então o tema da qualidade propriamente dita, com seus múltiplos contornos. Por fim, com base nas explanações doutrinárias, observaremos o uso da discricionariedade administrativa pela Agência Nacional de Telecomunicações, na definição de metas e ferramentas para aferição de qualidade das telefonias fixa e móvel

Submitted by Maicon Juliano Schmidt (maicons) on 2015-05-20T14:50:13Z No. of bitstreams: 1 2014 - Luis Henrique Braga Madalena.pdf: 1655399 bytes, checksum: 6298e078d342c95307ffa50ee9eb2390 (MD5) / Made available in DSpace on 2015-05-20T14:50:13Z (GMT). No. of bitstreams: 1 2014 - Luis Henrique Braga Madalena.pdf: 1655399 bytes, checksum: 6298e078d342c95307ffa50ee9eb2390 (MD5) Previous issue date: 2014-03-25 / CAPES - Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / O estudo que aqui se resume possui como escopo o desvelamento do fenômeno que representa a ideia de discricionariedade administrativa no Brasil, que acaba por gerar uma armadilha teórica que leva a conclusão de que, em grande medida, os atos administrativos, por serem tidos como atos de caráter político, não seriam controláveis materialmente pelo direito, à exceção das aberrações. Muito disso ainda advém de um rasteiro discurso de separação dos poderes, que não poderia ser violado por uma atuação de controle por parte de qualquer um dos poderes que não seja o de onde emanou o ato contestado. Isso dá espaço para que a atividade administrativa, ao invés de ter garantida sua legitimidade democrática e republicana pelo direito, passa a ter sua ilegitimidade acobertada por um direito de viés conservador, que cada vez mais promove a manutenção de históricas dominações sociais, típicas do Brasil e da América Latina. Isso em grande medida é proporcionado por uma Teoria do Direito que mantém-se aprisionada em um paradigma filosófico ultrapassado e incompatível com o Estado Democrático de Direito pretendido pela Constituição de 1988: o da filosofia da consciência. Muitos discursos jus administrativos contemporâneos, como o que privilegia o paradigma gerencial da administração pública, que também dá azo a abundância de princípios, os quais acabam por servir de álibi para as decisões administrativas tomadas, na exata medida que são considerados em sua faceta teleológica, como verdadeiros mandados de otimização e não em seu viés deontológico. A partir daí a administração (presente em todos os poderes) possuiu uma permissão jurídico-normativa para agir da forma que melhor entender, com o que o direito passa a chancelar a pluralidade de respostas, as quais são consideradas como pertencentes a uma esfera política. A atividade administrativa do Estado, especialmente no Brasil, onde podem ser verificadas as influências da cordialidade, do patriarcalismo e de um patrimonialismo estamental, conforme tratado por Buarque de Holanda, Gilberto Freyre e Raymundo Faoro, é passível de equiparação à vontade de poder, abordada por Nietzsche, com base em seu conceito de niilismo. Para que se possa alcançar o almejado Estado Democrático de Direito, que necessariamente passa por uma firme atuação estatal, imperioso que se recupere a noção de ciência da atividade administrativa, direta e completamente vinculada ao Direito. Este Direito deve possuir um cunho transformador, de projeção, para o que tem-se como resposta a Crítica Hermenêutica do Direito, inaugura por Lenio Streck, fundada na hermenêutica filosófica/filosofia hermenêutica, de Hans Georg Gadamer/Martin Heidegger e na integridade e coerência no Direito, de Ronald Dworkin, que afirma o direito fundamental à respostas corretas. O que em grande medida se faz é demonstrar que tal exigência é perfeitamente cabível na esfera da atividade administrativa e que a discricionariedade (administrativa) em nada difere da discricionariedade judicial, especialmente em sua função de álibi para o relativismo e para a chancela e manutenção de odiosas dominações. / The study that is here summarized has scoped the uncovering of the phenomenon that represents the notion of administrative discretion in Brazil, which generates a theoretical trap which leads to the conclusion that, to a large extent, administrative acts, once they have a political nature, would not be materially controllable by law, except for aberration. A lot of that still comes