我国准公共品多元化供给研究

  本文关键词：我国准公共品多元化供给研究，，由笔耕文化传播整理发布。

        公共品供给的“政府失灵”导致了近二十年来西方的新公共管理运动,掀起了准公共品市场化改革的浪潮。同时,由于市场本身具有“先天不足”之处,第三部门非营利组织也悄然崛起,在发达国家,其俨然已经和政府、私人企业并列成为经济社会管理的三大主体之一。我党在十六届三中全会中提出,“要大力发展和积极引导非公有制经济”,“放宽市场准入,允许非公有资本进入法律法规未禁入的基础设施、公用事业及其他行业和领域”。近年来,学术界纷纷提倡公共品多元化供给改革,并且付诸于实践,但总的看来,改革做出了勇敢的尝试并取得了一定的成绩,但也存在很多不尽如人意的地方。我国政府在国民经济发展的“十二五”规划中再次重申要“改革基本公共服务提供方式,引入竞争机制,扩大购买服务,实现提供主体和提供方式多元化。推进非基本公共服务市场化改革,放宽市场准入,鼓励社会资本以多种方式参与,增强多层次供给能力,满足群众多样化需求。”这是我国政府首次在重大政策性文件中明确提出“公共服务实现提供主体和提供方式多元化”。深入贯彻落实好党的经济政策,完善我国公共品理论体系,迫切要求我们积极深化准公共品多元化供给理论,进一步探索符合我国国情的准公共品供给实践模式。深入探讨准公共品多元化供给的理论基础,摸索准公共品多元化供给的现实模式,提高公共品整体供给效率,规范公共品多元化供给的秩序,优化公共品供给体系是本文探讨的主要内容。本文第一章仍然先从公共品的性质谈起,尽管学术界研究公共品理论已有数百年历史,但对公共品性质的界定依然是不成定论。一般存在以下四种观点：①非竞争性和非排它性,代表人物是萨缪尔森和马斯格雷夫代表人物；②公共品的共用性,代表人物是美国的鲍德威、奥斯特罗姆夫妇；③公共品的非排他性；④公共品的非竞争性。先从公共品的非竞争性说起,物品是有多种属性的,每个属性具有不同程度的竞争性,仅仅依靠非竞争性来判别公共品很容易混淆,而且现实中有的物品表面上具有很强的非竞争性,但却明显属于私人品。因此,仅靠非竞争性作为公共品的特性是不合理的。再看公共品的非排他性,非排他性一般包括：①没必要排他；②排他成本过高；③不应该排他。经研究分析后发现,非排他性在内容上实际是包含非竞争性和共用性的；另外,外部性理论及产权理论研究也认为,之所以存在公共品就是因为交易成本过高以至不能排除他人占有该物品的产权。因此,综上所述,笔者倾向于采用非排他性作为判定公共品的标准。在社会中,如果某物品由于存在过高的交易成本或社会价值观导致的不能或不应该(没必要)阻碍其他社会成员进行使用,那么这类物品就是公共品。从本文对公共品属性的认识看,纯私人品到纯公共品,只是非排他性不断增强的一个过程。纯公共品就是具有完全非排他性的物品(包括无形的制度等),私人品是具有完全排他性的物品,处于公共品和私人品之间的就是准公共品,准公共品就是具有部分排他性的物品。很明显,纯公共品由于具有完全的非排他性,必须由政府供给,而私人品具有完全的排他性,私人供给是高效的。准公共品处于二者之间,则都可以由政府、私人和处于二者之间的第三部门组织来供给,可以说任何一种准公共品的供给主体都不是唯一的,都可以考虑采用多元化模式来解决,选择的标准是哪一个供给主体哪一种供给模式能更好的提供它,更好的满足群众或消费者的需求。本文紧接着从古典经济学开始对公共品供给的理论基础进行分析,后逐渐引入产权经济学、新制度经济学以及博弈论、信息经济学的分析。古典经济学理论对公共品的供给需求进行了均衡分析,证明了对于单个公共品来说是可以产生庇古的局部均衡和萨缪尔森的一般均衡,达到最优供给。准公共品的市场供给理论认为市场对一些准公共品的供给是有效率的,能够产生林达尔的均衡解,后来鲍温和约翰森的自愿交换理论进一步证明了这一点,尤其是科斯通过对公共品的外部性进行分析后,提出了解决公共品经济外部性的有效途径,即通过产权界定或产权转让交易来达到公共品供给的市场效率解。然而,不少学者却认为市场供给准公共品存在以下缺陷：①供给中的“搭便车”现象和“公地的悲剧”导致现实中公共品供给无效率；②自然垄断性准公共品存在定价难题；③会导致公共品社会普遍服务和公平性的丧失。其实,政府对公共品的供给实际上是随着国家起源而产生的,对政府关于公共品供给的理论基础最初散见于社会学和政治学理论当中,后来公共品供给的“市场失灵”导致更多的学者从福利经济学、新古典经济学的角度研究政府提供公共品的必要性,但是很显然政府供给公共品存在以下问题：①政府供给的低效率,公共品的质量难以监测和保障；②存在强制性搭便车现象；③存在政府寻租行为。可以说,政府与市场在公共品供给中的“双失灵”奠定了第三部门组织供给公共品的理论基础,由于第三部门组织自身的优势规定性,决定了她在公共品供给中不可忽视的作用,后来的多中心供给理论和志愿供给理论都证明了这一点。以上的理论分析无非是论证对于准公共品的供给,政府、市场和第三部门都有其优势和不足的地方,仅仅对于某一种准公共品来说,它的供给主体不应该是单一的,供给方式也不应该是唯一的,关键要看哪一种供给模式能更好的发挥效果,更好的满足各方的需求。本文在第二章列举了公共品供给的l0种基本模式,包括合同承包、特许经营、政府补助、凭单制、志愿服务等,个别模式还有多种表现形式,尤其是针对使用对象有限的基础设施的供给,列举了公私合作供给的11种模式,如LBO、BOT、BTO、BBO、BOO以及外围建设等具体模式,对于这些模式的选取,笔者认为都要视具体情况而定,根据现实中准公共品提供的环境和条件,实事求是的来选取较为合理的模式。对于公共品供给模式的选择标准也很多,比如回应性、公平、效率等等,同样对于标准的选择也应因地因时制宜,综合考虑分析,要根据国情、社情、民意,根据国家当前的大政方针和改革方向,根据公共品供给要达到的目的和要求,选取某些标准或提高某个标准的比重。一旦公共品供给模式的评判标准确定以后,就可以引入运筹学和数理经济学中的一些方法,如层级分析法(AHP)或数据包络分析法(DEA)等来评判某个供给模式的优劣,评价其供给效率,以利于事前选择或事后评价,这也是当前社会管理中比较流行和有效的评判方法。第三章本文对发达国家的准公共品多元化供给改革实践进行了实证分析,研究了发达国家多元化改革的实践模式和取得的效果,第四章总结了我国近年来准公共品多元化供给改革情况,概括了改革取得的成果,对个别领域的准公共品供给效率进行实证分析和评价。第五章、第六章在以上分析的基础上,阐述了优化我国多元化供给体制的条件、制度设计及实现路径。为了在实践中实现优选多元化供给模式,更好更有效供给准公共品,针对我国当前公共品供给中仍然存在不足的地方,需要按照以下原则进一步优化我国公共品多元化供给体系,①权力义务对等原则：②因地制宜原则；③可操作性原则：④提高质量原则；⑤负面效应最小化原则。为构建我国高效的公共品多元化供给体系,要采取以下措施：①建立市场参与公共品服务的激励与约束机制。要继续深化国企公司化改造,确立企业的法人主体地位；积极引入市场竞争机制,增强公共品供给的竞争程度；提高政府的监管能力。②建立第三部门组织参与公共品服务的激励与约束机制。要降低第三部门组织取得合法身份门槛,增强组织间的竞争性；提高政府的支持力度,创造有利于第三部门组织发展的内、外部环境。③深化经济政治体制改革,进一步明确政府职能。进一步弱化政府直接提供准公共品的职能作用,鼓励引导民间资本投向准公共品领域,推进国有资产管理体制改革,积极扶持第三部门的发展；不断强化政府对准公共品供给领域的监督管理职能,加强对准公共品供给的监督,提高政策管理服务水平,形成科学合理的决策机制。本文在前人研究的基础上对以下方面进行了归纳及创新：第一,引入层级分析法(AHP)或数据包络分析法(DEA)对不同模式的准公共品供给效率进行评价,并对我国公路、铁路这两种相近的准公共品以及幼儿园的供给效率进行案例分析。第二,全面阐述政府、私人和第三部门在公共品多元化供给中需要发挥的宏观和微观职能,提出优化我国准公共品多元化供给机制的思路和措施,进一步明确了政府在准公共品供给中的职能内容,阐述了私人、第三部门组织参与准公共品供给的激励约束机制的构建路径。第三,结合前人分析和现实需要,对评价公共品模式优劣的标准进行了归纳。由于作者自身理论水平有限,本文存在很多不足,比如对现实中政府在准公共品多元化供给中职责分析不够全面,对我国第三部门非营利组织的研究不够深入彻底等等。

