民族自治县政府基本公共服务研究

发布时间：2018-06-06 14:33

本文选题：民族自治县政府 + 基本公共服务　；参考：《云南大学》2015年博士论文

【摘要】：进入21世纪以来,我国在经济建设取得极大成就的同时,一系列社会矛盾和社会问题逐渐显现出来,其中包括公众日益增长的公共服务需求得不到满足,尤其是一些具有兜底作用的基本公共服务的短缺,引发了诸多社会问题,给社会的和谐发展带来了严重影响。在这种情况下,中央政府逐渐加大对公共服务的投入,着力于建立健全国家基本公共服务体系。在国家基本公共服务供给体系中,民族自治县政府作为民族自治地方的行政机关,在民族地区的基本公共服务供给中扮演着重要角色。按照中央及省级政府制定的基本公共服务标准和政策法规,自治县政府具体负责组织本地基本公共服务供给以及对基本公共服务机构的监督；实际上,自治县政府接受了上级政府的授权,在上级政府的监督下在本地组织基本公共服务的供给,这意味着在我国自上而下的政府层级管理体制之下,上级政府和自治县政府在国家基本公共服务供给领域同时存在委托代理关系。但是,作为委托人的上级政府和作为代理人的自治县政府在利益结构方面并不一定完全一致,而且双方掌握的信息也不完全对称,因此,在国家基本公共服务供给领域,仍然存在委托代理问题,即自治县政府有可能背离上级政府的要求,不能很好地实现上级政府在民族地区的相关政策目标。因此,本文尝试从分析上级政府与自治县政府在国家基本公共服务供给中的关系入手,结合实地研究的资料,分析自治县政府提供基本公共服务所存在的问题。本文认为,在目前的关系模式下,要确保自治县政府完成上级政府委托下来的基本公共服务职责,有两个主要条件必须具备,条件之一是自治县政府要有能力尤其是有相匹配的的财力能够提供相应的基本公共服务；条件之二是在有相应财力保障的前提下,上级政府对自治县政府提供基本公共服务进行有效的监督。因此,本文在分析自治县政府提供基本公共服务的过程中,主要讨论当前国家对自治县政府基本公共服务的财力保障机制,以及上级政府对自治县政府基本公共服务监督机制的有效性,并在此基础上,进一步探索改善自治县政府基本公共服务的思路。通过对我国财税体制、政府层级关系、政府间基本公共服务职责划分,以及基本公共服务监督、考核体系的分析,本文认为在目前的财税体制下,自治县政府财权有限,仅靠自身财力普遍不能支撑其所承担的基本公共服务职责,必须依靠上级政府有力的财政支持。在监督机制方面,除了少部分基本公共服务项目建立起了比较规范的考核体系,成为上级政府监督自治县政府基本公共服务的主要渠道以外,绝大部分基本公共服务项目仍然没有建立起专门的监督体系和考核体系,上级政府对自治县政府基本公共服务供给缺乏有效的监督手段。财力保障和监督机制方面的问题导致自治县政府提供基本公共服务的能力和效果均受到制约,实际上影响了上级政府在民族地区推进国家基本公共服务的目标实现。本文在云南省L县对该县基本公共服务的实地研究也证实了上述观点。根据调研,本文发现,民族自治县政府在按照上级政策提供基本公共服务的过程中,最突出的仍然是资金问题和监督问题。资金方面,自治县政府提供基本公共服务已经高度依赖于上级政府的财政转移支付,如果保持目前财政体制不变,财权仍然向上集中,可以预期的是自治县政府不可能成为基本公共服务供给的责任主体。监督方面,自治县政府成了上级政府的代理人,对本地基本公共服务供给全面负责,自身要监督众多的基本公共服务机构；但是上级政府对自治县政府基本公共服务却尚未建立完善的专门的监督体系,仅依靠传统的自上而下的层级监督显得力不从心。从进一步改善民族地区基本公共服务,实现上级政府在民族地区的基本公共服务政策目标出发,本文认为目前最实际的是在保持上级政府和自治县政府关系框架不变的前提下,尽量确保自治县政府提供国家基本公共服务的资源条件,并对自治县政府进行有效约束,以确保上级政府基本公共服务目标的实现。具体途径一是建立完善自治县政府基本公共服务财力保障机制,二是从国家层面建立国家基本公共服务考核体系,完善对自治县政府提供基本公共服务的监督机制。同时,本文对自治县政府在国家基本公共服务供给中的角色本身也进行了讨论。在目前的授权体制之下,上级政府与自治县政府在国家基本公共服务分工方面存在委托代理因素,但是上级政府与自治县政府总体上仍然是一种自上而下的命令-服从关系；自治县政府是上级政府的代理人,同时也是上级政策的执行者,这两种角色使得自治县政府基本公共服务除了委托代理问题之外,还存在着上述两种角色并存产生的问题。首先,虽然上级政府与自治县政府在国家基本公共服务供给中存在委托代理因素,但是二者总体上自上而下的命令-服从关系使得自治县政府在权、责、利配置方面处于劣势,从而更容易出现自治县政府权力配置不足的状况,比如财权、决策权与职责不匹配,这在一定程度上会影响委托效率,即基本公共服务供给效率。此外,授权体制之下,中央政府是权力的核心和合法性的源头,自治县政府所有的权力都来自于上级政府授予,实际上它自身没有固有权力,在没有固有权力的情况下,自治县政府自身也就无法成为独立的责任主体,所有的责任最终仍然会层层向上累积,成为中央政府的责任。本文认为,如果追求一种更有效率的基本公共服务供给体系,让自治县政府也充分发挥积极性,主动承担自身责任,可以对自治县政府在国家基本公共服务供给中的角色进行调整。本文提出一种挑战性的思路是在国家基本公共服务供给领域,逐步突破现行的政府层级关系模式,打破上级政府与自治县政府之间的层级命令关系,向更为均衡的协作关系转变,实现自治县政府与其他层级政府在基本公共服务领域的协商合作,一方面提高基本公共服务供给效率,另一方面充分发挥自治县政府的积极性和主动性,使之成为民族地区基本公共服务供给的责任主体。
[Abstract]:Since twenty-first Century, China has made great achievements in economic construction, while a series of social and social problems have gradually emerged, including the increasing demand for public service of the public, especially the shortage of basic public services which have the role of the bottom of the pocket, which has caused many social problems, to the society and to the society. In this case, the central government has gradually increased its investment in public services and focused on the establishment and improvement of the national basic public service system.