from a low speech of separation of powers, which could’t be violated by an act of control on the part of any of the powers, other than where issued the contested act. This gives space for administrative activity, rather than having guaranteed its democratic legitimacy and the Republican right, begins to have his illegitimacy covered up by a straight law, that increasingly promotes the maintenance of social dominations, typical of Brazil and Latin America. This, in a large extent, is provided by a Theory of Law that remains trapped in a philosophical paradigm, outdated and incompatible with the democratic State of Law required by the Constitution of 1988: the philosophy of consciousness. Many contemporary jus administrative speeches, as the one that favors the managerial paradigm of public administration, at the end favors the abundance of principles, which will serve as an alibi for the taken administrative decisions, at the exact extent which are considered in their teleological facet, like true optimization requirements and not on your deontological bias. From there the administration (present in all powers) possessed a normative legal permission to act in the manner that best understand, with what the law becomes to chancellor, the plurality of responses, which are considered as belonging to a political sphere. The administrative activity of the State, especially in Brazil, where it’s possible to be verified the influences of cordiality, patriarchy and patrimonialism estamental, as spoken by Buarque de Holanda, Gilberto Freyre and Raymundo Faoro, is amenable to assimilation to will to power, approached by Nietzsche, based on his concept of nihilism. In order to achieve the coveted democratic State of Law, which necessarily goes through a steady state performance, imperative that recovers the notion of administrative activity, directly and completely bound to the Law. This Law must have a transformer bias, of projection, for what you have as a response to Critical Hermeneutics, Law inaugurates by Padman Streck, founded on philosophical hermeneutics/philosophy hermeneutics by Hans Georg Gadamer/Martin Heidegger and the integrity and consistency of law, by Ronald Dworkin, who claims the fundamental right to correct answers. What largely if does is demonstrate that this requirement is perfectly appropriate in the sphere of administrative activity and it’s discretion in nothing differs from the judicial discretion, especially in its role as an alibi for the relativism and for the seal and maintenance of odious dominations.

The object of study of this dissertation is the institution of modulation effects, provided by the Article 27 of Brazilian Federal Law n. 9.868/99, when applied in tax matters. The problem arises from the fact that taxpayers' rights are recognized as a fundamental right, which is why a considerable part of the national legal doctrine believes that modulation effects, in tax matters, can only be given in favour of the taxpayers; because the reasons of state could never supplant the exercise of fundamental rights. This work focuses on the theory of contemporaneous constitutionalism, lays the understanding that the current Democratic State of Law presupposes the rescue of the moral subject, which was achieved by assigning full normativity of fundamental human rights conveyed by indeterminate concepts which provide ample space for action by the judiciary. Given this framework, this work studies the role of the legal argument in the legitimation of judicial acts. A study shall be conducted to identify the boundary between interpretation and judicial discretion. It concludes that it is possible for courts to decide to use practical and consequentialist arguments, whether economical or not, once provided their reappointment due to the legal system, through rational discourse. It undertakes logical-syntactic analysis of the modulation rule, and verifies that the object of cognition for the award of prospective decision on constitutionality control effects involves a risk analysis. In an attempt to frame the rule of modulation at the “Matrix Incidence Rule”, it concludes about the need for inclusion of a new criterion, here called “circumstantial”, at the normative hypothesis. It undertakes a study about the