    The Supply of Public Goods "government failure" led to two decades of Western New Public Management movement, set off a wave of market-oriented reforms of the quasi-public goods.Meanwhile, the market itself has " deficiencies" at the third sector non-profit organization quietly rising in developed countries, it with the government and the private enterprise become the one of the three main economic and social management.CPC in the Third Plenary Session of the16th,"to develop and actively guide the non-public economy", relax market access to allow private capital into the infrastructure of laws and regulations not prohibited, utilities and other industries and fields.In recent years, academics have advocated the reform of the diversified supply of public goods, and practice, but the overall diversification of public goods made in the reform of certain results, but there are many deficiencies.To reiterate that the Chinese government in economic development "12th Five-Year Plan" to the reform of basic public services, the introduction of competition mechanism, expand the purchase of services to achieve the subject and the delivery of diversification.The Chinese government to promote non-essential public services, market-oriented reforms, relaxing market access and encourage social capital to participate in a variety of ways to enhance the multi-level supply capacity to meet the diverse needs of the masses."first time in a major policy document specifically mentioned" public service to the subject and the delivery of diversification.These are provided policy support to further deepen the reforms in the areas of public goods supply. Depth discussion of the theoretical basis of the diversification of the quasi-public goods supply, to explore the reality model of quasi-public goods diversified supply, improve the efficiency of the overall supply of public goods, standardize the order of diversification of supply of public goods, optimize the supply system of public goods is the main content of this paper.Academia to study the theory of public goods to several hundred years of history, but the definition of the nature of public goods is still not a conclusion.This paper begins with talk about the nature of public goods, The nature of public goods, the general existence of the following four perspectives:①non-competitive and non-exclusive representative is the representative figure of Samuelson and Musgrave;②the sharing of public goods, represented by the United Statesthe Baodewei, Ostrom and his wife; public goods.non-exclusive;④public goods non-competitive. Speaking of non-competitive, start with the public goods that the goods is the variety of attributes, each attribute has different levels of competition, relying solely on non-competitive to distinguish public goods are easily confused, but in reality, some items on the surface has a strong non-competitive, but it clearly belongs to private goods. Therefore, relying on the non-competitive as the characteristics of public goods is unreasonable.Non-exclusive public goods generally include:①unnecessary row him;②exclusive cost is too high;③should not be exclusive.Studies have shown that non-exclusive content actually contains a non-competitive and sharing; In addition, the external theory and property theory also believes that the reason why there are public goods because of high transaction costs so we can not exclude others from possession of the items theproperty rights. In summary, I think we should adopt the non-exclusive as to determine the sole criterion of public goods.In society, if not a result of an article due to