In the state basic public service supply system, the government of national autonomous county plays an important role in the supply of basic public services in ethnic areas. According to the basic public service standards and policies and regulations formulated by the central and provincial governments, the autonomous county government is in charge of organizing the local basic public. Service supply and supervision of basic public service institutions; in fact, the autonomous county government has accepted the authority of the higher government, and organizes the supply of basic public services locally under the supervision of the superior government, which means that under the top-down government hierarchy management system, the higher government and the autonomous county government are in the national basic public. There is a principal-agent relationship in the supply of services.
However, as the superior government of the principal and the government of the Autonomous County as the agent, the interest structure is not completely consistent, and the information of the two sides is not completely symmetrical. Therefore, there is still a principal-agent problem in the field of basic public service supply in the state, that is, the government of Autonomous County may deviate from the requirements of the higher government. Therefore, this paper tries to analyze the relationship between the higher government and the government of the Autonomous County in the state basic public service supply, and analyze the problems existing in the government's provision of basic public services by the field research. Under the relationship model, it is necessary to ensure that the autonomous county government has completed the basic public service duties entrusted by the superior government. There are two main conditions that the government must have. One of the conditions is that the government of the Autonomous County should be able to provide the corresponding basic public services, especially the financial resources that are matched, and the two of the conditions is the premise of the corresponding financial security. In the process of analyzing the basic public service provided by the government of the Autonomous County, this paper mainly discusses the financial security mechanism of the basic public service to the government of the Autonomous County, as well as the supervision machine of the basic public service of the government of the upper level government to the government of the autonomous County. On the basis of the effectiveness of the system, we further explore ways to improve the basic public services of the autonomous county government.