application of the modulation of effects in accordance with the supremacy of the constitution. The paper also focuses on the justifications given to the taxing power in the democratic state environment and the about the role of tax in the realization of fundamental rights and the protection of human dignity. It also explores and discusses the theory of the fundamental rights of taxpayers, correlates taxation to human rights, deals with the role of the principle of legal certainty in tax matters and concludes that its use, chiefly in the areas of modulation of effects, can only be given in favour of taxpayers. It talks about the role of the state in the fulfilment of fundamental rights, both social and individual, and the necessary mitigation of the deep separation between the interests of taxpayers and tax authorities, considering that both serve the same purpose, which is the realization of the human person. It aims to address that, in exceptional cases, the modulation of effects can be given in favour of the state, when its indispensability for maintaining public institutions or policies related to the implementation of fundamental rights is demonstrated. / O presente trabalho tem como objeto de estudo o instituto da modulação de efeitos, previsto no artigo 27 da Lei n. 9.868/99, quando aplicado em matéria tributária. A problemática surge do fato de que os direitos dos contribuintes têm reconhecido o status de direito fundamental, motivo pelo qual parte considerável da doutrina jurídica nacional entende que a modulação de efeitos, em matéria tributária, só pode se dar em favor dos contribuintes, tendo em vista que as razões de Estado jamais poderiam suplantar o exercício de direitos fundamentais. Situado o trabalho no atual momento do constitucionalismo, fixa-se o entendimento de que o atual Estado Democrático de Direito tem como pressuposto o resgate de pautas valorativas ao ordenamento jurídico, o que se deu pela atribuição de plena normatividade aos direitos humanos fundamentais, veiculados mediante conceitos indeterminados que conferem amplo espaço de atuação ao Poder Judiciário. Considerando esse quadro, examina-se o papel da argumentação jurídica na legitimação dos atos judiciais. Realiza-se estudo para identificação dos limites entre interpretação e discricionariedade judicial. Conclui-se pela possibilidade de utilização na decisão judicial de argumentos ditos práticos e consequencialistas, de conteúdo econômico ou não, desde que haja a sua devida recondução ao sistema jurídico, por meio de discurso racional. Empreende-se análise lógico-sintática da norma de modulação. Verifica-se que o objeto de cognição para a atribuição de efeitos prospectivos à decisão em controle de constitucionalidade envolve uma análise de risco e que, por isso, o órgão julgador é responsável tanto pela construção do fato típico quanto pela incidência da norma, o que se opera numa só ação. Na tentativa de enquadrar a norma de modulação à Regra Matriz de Incidência, advoga-se a necessidade de inclusão de mais um critério, chamado de “circunstancial”, no antecedente normativo. Empreende-se estudo acerca dos pressupostos para que a modulação de efeitos seja aplicada em conformidade com a supremacia da Constituição. Abordam-se as justificativas dadas ao poder de tributar no ambiente do Estado Democrático de Direito e o papel da tributação na concretização de direitos fundamentais e da proteção à dignidade humana. Discorre-se acerca da teoria dos direitos fundamentais dos contribuintes, correlacionando a tributação aos direitos humanos. Enfoca-se o papel do princípio da segurança jurídica em matéria tributária e se conclui que a sua utilização, principalmente em sede de modulação de efeitos, só pode se dar em favor dos contribuintes. Trata-se do papel do Estado na efetivação dos direitos fundamentais, tanto sociais quanto individuais, e da necessária mitigação da forte cisão entre interesses do Fisco e dos contribuintes, considerando que ambos se destinam à mesma finalidade, que é a realização da pessoa humana. Defende-se que em casos excepcionais a modulação de efeitos pode se dar em favor do Estado, quando demonstrada a sua imprescindibilidade para a manutenção de instituições ou políticas públicas ligadas à concretização de direitos fundamentais.