the presence of excessive transaction costs or social values or other members of society should not hinder the use of such articles is the public goods.From the attributes of public goods and pure private goods to purely public goods, non-exclusive and constantly enhance a process.Pure public goods is non-exclusive items. Private goods is a completely exclusive items between public goods and private goods is quasi-public goods and quasi-public goods is a part of the exclusive items.Entirely non-exclusive, pure public goods must be supplied by the government, while private goods has completely exclusive, private supply is efficient.Quasi-public goods can either be provided by the government and the private sector can also be supplied by third sector organizations, that is a quasi-public goods supply main is not the only, so you can consider diversification model to solve the selection criteria which supply main which a supply model is better able to provide it to better meet the people or the needs of consumers.From classical economics to analyze the theoretical basis of the supply of public goods, and then gradually introducing property rights economics, new institutional economics and game theory, information economics analysis. Classical economic theory of public goods supply and demand equilibrium analysis, proved that partial equilibrium Pigou and Samuelson’s general equilibrium for a single public goods, optimal supply. The quasi-market for the supply of public goods theory that the market for the supply of some quasi-public goods is efficient, can produce Lindahl equilibrium solution, and later Martin moderate Johansson voluntary exchange theory further proof of this, especially Kos through to public goods external to analyze proposed an effective way to solve the economic externalities of public goods, through the definition of property rights or property transfer transactions to achieve the solution of the supply of Public Goods market efficiency. However, many scholars think that the market supply quasi-public goods to the following shortcomings:①The supply of "free rider" phenomenon and "the tragedy of the commons " nd lead to inefficient supply of public goods in reality;②The natural monopoly quasi-public goods to a pricing problem;□market supply public goods lead to the loss of universal service and equity of public goods society.In fact, the supply of public goods is in fact national origin, originally exist in the theories of sociology and political science theoretical foundation of the government on the supply of public goods, then the supply of public goods "market failure" leads to more scholars from the point of view of welfare economics, neoclassical economics the government need to provide public goods, but the problems of government supply of public goods is also obvious:①The government inefficiency of the supply;﹎andatory free-rider phenomenon;③The government rent-seeking behavior. So, the government and the market in the supply of public goods "double failure" and laid the theoretical foundation of the third sector organizations in the supply of public goods, due to third sector organizations own advantages provisions, determines it can not be ignored in the supply of public goods role in the subsequent supply of multi-center theory and voluntary supply theory to prove this point.For a certain kind of quasi-public goods, the supply of the main body should not be a single supply mode should not be the only key to see which mode of supply can better play better meet the needs of the needs of the parties. This paper