【作者】 何建春；

【导师】 张进铭；

【作者基本信息】 江西财经大学 ， 政治经济学， 2011， 博士

【摘要】 自20世纪90年代以来,随着对我国“三农”问题研究的深入,农村公共产品供给问题逐渐成为国内学术界和政府有关部门持续关注和研究的热点话题。从已有的研究来看,农村公共产品问题研究涵盖的范围非常广泛,其中对农村公共产品供给制度变迁研究是一个重要的内容。本文试图在吸取和借鉴已有研究成果的基础上,运用新制度经济学理论,采用制度环境—制度安排—制度绩效的研究框架,对新中国农村公共产品供给制度变迁作进一步的研究,并在此基础上对我国农村公共产品供给制度创新提出了相关的政策建议。论文由六个章节构成,其结构安排是：第一章是导论。主要阐述本文的研究背景、目的、意义以及研究的思路和方法,并重点对相关研究成果进行简要的综述。第二章主要是对本文研究的两大理论基础——农村公共产品理论和制度变迁理论进行概述,其目的在于为论文的研究构建概念体系和理论分析框架。第三、四、五章是本文研究的主体部分。在这三章中,将运用新制度经济学的理论和方法,按照历史顺序,分别就人民公社时期、家庭承包制时期和农村税费改革后这三个不同阶段的农村公共产品供给制度的变迁和绩效进行分析和考察。第六章是论文的结论部分。基于全文的分析,本文得出如下基本结论：(1)新中国成立以来,我国农村公共产品供给制度变迁大致经历了人民公社时期、家庭承包制时期和农村税费改革后等三个历史发展阶段。概括地说,这三个不同时期农村公共产品供给制度的基本特征是：在人民公社时期,囿于重工业优先发展战略,国家财政很少有资金支出用于农村公共产品建设,因此,在这种背景下,农村公共产品主要依靠集体经济组织采用制度外筹资为主的方式提供；实行家庭承包制以后,尽管农村公共产品仍然采用制度外筹资方式提供,但和人民公社时期相比,制度外筹资对象由农村集体经济组织转变为农户,农户由此成为费用的直接承担者；农村税费改革后,基于统筹城乡经济社会发展的需要,国家开始实施公共财政覆盖农村政策,与此同时,对于部分村级农村公共产品实行“一事一议”制度。(2)农村公共产品供给制度本质上是一种利益制度,它是对国家与农民、城市与农村、工业与农业之间利益关系的反映。因此,从这种意义上讲,农村公共产品供给制度变迁的实质就是对上述三种利益关系不断调整的过程。进一步说,在新的历史时期,重构农村公共产品供给制度就是要调整上述三种利益关系,并按照公共财政的公平、均等化的要求,将国家财政资源在城乡之间进行合理配置,以促进城乡经济社会协调、均衡发展。(3)不同时期农村公共产品供给制度的形成与制度安排是政府主导的制度变迁结果。从我们讨论的三个历史阶段来看,每一个历史阶段的农村公共产品供给制度安排都是受制于政府偏好和国家发展战略,而每一次国家发展战略的转变都对农村公共产品供给制度和政策的演变产生重大的影响。因此,从这种意义上讲,我国农村公共产品供给制度变迁方式主要是强制性变迁。诚然,在我国农村公共产品供给制度形成中诱致性制度变迁也发挥了一定的作用,不过,它不具有普遍性。(4)政府最初选择的农村公共产品供给制度会对后来的制度变迁产生极为深远的影响,即我国农村公共产品供给制度变迁具有明显的“路径依赖”特征。就本文的研究来看,从人民公社到家庭承包制时期,尽管农村制度环境已经发生了巨大变化,但在这两个阶段农村公共产品供给都采用制度外筹资为主的制度。进一步来说,即便是在实行农村税费改革之后,国家开始实行公共财政覆盖农村政策,但“一事一议”从本质上仍然是采用制度外筹资筹劳提供农村公共产品。更多还原

【Abstract】 Since the 1990s, with the deepening of the research of issues of agriculture, farmer and rural area, the issue of public goods supply in rural areas has been the hot topic, both in academic field and government sector. So far, the research in public goods supply in rural areas varies greatly, among which the research in the Institutional evolution of public goods supply in rural areas is of great importance.In the dissertation, based on the research achievement, the theories of neoinstitutional economics, and the research framework of institutional environment-institutional-arrangement-institutional performance, the author made a further research in the Institutional evolution of public goods supply in rural areas, and made some political suggestions on institutional innovation of public goods supply in rural areas.There are six chapters in the dissertation, the first chapter is an introduction to the research background, objective, research importance, research method, and literature review. In the second chapter, the author analyzed the following two theoretical bases, theory of public goods in rural areas and institutional evolution. The aim of the analysis is to lay a foundation for the construction of concept and theoretical framework for the dissertation. Chapter three, four and five are the main body of the dissertation. In the chapters, based on the theories and methods of neoinstitutional economics, the author explored and analyzed the evolution and performance of the system of public goods in rural areas according to the course from the collective economy, rural reform to reform of rural taxes and fees system. The six chapter is the conclusion of the dissertation.The conclusions of the dissertation are as follows.Since the founding of the People’s Republic of China, the evolution of the system of public goods in rural areas experienced the phase of collective economy, rural reform and reform of rural taxes and fees system. Generally speaking, the basic characteristics of the system of public goods in rural areas in these three phases are as follows. During the phase of collective economy, because of the national policy of the priority of the development of heavy industry, the input in the area of rural public goods was relatively small from the state revenue, the source of which are mainly financed by collective economy. After the introduction of rural reform, the financial source of public goods in rural areas was almost the same as in the period of collective economy, but the main source was from the farmers. After rural reform and reform of rural taxes and fees system, based on the need for coordination of the economic and social development in both urban and rural areas, our country began to enlarge its financial support to cover rural areas, and at the same time, adopt a system of "One Project One Discussion" for part of the public goods in rural areas.The system of public goods supply in rural areas is the system of benefit distribution in itself; it reflects the benefit distribution between the nation and peasants, urban and rural, industry and agriculture. So in a sense, the system evolution of public goods supply in rural areas is process of continuously adjustment for benefit distribution. Furthermore, in the new era, in order to reconstruct the system of public goods supply in rural areas, we have to adjust benefit distribution among the former three benefit bodies, and to allocate the national resources reasonably according to the principle of equality, so to promote the coordinated and balanced development of the city, countryside economy and social.The formation and system arrangement of the rural public goods supply system was the result of system evolution dominated by the government. From the analysis of the three phases in the dissertation, in each phase, the system arrangement of the rural public goods supply system was constrained by the government preferences and the national development strategy, and the transformation of the national development strategy influenced the system and policy of public goods supply in rural areas greatly. From this perspective, we can draw the conclusion that the evolution of the system in public goods supply is mandatory. Of course, during the process, induced institutional change also took its part, but it was not the main force.The public goods supply system in rural areas adopted earlier by the government would strongly affect the subsequent system evolution, which can be explained by "path dependence" theory. From the research findings of the research we can see that, from the phase of collective economy to the phase of rural reform, in spite of the great change of system environment in rural areas, the source of financial support for public goods supply were mainly from private and collective sectors, furthermore, even after the reform of rural taxes and fees system and our country adopted the policy of public financial support covering the rural areas, still, the system of "One Project One Discussion" reflects that the main financial source of public goods supply in rural areas is not mainly from the public financial sector.更多还原