The U.S. Housing and Urban Development (HUD) Agency provides Community Development Block Grant (CDBG) funding to state and local governments, giving them broad flexibility to design and implement community projects. The CDBG program emphasizes that public hearings are a requirement to obtain federal funding at the state and local levels. Also, HUD lists several other public participation methods that can be used in addition to public hearings. Further, the extant literature on public participation emphasizes the prevalent use of one method, public hearings, compared to the use of other more engaging techniques. Despite the availability of different methods that may be more engaging, administrators continue to engage the public through the use of public hearings. This study explores the motivation and identity of public administrators in local government, implementing public participation programs. Using a multi-site case study based on fifteen interviews with officials from various localities across the Commonwealth of Virginia, I found that administrators held onto their identity as public servants but might have had difficulty staying motivated to do public engagement work when they perceived that there were impediments in the work environment. Another interesting finding is that these obstacles created tensions between the public servants and their respective organization, leading to fewer performance outcomes among the administrators. Further, the administrators' characteristics (identity) such as job tenure, rank, education, age, and gender, along with their public service motivation, might have impacted their actions and behavior in the public sector environment. I also found that administrators who wanted to do more, commonly reported they were situated in a work environment that limited their ability to do more. I found that the work environment and the identity (personal characteristics and public service motivation) could influence the public service behavioral outcomes of administrators. The interview data pointed out a complex picture of the tensions existing between the institution and the individual. The research revealed that public administrators often adhered to their role as public servants but were faced with dynamics that interacted with their performances. From these findings, administrators must look pass those informal and formal influences that prevent them from staying engaged with their roles as public servants and find ways to give citizens meaningful opportunities to have input into the government decision-making process. / Doctor of Philosophy / This research sought to discover the public administrators' identities and their motivation for engaging in public participation, along with understanding their roles as public servants. To examine this further, the researcher captured how administrators have engaged the public and how they have documented this engagement in their citizen participation plans. The findings showed that public administrators were committed to their identities as public servants and continued to perform in this capacity despite some of the barriers that may have prevented them from having meaningful engagement opportunities with the public.

Résumé : S'intéressant à l'action administrative de premier niveau, ce mémoire tente de mettre en lumière les limites juridiques et les facteurs organisationnels qui influent sur l'exercice par les agents d'indemnisation et les conseillers en réadaptation de la CSST de leurs fonctions. Tout comme des études empiriques réalisées dans d'autres juridictions à l'égard de différents régimes de sécurité sociale et desquelles elle est inspirée, cette étude révèle que l'exercice d'une discrétion administrative est inévitable. Y sont décrites et commentées les méthodes de gestion privilégiées par l'organisme et les fonctions exercées par les décideurs de manière à identifier la part d'appréciation ou de jugement que peuvent exercer les agents et les conseillers dans le cadre du régime québécois de réparation des lésions professionnelles, ainsi que les processus décisionnels, variables selon les fonctions particulières exercées, qui y mis en œuvres. Cette étude démontre également comment la structure administrative privilégiée par l'organisme est susceptible de contribuer au respect des droits des administrés, tout en comportant certains risques d'atteinte à l'équité des processus. / Abstract : This aim of this study is to expose the legal limits and organisational factors which may affect decision-makers' discretion in the context of the employment injuries compensation system in the province of Québec. The findings of this study align with some empirical studies concerning different social security regimes in other jurisdictions from which it is inspired. Indeed, it reveals that administrative discretion is inevitable. It describes and comments the management techniques implemented in the organization. It also describes the particular functions of two categories of street-level workers, the agents d'indemnisation and the conseillers en réadaptation, in order to identify the matters about which they may use their judgment or exercise a discretion, as well as the particular decision-making processes that occur at the front lines of service delivery. It shows how the administrative structure concurs to the respect of the clients rights but may neverheless undermine the processes fairness.