lists10kinds of public goods supply basic modes, including contracting, franchise business, government subsidies, the voucher system, voluntary services, the individual mode, there are many manifestations, especially for using the object of limited infrastructure supply enumerated11modes of supply of public-private partnerships, such as LBO、BOT、BTO、BBO、BOO and the external construction of the specific mode, the selection of these patterns, I believe that should be depending on the specific situation, in reality quasi-public goods environment and conditions for seeking truth from facts to select a more reasonable model.Public goods supply model selection criteria, such as responsiveness, equity, efficiency, etc. Similarly, for the selection of a standard should consider the analysis, according to national conditions, public opinion and national policy and direction of reform, according to public goods supply to achieve the purpose and requirements to develop the standard.Operations research and mathematical economics in the Analytic Hierarchy Process (AHP) or data envelopment analysis (DEA) criteria to determine the modes of supply of public goods can be used to judge the pros and cons of a supply model to evaluate the efficiency of its supply order to facilitate prior selection or ex-post evaluation, this is also the social management of the more popular and effective evaluation method.On the basis of the above theoretical analysis, the practice of reform of the quasi-public goods in developed countries diversified supply for the empirical analysis, the practice mode of diversification of reform in developed countries and the results achieved, summed up in China in recent years, quasi-public goods diverse of supply reforms, summed up the achievements of China’s reform of the public goods, the empirical analysis and evaluation of the individual quasi-public goods supply efficiency.In practice in order to achieve the optimal choice of diversified modes of supply, for the supply of public goods in China there are still deficiencies，optimize its main principles.①power obligations principle:②The local conditions of principle;③the operability principle;④improve the quality principles:⑤negative effects of the minimum principle.To build China’s efficient public goods diversified supply system, we need to take the following measures:①the establishment of third sector organizations to participate in the incentive and restraint mechanisms for public goods.Strengthen government regulation, and improve organizational capacity.②establish a market incentive and restraint mechanisms of participation in public goods services.On the basis of previous research with respect to the induction and innovation:first,the introduction of the Analytic Hierarchy Process (AHP) or data envelopment analysis (DEA) to evaluate the efficiency of the supply of public goods.Second, comprehensive exposition of the macro-and micro-functions of government, private and third sector need to play in the diversification of supply of public goods, ideas and measures to optimize the diversification of the supply system for China’s quasi-public goods.last,combined with the previous analysis and practical needs, summed up the merits of the standard system of evaluation of public goods model.However.due to the author’s own theoretical level is limited,there are many disadvantages,such as the government is not comprehensive enough role in the diversification of supply of the quasi-public goods,there is Preliminary analysis for non-profit organizations of the Third Sector in China, etc.

