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標題: 金融人員專業證照制度委外辦理之評估研究
An Evaluation Research on Contracting Out of Professional Financial Certification System
作者: 蕭賀文
Hsiao, He-Wen
Contributors: 李長晏
國家政策與公共事務研究所
關鍵字: 政策評估;金融人員專業證照制度;委外辦理
policy evaluation;Professional Financial Certification System;contracting out
日期: 2013
Issue Date: 2013-11-18 15:31:11 (UTC+8)
Publisher: 國家政策與公共事務研究所
摘要:   任何政策的制定與推動,必然有其背景緣由。自2000年「金融機構合併法」與2001年「金融控股公司法」陸續上路後,正式開啟金融機構整併的風潮,進而興起「一次購足」的消費型態,使得跨業行銷儼然成形。而2002年財政部所倡導之「金融人員專業證照制度」,其重要性與必要性意味著既有證照考試模式與方式,將更為制度化、專業化。
  「金融人員專業證照制度」的執行乃透過財團法人台灣金融研訓院等辦理單位來負責試務事宜;然而,該制度推動迄今衍生出許多問題,反彈與檢討聲浪不斷,大有為政府的管理思維,卻採取小而美政府的執行概念,明顯互相矛盾。是故,若由考選部來統一辦理,抑或是交由市場機制來運作,開放予其他單位來辦理,可否解決現存問題癥結,此乃本研究欲深入探究之處,希冀進而提出具體建議與作法。
  據此,本研究透過「次級資料分析」與「深度訪談法」,依據Owen(2007)所提出包括前瞻性評估、澄清評估、互動性評估、監測評估與影響性評估等五種評估類型,並以Dunn(2008)提出充分性、效能性、效率性、公平性、回應性與適切性等六項政策評估標準與指標,來分析「金融人員專業證照制度」委外辦理之相關法律依據、推動背景緣由與執行因素、參與機制有無、推動過程與推動成效等,探究政策面、執行面與成效面,進而歸納整理出研究發現。
  最後,本研究根據研究發現,研擬出九項政策建議以供未來政策參考,並提出後續建議,提供後續研究者可以進一步探究的面向。
Any policy formulation and promotion, must have its reasons background. Since 2000, "The Financial Institutions Merger Act" and 2001, "Financial Holding Company Act" after another on the road, the official opening wave of consolidation of financial institutions, and thus the rise of "one stop shopping" patterns of consumption, making the cross-industry marketing is thus formed. Advocated by the Ministry of Finance in 2002 the "Professional Financial Certification System", and the importance and necessity means that both the certification exam pattern and methods will be more institutionalized and professionalized.
"Professional Financial Certification System" implementation is determined by the Taiwan Academy of Banking and Finance and other handling units to be responsible for examination affairs matters; However, the system has promoted many of the problems derived so far, these voices of opposition to the review, big government''s management thinking, taking little government''s implementation of the concept of apparent contradictions. Therefore in that if by the Ministry of Examination for uniform handling, or is it to the market mechanism to operate, open to other units to handle, could solve the crux of the existing problems, which this study is to delve into place, hoping further making specific recommendations and practices.
Accordingly, this study through the "secondary data analysis" and "in-depth interviews", based Owen(2007)proposed including proactive evaluation, clarificative evaluation, interactive evaluation, monitoring evaluation, impact evaluation of five different types of evaluation, and Dunn(2008)proposed the adequacy, effectiveness, efficiency, equity, responsiveness and appropriateness of such six policy evaluation criteria and indicators to analyze the "Professional Financial Certification System" contracting out of the related basis in law, to promote the cause and the implementation factors, whether participatory mechanisms, promotion process and the effectiveness of the process and so on, exploring policy-oriented, implementation of-oriented and results-oriented, and then collate and analyze the findings.
Finally, this study based on the findings, develop nine policy recommendations for future policy reference, and put forward follow-up recommendations, providing future researchers can further exploration.
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