金融機構健全經營、信用分配決策之公平性，經營階層能否以誠實、正當的方式，信守並履行對客戶之承諾，對人民財產保障、金融秩序穩定、國家經濟發展之影響甚鉅。職是之故，各國金融監理主管機關乃對金融機構的各項營業活動與以監理並採行必要之行政處分或導正措施，甚且於相關法規中，課予其善良管理人之法定義務，以確保民眾之財產權。然而，一家金融機構能否有效健全經營，主要關鍵仍在於經營者之良窳，即其負責人是否具備充足的專業知識與良好的道德品性，因此主管機關對金融機構負責人所訂的「適格性」條件，必然較一般企業的負責人更為嚴格。 本文從金融監理機關之行政處分與爭訟出發，先了解主管機關的組織架構、運作機制及行政權限，進而探討其行政處分範圍。考量行政機關之行政行為必須符合一般法律原則與行政程序法之規定，因此進一步檢視金融處分應如何適用一般法律原則，及如何確保能踐正當法律程序；本文亦從日、德、英、美等四個金融市場發展歷程較久、且法制較為完備的國家，窺探其相關法令中，對於金融機構負責人資格審查之規範重點與實務操作，並與我國相關法規中之規定與監理實務進行比較，冀從中獲得啟發。 為了解相關行政處分之司法實務觀點，進而將透過臺北高等行政法院與最高行政法院，就金融監督管理委員會對金控公司、銀行、保險公司、證券公司之負責人，所作成不適格的若干行政處分案件之司法判決，加以整理。冀能從司法實務中釐清相關爭點。最後擬從主管機關對金融機構負責人適格性審查之前、中、後三個階段，透過相關制度的設計即審查前能建立相關審查原則，且對於若干不確定法律概念之法規要件，力求客觀與明確；於審查時，能就個案事實與法規要件加以調和，作成妥適的行政決定；而對於通過適格性審查後之負責人，其後如有不符合適格性條件，應如何為適當之處置，冀就此一類型之行政事件，建立最佳行政處理程序。

近年來政府致力於整合第一、第二及第三部門的力量，透過分工、互補，促使民間的私部門與非營利組織共同承擔公共事務的責任。惟政府就可以從此消失不見，由私部門及第三部門所取代嗎？由於政府存在的最大目的除了追求效率、效能與經濟之外，更重要者就是發揮公平與正義，此以立法機關仍於管制性政策、經濟政策、社會政策、文化政策等面向上，大量授權行政機關行使「行政裁量權」以實踐個案正義，最為具體及明顯。本論文所關心者為在過去官尊民卑的時代中，基層行政人員行使行政裁量權，僅須實踐「依法行政」的角色，完成與人民之間的「權利-義務」關係，而在司法不予介入的範圍，行政機關擁有決定自由的領域。解嚴之後，人民自我意識抬頭，勇於追求自我的權益，人民與基層行政人員間的「權力-服從」關係已不如警察國家一般，取而代之的是人民在行政裁量的灰色地帶，不斷透過各種方式以影響基層行政人員，而形成基層行政人員行政裁量的困境。基於此，本論文致力於以基層行政人員行政裁量行為之轉換型領導觀點為研究焦點，針對基層行政人員行政裁量時，面臨裁量系絡中多元、衝突的價值觀困境進行探索性的研究。本論文的研究目的有五： 第一、 整合有關行政裁量之相關文獻，試圖對形成當前基層行政人員行政裁量困境之原因有所瞭解。 第二、 綜合相關文獻確立基層行政人員負責任之行政裁量行為之內涵，以提供基層行政人員行政裁量價值採擇之規範標準。 第三、 評析當前文獻中已存在之行政裁量行為，是否能有效地解決基層行政人員行政裁量面臨之困境。 第四、 由相關文獻中，嘗試以轉換型領導之觀點，建構型塑基層行政人員負責任之行政裁量行為之理論基礎。 第五、 透過深度訪談的方式，以瞭解以轉換型領導之觀點，型塑我國基層行政人員負責任之行政裁量行為之可行性。 本論文採取的研究方法除文獻探討法之外，主要是以質的研究當中的深度訪談法為研究方法。在研究對象方面，本論文以立意抽樣的方式，針對我國基層行政人員實施訪談，實際完成訪談者計十二人。 總結本論文的主要研究發現可分別就文獻探討、深度訪談內容分析等兩方面予以說明。文獻探討的說明可對應於本論文所希望達成的第一項至第四項的研究目的。訪談內容分析則可對應於第五項的研究目的。謹將本論文之研究發現摘述如下： 第一、 基層行政人員行政裁量的系絡環境包括：1. 基層行政人員個人因素。2. 服務機關。3. 上級機關。4. 主管。5. 同事。6. 法律或司法機關。7. 當事人或相關利害關係人。8. 媒體。9. 民意代表。10. 社會大眾或旁觀者。11. 其他變數。其各有不同的利益、期望與價值觀，這些價值觀包括：1. 個人價值。2. 專業價值。3. 法律要求。4. 組織之層級節制。5. 公務人員個人之私利。6. 民眾私利之要求。7. 公道。8. 公平。9. 效率。10. 為民服務。由於這些不同的價值觀，本質上就存在衝突性，且裁量的結果會對這些系絡環境的權益產生得、喪、變更。因此，各系絡環境莫不透過各種方式、管道或彼此的交互作用與互動，以影響基層行政人員的裁量決定。由於不同的個案有著不同的系絡環境，而相同的個案，對不同的基層行政人員也會有不同的影響方式。故使得基層行政人員行政裁量決策的制定，充滿複雜性、衝突性與政治性。 第二、 本論文綜合論述國內外有關行政裁量的規範性理論與價值採擇之相關理論認為所謂「基層行政人員負責任之行政裁量行為」係指基層行政人員的裁量行為當以「誠信」為基礎，在「合法」的前提下，透過程序的參與機制，調合及妥適地反映系絡環境中的多元價值觀，並由科學、倫理及法制等途徑所追求裁量的正確、良善與起碼水準的品質中，使裁量系絡的參與者，對基層行政人員的裁量行動或決定加以支持與滿意。 第三、 本論文綜合各家學者的相關文獻，歸納出六種行政裁量行為：1. 