我国准公共品多元化供给研究

中文摘要4-8Abstract8-12导论16-251. 准公共品供给的基础理论分析25-67    1.1 准公共品的特征及供给均衡分析25-36        1.1.1 对准公共品特征的认识25-30        1.1.2 关于准公共品供给的均衡分析30-36    1.2 准公共品市场供给的理论基础及市场失灵36-49        1.2.1 市场供给理论——林达尔自愿合作效率解36-40        1.2.2 市场供给理论——科斯的产权分析40-41        1.2.3 市场失灵-准公共产品供给中的“搭便车”和囚徒困境导致的“公共悲剧”41-45        1.2.4 自然垄断性准公共产品引起的定价难题45-46        1.2.5 普遍服务和社会公平的丧失46-49    1.3 准公共品政府供给的理论基础及政府困境49-57        1.3.1 早期的国家起源论49-51        1.3.2 福利经济学的分析51-52        1.3.3 凯恩斯主义的观点52-53        1.3.4 公共产品政府供给的困境53-57    1.4 准公共品非盈利组织供给的理论基础及缺陷57-67        1.4.1 准公共品第三部门供给的理论基础59-64        1.4.2 第三部门供给准公共品存在的困境64-672. 准公共品多元供给模式的一般理论分析67-98    2.1 多元供给模式及对应的范围67-73        2.1.1 基于集团供给理论自愿均衡解的分析67-69        2.1.2 基于多元供给中的交易费用理论69-73    2.2 准公共品多元供给模式选择73-79        2.2.1 对准公共品多元供给中利益主体的概念界定73-74        2.2.2 准公共品多元供给的制度安排74-79    2.3 不同模式间的选择标准79-86        2.3.1 萨瓦斯的判断模式79-83        2.3.2 公共选择理论的判断模式83-86        2.3.3 结论86    2.4 对不同供给模式的效率评价86-98        2.4.1 基于层次分析法对多元供给准公共品的效率评价87        2.4.2 层级分析法的模型与具体步骤87-91        2.4.3 案例分析91-94        2.4.4 基于数据包络分析法(DEA)对准公共品供给的效率评价94-983. 西方国家的改革实践及启示98-116    3.1 西方国家多元化供给改革实践98-112        3.1.1 英国的公共服务改革98-104        3.1.2 美国104-108        3.1.3 新西兰108-110        3.1.4 对各国改革实践的评述110-112    3.2 西方国家多元供给实践对我国的启示112-1164. 我国准公共品多元化供给改革实践116-134    4.1 我国准公共品多元化供给改革概况116-124        4.1.1 初步探索准公共品多元供给方式116-123        4.1.2 我国政府部门改革123-124    4.2 对我国准公共品多元化供给改革现状的评析124-127    4.3 对我国铁路、道路等准公共品供给的实证分析127-1345. 优化我国准公共品多元供给体系的制度条件134-148    5.1 我国准公共品市场有效供给的制度条件134-136    5.2 我国政府在准公共品多元供给机制中的功能定位136-141        5.2.1 主导性地位的把握136-138        5.2.2 提供制度平台138-141    5.3 我国准公共品第三部门有效供给的制度条件141-148        5.3.1 公益性社会环境的培养141-143        5.3.2 第三部门组织自身的健康发展143-1486. 优化我国多元化供给体系的制度设计与选择148-164    6.1 优化我国多元化供给制度的指导原则148-149    6.2 优化(政府、私人和非盈利组织)多元化供给的制度框架149-152    6.3 优化(政府、私人和非盈利组织)多主体供给的制度内容152-164        6.3.1 建立市场参与准公共品(公共服务)供给的激励约束机制152-155        6.3.2 建立第三部门组织参与准公共品(公共服务)供给的激励约束机制155-160        6.3.3 深化经济政治体制改革,进一步明确政府职能160-164参考文献164-171后记171-172致谢172-173在读期间科研成果目录173

  本文关键词：我国准公共品多元化供给研究，由笔耕文化传播整理发布。