财政制度、经济增长与国家治理
发布时间：2018-08-20 13:12
【摘要】：从中等收入国家迈向高收入国家是当前中国发展的现实要求,也是实现中国崛起的必要条件。总结各国在这一阶段发展的经验教训,我们发现,在实现经济持续发展的同时,让经济发展的成果被公民共享而非被利益集团“掠夺”是跨域这个阶段的关键。因此,当前中国向高收入国家迈进过程中,保证经济增长的可持续性和实现国家治理的现代化就成为了政策制定者们必须面对的挑战。而如果将观察视角放置到中国古近代历史,那么怎样应对这两个问题也是实现中国迈向现代国家、走出“治乱循环”的关键。 本文以国家起源、现代国家构建两种观察视角作为研究起点,在自发分工和交易的社会、自我扩展的市场两个具体假设基础上,认为国家的行为是经济增长的关键同时也是经济衰退的根源。在国家发展演进过程中,财政制度因为能够界定不同的产权结构因而成为了社会最基础的制度安排。不同的产权结构能够影响社会分工和交易活动从而影响市场的深化与扩张,它能够通过有利于交易平等和费用减少的制度安排促进经济的发展。 但是由于国家行为另一面——掠夺性的存在,政府又能够通过财政制度界定的产权结构对政治参与活动进行限制,而政治参与活动能够影响社会收入的分配,因此经济发展的成果很容易被各种能够参与到政治活动中的集团所占有。由于政治参与活动的限制,这种分配行为又容易通过合法的政治程序所固化,从而形成分利的利益集团,这就使得有利于交易平等和费用减少的制度安排不能成为常态,最终一国的经济社会发展将可能面临困境。这种困境达到一定程度就将引起社会的急剧变革,急剧的变革又可能打破利益集团格局而构建新的产权结构,经济社会的发展走向新循环。从政治参与和限制利益集团这个角度讲,国家构建的制度本质上是一个不完全契约,这就使得国家治理成为了必需,而财政制度也自然成为了国家治理的基础和重要支柱。 第1章论证了当前我国经济发展的真实水平是刚刚成为一个中等收入国家,因此面临从中等收入向高等收入迈进的现实要求,而这个过程能否顺利实现是一国长期发展的分水岭,在这个过程中需要实现经济的持续增长并保证发展的成果被共享。从历史演变的角度来说,当前这一进程也是中国迈入现代国家历史进程的延续,也是走出中国历史“治乱循环”怪圈的关键。本章系统回顾了古典、新古典经济学、发展经济学、新制度经济学视角下的经济增长理论,并对国家治理理论进行了综述,在此基础上选择了财政制度作为本文研究的切入点,其原因在于财政总是能够对国家和社会的演化产生决定性的影响。本章还对社会、市场、利益集团等重要概念进行了具体的界定。 第2章对比几种不同视角下的国家起源理论,并在现代性构建视角下对现代国家的内涵和基本目标进行了阐释。本章还对国家治理理论进行了梳理,并阐述了国家治理的目标是理性化和责任化,准自愿服从原则使得国家治理成为了可能,而国家治理的内容则包括国家-市场、国家-社会和政府间关系。 第3章阐述了财政制度作为社会激励基本架构和国家治理基础和重要支柱的逻辑。第4章以几个典型国家为例,从经济史的角度阐述了财政制度变迁中的经济增长与国家治理体系演进过程。在第5章则分析了东西方经济增长和国家治理的历史和文化差异。 本文第6章以财政体制改革为视角,介绍了建国以来我国经济增长和国家治理的阶段性特征。第7章则是对以财政体制改革创新均衡经济增长和推进我国国家治理现代化的具体政策建议。 本文的创新之处与主要贡献有： 1)对经济史上主要的国家理论进行了系统梳理,以此为基础对国家治理的目标、可能性和内容进行了阐释； 2)阐述了财政制度作为社会激励基本架构和国家治理基础和重要支柱的逻辑； 3)对东西方国家经济增长和国家治理的历史和文化差异进行了分析； 4)给出了以财政体制创新均衡经济增长和推动国家治理现代化的政策建议。
[Abstract]:From middle-income countries to high-income countries is the realistic requirement of China's development and the necessary condition for China's rise. Summing up the experiences and lessons of other countries in this stage of development, we find that, while achieving sustainable economic development, it is cross-border to let the fruits of economic development be shared by citizens rather than "plundered" by interest groups. Therefore, in the process of China's marching toward high-income countries, ensuring the sustainability of economic growth and realizing the modernization of national governance have become the challenges that policy makers must face. Moving towards modern countries is the key to get rid of the "chaos control cycle".
Based on the two specific hypotheses of the origin of the state and the construction of a modern state, namely, a society of spontaneous division of labor and trade, and a self-expanding market, this paper holds that state behavior is the key to economic growth and the root of economic recession. Different property rights structure can affect social division of labor and transaction activities, thus affecting the deepening and expansion of the market. It can promote economic development through institutional arrangements conducive to transaction equality and cost reduction.
However, because of the predatory nature of the other side of state behavior, the government can restrict political participation through the property right structure defined by the financial system, and political participation can affect the distribution of social income, the fruits of economic development can easily be occupied by various groups that can participate in political activities. With the restriction of political participation, this kind of distribution is easy to be solidified by legal political procedures, thus forming profit-sharing interest groups, which makes the institutional arrangements conducive to transaction equality and cost reduction not normal, and ultimately a country's economic and social development may face difficulties. From the perspective of political participation and restriction of interest groups, the system of state-building is essentially an incomplete contract, which makes state governance necessary and finance necessary. The political system has also become the foundation and important pillar of national governance.