官僚人員模式（法規-制度型或由上而下模式）。2. 執行者與政策制定者模式（由下而上模式、整合模式；效能執行型）。3. 權力指揮者模式。4. 專家模式。5. 問題解決者模式。6. 政治行為者模式（個人-責任型）。每一種裁量行為皆有其之優點與缺點，且其對基層行政人員面臨的裁量困境的描述，皆有某種程度的相合，但也有無法涵括之處。 第四、 由於轉換型領導的目的之一在於解決、消弭與調合人們間各種價值觀歧異所引起的衝突，此與基層行政人員負責任之行政裁量行為之價值採擇的內涵相迎合。而許多實證研究也發現轉換型領導的運用，對調合社會中人與人之間衝突的價值觀有諸多助益。因此，轉換型領導觀點之行政裁量行為為有效地解決基層行政人員行政裁量面臨之困境的有用行為模式。本論文綜合論述與轉換型領導有關的相關文獻與實證研究發現，基層行政人員運作轉換型領導的方式為：其一，基層行政人員運作轉換型領導的目標為在合法的前提下，調合多元、衝突的價值觀，以滿足各系絡環境的需求，並提升其之價值觀至更高的道德層次。其二，基層行政人員在轉換型領導中，所謂「部屬」係指基層行政人員行政裁量系絡中與基層行政人員互動的所有系絡環境。基層行政人員可奠基於其之專業及具有國家賦予其行使公權力的合法的權力，而能融合魅力領導者與交易型領導者之特質，進而成為裁量系絡中的轉換型領導者。其三，基層行政人員運作轉換型領導時，會採取一些策略並利用某些場域，使其與各裁量系絡環境產生互動，進而影響其之價值觀的改變與提升。 第五、 藉由本論文對訪談內容分析後，主要的研究發現可摘述如下： （一） 專業知識、遵守法律、民眾私人之利益或需求以及組織之層級節制為基層行政人員行政裁量經常面臨之價值環境，而組織之層級節制的價值觀，唯有在主管無法親臨行政裁量現場之情況，影響程度才較低。 （二） 同事、當事人、相關利害關係人、主管、旁觀者等為影響基層行政人員行政裁量之重要系絡環境，而民意代表、官員或其他有力人士、社會大眾、環保團體、專家及媒體，則在該裁量個案攸關社會大眾的權益時，影響程度才較大。這些系絡環境皆會採取不同的策略，或者透過彼此間的交互作用與互動，以影響基層行政人員的裁量決定，這使得基層行政人員行政裁量的系絡環境充滿政治性。 （三） 基層行政人員行政裁量面臨之九種價值觀，在服務對象的價值觀與其相衝突、科技發展迅速造成基層行政人員無法處理日新月異的價值觀問題、組織對基層行政人員在人力、物力、時間及資源的支援程度不足、組織之層級節制與個人對社會大眾價值變遷之認知進度不同，以及法令來不及修訂以跟上社會生活態樣變遷的速度等情況，會形成九種衝突態樣，而造成基層行政人員行政裁量的困境。 （四） 基層行政人員在面臨行政裁量系絡中九種價值觀衝突的態樣困境時，其除皆能成功地扮演價值抉擇者、分配者角色，以符合負責任之行政裁量行為之價值採擇的標準之外，也能以轉換型領導之觀點，在裁量系絡中成功地扮演平衡輪、分析者以及教育者的角色，以型塑負責任之行政裁量行為。此外，深度訪談之結果顯示我國的基層行政人員會以下列的方式運作轉換型領導： 1. 在運作轉換型領導之行政裁量種類方面，無論基層行政人員僅擁有「過程裁量」、「結果裁量」或者同時具有「過程裁量」及「結果裁量」者，其皆在面臨行政裁量之價值觀衝突時，表現為轉換型領導者。 2. 在運作轉換型領導之權力基礎方面，基層行政人員大抵在其擁有的合法的及專業的權力基礎上運作轉換型領導。 3. 在運作轉換型領導以與各系絡環境產生交互作用的場域方面，基層行政人員會在行政程序中之陳述意見、處理裁量個案的現場、聯繫會議、校務會議、會客室、協調會、說明會、其他相關座談會或會議等場域運作轉換型領導。 4. 在運作轉換型領導以與各系絡環境產生交互作用的策略方面，基層行政人員會牽引下列四種策略以與各系絡環境產生交互作用與互動： （1） 基層行政人員會隨機應變為整個行政裁量過程配速，將裁量系絡中衝突的價值觀加以調整，並控制各方衝突者的情緒在可忍受的範圍內而不躁進。 （2） 設身處地試著從服務對象或價值衝突者的觀點，看待行政裁量個案的問題。 （3） 鼓勵服務對象或價值衝突者一起面對面溝通，參與找出問題的真相與事實。 （4） 巧妙地運用策略，以提高基層行政人員與裁量系絡之各系絡環境彼此之信任關係。 然而，為使基層行政人員在實際個案中，成為真正的轉換型領導者。本論文建議基層行政人員及其之服務機關與主管，當應在組織內部的人力資源管理的人員招募、訓練與績效評估制度上有許多配套措施，以培養基層行政人員發揮專業及合法的影響力，使其成為裁量系絡中有效能的轉換型領導者。 最後，鑑於本論文在研究方法、研究對象的取樣等方面造成許多未盡及推論上的限制之處。故本論文提議下列的議題，以待未來繼續研究： （一） 行政裁量行為之轉換型領導觀點研究之多重資料來源。 （二） 行政裁量行為之轉換型領導觀點長期性之研究。 （三） 擴大行政裁量行為之轉換型領導觀點研究廣度之研究。

