公私伙伴关系视野下的地方公共物品供给

发布时间：2018-04-27 02:36

本文选题：公私伙伴关系 + 地方公共物品　；参考：《苏州大学》2014年博士论文

【摘要】：近年来，随着《国务院关于鼓励和引导民间投资健康发展的若干意见》的出台，我国地方公共物品与服务的供给采用公私伙伴关系的机制与各种模式已经逐渐进人法制化与制度化的轨道。由于地方公共物品与服务的供给对于当地居民而言具有消费的共同性与消费的必然性，事关一定地域内社会共同体生存与发展的基本权利，并且其公共性特征说明无论生产与提供的主体是公共部门还是私人部门，都不能单纯为了个体私利而牺牲公共利益或公共价值。公私伙伴关系诞生于新公共管理运动时期，它所具有的私人融资、经营风险转移给私人部门、资源共享与收益共享、以较低成本提供较高水平的公共物品与服务等特点受到了各国政府的青睐。我国地方政府正面临经济结构调整期、改革攻坚期与地方债务扩大期的困境，本着降低财政支出、提高公共服务水平、活化民间资本与鼓励公民参与的目的，公私伙伴关系供给地方公共物品与服务成为地方政府的最优选择。首先，本文对近20年来国内外有关公私伙伴关系和地方公共物品的研究文献进行了分类梳理，尤其对国内现有文献与研究成果进行了重点介绍，并指出了国内研究中存在的不足。对国外公共物品的研究流派、历史讲行了回顾，并且对国外公私伙伴关系与各种理论的关系进行了简要介绍。其次，本文对合作、公私伙伴关系、公共物品与地方公共物品四个核心概念进行了介绍与概念界定。根据论文理论框架的需要，将合作分为语言合作、行动合作与组织系统合作三种类型。将公私伙伴关系分为体制性公私伙伴关系与机制性公私伙伴关系，并以体制性公私伙伴关系作为本文研究框架的基础；同时，以纵向研究的视角，将公私伙伴关系的内涵分为传统的公私伙伴关系、经济——财政型公私伙伴关系、管理型公私伙伴关系与行政改革型公私伙伴关系。公共物品的概念介绍了萨缪尔森、布坎南、奥尔森和埃莉诺·奥斯特洛姆的公共物品概念，，以及蒂布特的地方公共物品概念。本文的地方性公共物品概念强调了其地域性、公共性、共同性与消费的必然性特征。再次，理论基础介绍了新制度经济学的委托代理理论、交易成本理论与公共选择理论及其与公私伙伴关系的相关性。民营化理论介绍了民营化的概念、民营化与公私伙伴关系的相关性，及民营化的类型与方式。新合作主义理论介绍了其内涵、基本观点及国家与功能分化的利益代表团体之间的合作关系。协商民主理论介绍了各家关于协商民主的基本内涵及协商民主的特征，尤其重点介绍了伊森·里布的民主的公众部门的思想。政府改革理论介绍了新公共管理理论、新公共服务理论、整体性政府理论与我国的地方服务型政府理论。其中，新公共管理运动是公私伙伴关系诞生的社会与政治背景；新公共服务及我国的服务型政府理论与实践对公私伙伴关系的公民权利指向、人本主义关怀、社群价值肯认，以及公共服务的公共与公平属性在公共精神层面进行了内在反思；而整体性政府理论则对政府体制框架与跨部门的协同治理能力完善进行了外在规约。第四，本文对公私伙伴关系的国外动态发展进行了回顾与整理，提出了公私伙伴关系下地方公共物品供给存在的共性问题，即公共利益监管的体制性漏洞、成本控制的机制性模糊、利益表达的制度性缺失的问题。并详尽地分析了上述问题的原因，这些原因主要包括五个方面：一是官僚理性的延续与“内部员工”干扰；二是交易成本与委托代理关系的原因；三是市场失灵与私人部门不成熟；四是法律适用中公私之争（适用公法还是私法的争论）与刚柔困境（硬法与软法间关系的困境）；五是公民参与不畅和社会资本缺失。第五，本文基于上述问题及原因分析，提出了本文的理论研究框架：一是公共性与新型公私合作观为观念基础；二是关于公共部门暨地方政府体制的设计；三是公私伙伴关系下私人企业的道德伦理与企业社会责任；四是从公民与社会团体角度审视，增值社会资本与公众部门的设计架构。最后，本文采用嵌入性单案例研究方法，对台湾高铁的公私伙伴关系模式进行了分析，案例先是简单介绍了台湾的经济发展与近20多年来的民营化与公私伙伴关系发展历程，接着回顾了台湾高铁项目从论证、兴建到营运的过程。重点部分是对台湾高铁的开发与发展过程中围绕着公共部门、私人部门、公民与社会团体之间的多元关系按照模式匹配原则进行了分析。
[Abstract]:In recent years, with the introduction of some opinions of the State Council on encouraging and guiding the healthy development of private investment, the mechanism and various modes of the supply of public goods and services for local public goods and services have gradually been institutionalized and institutionalized. The supply of local public goods and services for local residents The commonality of consumption and the necessity of consumption are related to the basic rights of the existence and development of social community in a certain region, and its public character shows that no matter the main body of production and provision is the public or private sector, the public and public value can not be sacrificed solely for the private interests of the individual. In the period of the new public management movement, the private financing, the management risk transfer to the private sector, the sharing of resources and the sharing of income, and the higher level of public goods and services at a lower cost were favored by the governments of all countries. The dilemmas of the debt expansion period, in order to reduce the financial expenditure, improve the public service level, activate the private capital and encourage citizens to participate, the public and private partnership supply local public goods and services become the best choice for the local government.
First, this paper classifies the research literature on public and private partnerships and local public goods at home and abroad in the last 20 years, especially the existing domestic literature and research results, and points out the shortcomings in domestic research. The relationship between public-private partnership and various theories is briefly introduced.
Secondly, this paper introduces and defines the four core concepts of cooperation, public and private partnership, public goods and local public goods. According to the needs of the theoretical framework of the paper, the cooperation is divided into three types: language cooperation, action cooperation and organization system cooperation. The relationship of public and private partners is divided into institutional public private partnership and mechanism. Public-private partnership and institutional public-private partnership as the basis for this research framework; at the same time, the connotation of public-private partnership is divided into traditional public private partnership, economic, public and private partnership, management public-private partnership and administrative reform type public private partnership. The concept of the product introduces the concept of public goods of Samuelson, Buchanan, Olsen and Eleanor Ostrom, as well as the concept of Tiebout's local public goods. The concept of local public goods in this article emphasizes the inevitability of its regional, public, commonality and consumption.