Through the financial and tax system, the government level relationship, the division of the basic public service responsibilities between the governments, the basic public service supervision and the analysis of the assessment system, this paper believes that under the current financial and tax system, the government has limited financial power and can not support its basic public service responsibilities by its own financial resources. In the supervision mechanism, in addition to the establishment of a relatively small number of basic public service projects, a relatively standardized assessment system has been established, and the majority of the basic public service projects still have not established a special supervision system and assessment, as well as the main channels for the government to supervise the basic public service of the autonomous county government. The government of higher authorities lack effective supervision means for the supply of basic public service in Autonomous County. Financial security and supervision mechanism have caused the government's ability and effect to provide basic public services. In fact, it affects the goal of the higher government in promoting the national basic public service in ethnic areas. In this paper, the field research on basic public service in L County of Yunnan province has also confirmed the above views. According to the investigation, it is found that the most prominent of the government in the process of providing basic public service according to the higher level policy is still the problem of capital and supervision. It has been highly dependent on the financial transfer payment of the superior government. If the current financial system remains unchanged, financial rights are still centralized. It is expected that the government of the Autonomous County can not be the main body of responsibility for the supply of basic public services. It is fully responsible for the supervision of a large number of basic public service institutions, but the higher government has not established a perfect and specialized supervision system for the basic public services of the Autonomous County Government, and it is hard to rely on the traditional top-down level supervision only.
In order to further improve the basic public service in ethnic areas and realize the goal of the basic public service policy of the higher government in ethnic areas, this paper holds that the most practical thing is to ensure that the government of the Autonomous County provides the resource conditions for the basic public service of the state, on the premise of keeping the framework of the relationship between the higher government and the Autonomous County Government unchanged. And the government of the Autonomous County should be effectively restrained in order to ensure the realization of the basic public service targets of the higher government. The first is to establish and perfect the financial guarantee mechanism of the basic public service of the Autonomous County Government, the two is to establish the national basic public service assessment system from the state level, and to perfect the supervision of the government of the Autonomous County to provide basic public service. Mechanism.
At the same time, this paper also discusses the role of the government of Autonomous County in the supply of basic public service in the state itself. Under the current authorization system, there is a principal-agent factor in the division of labor division between the higher government and the Autonomous County Government in the state's basic public service, but the higher government and the autonomous county government are still a kind of top-down in general. The autonomous county government is the agent of the superior government and the executor of the superior policy. These two roles make the basic public service of the Autonomous County in addition to the principal-agent problem, and there are also the problems of the coexistence of the above two roles. First, the higher government and the autonomous county government are in the national base. There is a principal-agent factor in the supply of the public service, but the two ones in general on the top-down order - obedience relation make the autonomous county government at a disadvantage in the aspects of power, responsibility and benefit, so it is easier to appear the state of the government's lack of power in the Autonomous County, such as financial power, the mismatch between the decision-making power and the responsibility, which will affect to a certain extent. In addition, under the authorization system, the central government is the core of power and the source of legitimacy. All the power of the autonomous county government is granted by the superior government. In fact, it has no inherent power. In the absence of inherent power, the autonomous county government itself can not become independent. It is the responsibility of the central government to build up the responsibility subject, which will eventually accumulate and become the responsibility of the central government. In this article, if the government is pursuing a more efficient and basic public service supply system, the autonomous county government will give full play to its enthusiasm and take the initiative to bear its own responsibility, which can supply the government of the Autonomous County to the basic public service in the state. In this paper, a challenging idea is to break through the current government level relationship model in the state basic public service supply, break the hierarchical command relationship between the higher government and the Autonomous County Government, change the more balanced cooperation relationship, and realize the government of the Autonomous County and other levels of government in the base. On the one hand, the consultation and cooperation in the field of public service will improve the efficiency of the supply of basic public services, on the other hand, give full play to the initiative and initiative of the Autonomous County Government, and make it the main body of responsibility for the supply of basic public services in Ethnic Areas.
【学位授予单位】：云南大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：D630

【参考文献】