本研究透過公共選擇途徑，檢視行政機關面對主管之行政命令遭大法官會議宣告違憲後的裁量行為，藉此瞭解行政機關面對司法審查的制衡監督，將表現出哪些樣態的裁量模式；並藉由公共選擇途徑關於理性自利人的假設，以「交易」的概念連結行政與法律，以補充兩者過去缺乏交集、各說各話的現象。 本研究追蹤至民國97年底為止判決行政命令違憲的解釋，共66筆。依大法官解釋是否賦予行政機關修改命令的裁量，以及命令是否修改，將66筆解釋分成四大類，並統計修改所費的時間。透過統計分析以及深度訪談，本研究發現：大法官未賦予行政機關修改裁量，雖然確能提高命令修改的比例，但是對於控制行政機關在一定的年限內完成修改卻未有顯著的結果。行政機關雖然原則上會停用違憲法規，但卻不一定願意將新的作法明文化，其間的理由包括節省修正命令的成本，或是爭取更多決策商議的機會等。縱使最後依然完成修正，「依法行政」卻不是其真正的動機；減少組織成本或政策執行成本、增加組織的正當性等才是行政機關決定修改、不修改命令，或是否在期限內完成修訂的真正理由。而大法官解釋對行政機關的制衡力量，也因為大法官作成解釋之後再無有效的監督機制而打了折扣。同時，司法審查與行政之間的制衡關係必須放在整個民主授權結構中進行理解；正因兩者關係並非處於真空環境，授權結構的資訊不對稱、多重委託與多重代理的問題，同樣會發生在司法對行政的監督關係中，因此大法官在結構上就無法完整地扮演制衡、監督行政機關的角色。 基於以上發現，本研究認為司法對行政的制衡，除了司法審查制度本身以外，應當依照行政機關的偏好模式設計監督機制。包括將違憲的命令交由行政院研考會統一管考、監察院可針對行政機關延遲修正命令的行為進行糾正，並要求遭判違憲的行政命令之修正、失效與廢止皆須對外公告，避免行政機關以節省成本為由，讓法規失去扮演政府與人民之間的契約的功能。 / This research intends to answer the question of “how Supreme Court Rulings have impacts on bureaucratic discretion?” As the superior judicial review authority, Supreme Court Rulings are usually thought as an authority which bureaucrats must obey. Is it really the case? In this research, both bureaucrats and Supreme Court are seen as rational actors who have preferences over different outcomes, as the Public Choice theorists usually depict. Author utilizes public choice theory to bridge the gap between the fields of public administration and public law on the issue.. Empirically, this study collects the administrative decrees which were announced unconstitutional by Supreme Court before the end of 2008 in Taiwan. Sixty-six Supreme Court Rulings are found and categorized into four groups by two dimensions: (1) whether the grand judges give the bureaucrats discretion and (2) whether the bureaucrats follow the grand judges’ will to reform the decrees. Both secondary data analysis and in-depth interviews are used in this research to figure out bureaucrats’ preference and the way they respond to the grand judges’ decisions. The statistical result shows that after been announced unconstitutional by the Supreme Court, about 15% of the administrative decrees stay the same. The reasons for this “unresponsiveness” to the Supreme Court Rulings are varied case by case. Basically speaking, bureaucrats take laws as means to fulfill their tasks. They are not motivated to follow the rule of law if there is a requirement to pay an excessive costs to achieve the policy goals. It is interesting to know that judicial review is high on its moral ground but sometimes it is a mechanism without an administrative devises to enforce their rulings. Also, the problems of information