Chapter 1 demonstrates that the real level of China's economic development is just becoming a middle-income country, so it is faced with the realistic requirement of moving from middle-income to high-income. Whether this process can be successfully realized is a watershed of a country's long-term development, and in this process it is necessary to achieve sustained economic growth and ensure the success of development. From the perspective of historical evolution, the current process is also the continuation of China's march into modern national history and the key to breaking out of the "chaotic circle" in Chinese history. This chapter also defines the important concepts of society, market, interest groups and so on.
Chapter 2 compares several theories of state origin from different perspectives, and explains the connotation and basic objectives of modern state from the perspective of modernity construction. This chapter also combs the theory of state governance, and expounds that the goal of state governance is rationalization and accountability. The principle of quasi-voluntary obedience makes it possible for state governance. The contents of state governance include state market, state social and intergovernmental relations.
Chapter 3 expounds the logic of fiscal system as the basic framework of social incentive and the foundation and important pillar of national governance. Chapter 4 illustrates the process of economic growth and the evolution of national governance system in the vicissitude of fiscal system from the perspective of economic history in several typical countries. Chapter 5 analyzes the economic growth and national governance in the East and the West. Historical and cultural differences.
Chapter 6 introduces the characteristics of China's economic growth and state governance since the founding of the People's Republic of China from the perspective of fiscal system reform.
The innovation and main contributions of this paper are as follows:
1) Systematically combing the main state theories in economic history, and explaining the objectives, possibilities and contents of state governance on the basis of these theories;
2) The logic of the fiscal system as the basic framework of social incentives and the foundation and important pillar of national governance is expounded.
3) the historical and cultural differences of economic growth and state governance between East and west countries are analyzed.
4) gives policy proposals to balance the economic growth with financial system innovation and promote the modernization of national governance.
【学位授予单位】：财政部财政科学研究所
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D630;F812.2;F124.1
本文编号：2193730
[Abstract]:From middle-income countries to high-income countries is the realistic requirement of China's development and the necessary condition for China's rise. Summing up the experiences and lessons of other countries in this stage of development, we find that, while achieving sustainable economic development, it is cross-border to let the fruits of economic development be shared by citizens rather than "plundered" by interest groups. Therefore, in the process of China's marching toward high-income countries, ensuring the sustainability of economic growth and realizing the modernization of national governance have become the challenges that policy makers must face. Moving towards modern countries is the key to get rid of the "chaos control cycle".
Based on the two specific hypotheses of the origin of the state and the construction of a modern state, namely, a society of spontaneous division of labor and trade, and a self-expanding market, this paper holds that state behavior is the key to economic growth and the root of economic recession. Different property rights structure can affect social division of labor and transaction activities, thus affecting the deepening and expansion of the market. It can promote economic development through institutional arrangements conducive to transaction equality and cost reduction.
However, because of the predatory nature of the other side of state behavior, the government can restrict political participation through the property right structure defined by the financial system, and political participation can affect the distribution of social income, the fruits of economic development can easily be occupied by various groups that can participate in political activities. With the restriction of political participation, this kind of distribution is easy to be solidified by legal political procedures, thus forming profit-sharing interest groups, which makes the institutional arrangements conducive to transaction equality and cost reduction not normal, and ultimately a country's economic and social development may face difficulties. From the perspective of political participation and restriction of interest groups, the system of state-building is essentially an incomplete contract, which makes state governance necessary and finance necessary. The political system has also become the foundation and important pillar of national governance.
Chapter 1 demonstrates that the real level of China's economic development is just becoming a middle-income country, so it is faced with the realistic requirement of moving from middle-income to high-income. Whether this process can be successfully realized is a watershed of a country's long-term development, and in this process it is necessary to achieve sustained economic growth and ensure the success of development. From the perspective of historical evolution, the current process is also the continuation of China's march into modern national history and the key to breaking out of the "chaotic circle" in Chinese history. This chapter also defines the important concepts of society, market, interest groups and so on.
Chapter 2 compares several theories of state origin from different perspectives, and explains the connotation and basic objectives of modern state from the perspective of modernity construction. This chapter also combs the theory of state governance, and expounds that the goal of state governance is rationalization and accountability. The principle of quasi-voluntary obedience makes it possible for state governance. The contents of state governance include state market, state social and intergovernmental relations.
Chapter 3 expounds the logic of fiscal system as the basic framework of social incentive and the foundation and important pillar of national governance. Chapter 4 illustrates the process of economic growth and the evolution of national governance system in the vicissitude of fiscal system from the perspective of economic history in several typical countries. Chapter 5 analyzes the economic growth and national governance in the East and the West. Historical and cultural differences.
Chapter 6 introduces the characteristics of China's economic growth and state governance since the founding of the People's Republic of China from the perspective of fiscal system reform.
The innovation and main contributions of this paper are as follows:
1) Systematically combing the main state theories in economic history, and explaining the objectives, possibilities and contents of state governance on the basis of these theories;
2) The logic of the fiscal system as the basic framework of social incentives and the foundation and important pillar of national governance is expounded.
3) the historical and cultural differences of economic growth and state governance between East and west countries are analyzed.
4) gives policy proposals to balance the economic growth with financial system innovation and promote the modernization of national governance.
【学位授予单位】：财政部财政科学研究所
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D630;F812.2;F124.1
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