Thirdly, the theoretical basis introduces the principal-agent theory of the new institutional economics, the theory of transaction cost and the theory of public choice and the relationship between the public and private partnership. The privatization theory introduces the concept of privatization, the correlation between privatization and public-private partnership, and the types and ways of privatization. The new theory of cooperative doctrine introduces the theory of privatization. The connotation, the basic viewpoint and the cooperative relationship between the state and the interest representative groups of the functional differentiation. The democratic theory of consultative democracy introduces the basic connotation of consultative democracy and the characteristics of the consultative democracy, especially the ideas of the democratic public sector of Ethan Rib. The new public management theory is introduced in the government's reform theory, and the new public management theory is introduced. The theory of public service, the theory of holistic government and the theory of local service-oriented government in our country. The new public management movement is the social and political background of the birth of public-private partnership; the theory and practice of the new public service and our service-oriented government on the civil rights of public and private partnerships, humanistic care and community value recognition. The public and fair attributes of public services are introspection at the level of public spirit, while the holistic government theory carries out external stipulations on the improvement of government institutional framework and cross sector synergistic governance.
Fourth, this paper reviews and collates the dynamic development of public and private partnerships abroad, and puts forward the common problems in the supply of local public goods under public and private partnership, namely, institutional loopholes in public interest regulation, the fuzzy mechanism of cost control, and the lack of interest expression, and analyzes the above questions in detail. The reasons include five main reasons: one is the continuation of bureaucratic rationality and the interference of "internal staff"; two is the reason for the relationship between transaction costs and principal-agent; the three is the market failure and the private sector, and the four is the dispute between public and private law in the application of the law (the debate between public law or private law) and the hard and soft dilemma (the hard law and the hard law) The five is the lack of citizen participation and the lack of social capital.
Fifth, based on the above problems and causes analysis, this paper puts forward the theoretical framework of this article: first, the concept of public and new public and private cooperation concept; two is about the design of the public sector and local government system; the three is the moral ethics and corporate social responsibility of private enterprises under public and private partnership; four is from the citizen and society. From a group perspective, the design framework of value-added social capital and public sector.
Finally, this paper analyzes the public and private partnership model of Taiwan high speed rail with the method of embeddedness single case study. The case first introduces the development process of the economic development of Taiwan and the privatization and public-private partnership for nearly 20 years, and then reviews the key parts of the Taiwan high speed rail project from demonstration, construction to operation. In the development and development process of Taiwan high speed rail, the multiple relations between the public sector, the private sector, the citizen and the social group are analyzed according to the pattern matching principle.

【学位授予单位】：苏州大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D63

【参考文献】