asymmetry, multi-principle and multi-agent will also be found in the relationship between Supreme Court and bureaucrats. To sum up, on the one hand, this research has shown that to follow the rule of law is not bureaucrats’ priority. As a result, an administrative mechanism is needed to enforce the Supreme Court Rulings. For example, the Research, Development and Evaluation Commission (RDEC) of Executive Yuan or the Control Yuan can be assigned to do the job. However, on the other hand, the Supreme Court always stands on the side of protecting human rights against government activities, sometimes the rulings might lead to government activities unworkable as we can see from the cases of the Rulings 400 and 440. How to balance the issue of protecting citizen’s rights and governability of the administrative agencies is one of the key problems needed to be solved in order to realize democratic governance in the future.

This dissertation analyzes administrative discretion in public policy implementation in application of a new framework of integrative approach to administrative discretion developed from deficiencies of the citizen participation, representative bureaucracy, and private-interest groups democracy frameworks. The new framework holds that public agencies use discretion to integrate in decision making views of elected authorities, private-interest groups, public-interest groups, and other groups that seek to influence implementation. The No Child Left Behind (NCLB) policy is used as the case study, and the U.S. Department of Education (DOE) is the implementation setting. The dissertation answers the following question: How integrative of group views was DOE’s discretionary decision making in the implementation of NCLB? This research applies a structured content analysis method that consists of content analysis and a content analysis schedule (see Jauch, Osborn, & Martin, 1980). Using a Likert question, the dissertation developed six integration levels of DOE’s discretionary decision making from not at all integrative to extremely integrative and found that most decisions were very integrative. / Includes bibliography. / Dissertation (Ph.D.)--Florida Atlantic University, 2017. / FAU Electronic Theses and Dissertations Collection

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