【作者】 苏常禄；

【导师】 李长英；

【作者基本信息】 南开大学 ， 西方经济学， 2013， 博士

【摘要】 我国实行政治集权而经济分权的政府管理制度,对地方官员的监督和考核主要是自上而下进行的。中央对地方官员的考核指标以辖区经济绩效为主。根据现有的研究,这种官员考核方式造就了我国经济的高速增长,但同时也造成很多负面社会问题。现有的文献没有给出解决这些问题的更好方法,而这正是本文的出发点。本文基于民众满意度考核的视角对官员激励、政府治理以及政府的权力监督展开研究。首先,本文从方法论的个人主义出发,区分了中央的利益、民众利益、地方官员利益,并指出他们之间存在不同,甚至存在利益冲突。这些分析为本文奠定了研究的微观基础。通过建立不同利益主体的效用函数,指出他们的效用变量是不同的。防止利益冲突发生的最好方法就是对代理人建立正确的激励制度,使得委托人关心的效用变量进入代理人的效用函数,这样他们的利益更具一致性。民众满意度考核就是这样的制度。其次,本文系统地研究了民众满意度考核制度,主要包括民众满意度考核的激励机制、实施方法、可行性、地方政府的实践、存在的问题以及意义等。这为本文分析奠定研究视角的基础,本文主要是从民众满意度考核视角对官员激励等问题进行研究。再次,本文考察了我国的官员考核制度的演变,指出现行考核制度存在的弊端,主要表现为造成官员与民众之间的利益冲突。在权力结构上我国实行的是地方官员对上负责,而不是对下负责,这样就不能较好地约束地方官员并维护民众的利益。民众满意度考核是向下负责的权力结构,可以协调官员与民众的利益冲突,使官员努力维护民众的利益。通过建立一个基于民众满意度的晋升锦标赛模型,本文分析了民众满意度考核能够协调利益冲突的机理。第四,本文研究了西方国家通常使用的保护民众权利的政治制度,如用手投票、用脚投票、保护民众财产不受侵犯等,并指出我国在这些制度方面还不完善。由于政府官员手中掌握巨大的自由裁量权并缺乏监督等原因造成一些官员容易滥用权力。文章分析了民众满意度考核对官员权力的监督作用,可以解决上级考核下级的信息不对称问题,并建立了一个基于民众满意度考核的权力监督模型,分析该考核方式的监督机制。第五,本文从官员激励的视角研究了政府提供公共服务的效率问题。首先一般性地研究了政府提供公共服务的效率,指出政府职能存在有效的边界问题,一些服务应该市场化。文章还以政府价格管制为例具体研究政府服务的效率问题,指出价格管制造成生产者、消费者、官员的权利发生变化,形成了一些负面激励,价格管制造成了很大的社会福利损失,并没有达到预期的效果。官员经济绩效考核造成公共服务供给存在严重的激励扭曲和不均等等问题。民众满意度考核建立了官员服务的可竞争市场,为官员提供正确的激励,使官员更努力提供高质量的公共服务。因而我国要大力推行政府官员的民众满意度考核制度。更多还原

【Abstract】 The government management system of China is characterized by political centralization and economic decentralization and the supervision and assessment of local officials are mainly carried out by the superior government. The indicators for performance appraisal for local officials set by the central government are restrained to the economic performances in their prefecture to a great extent. According to the existing research, this evaluation mode applied to local officials contributes to the rapid economic growth of China, meanwhile causing a lot of negative problems in our country. Given the fact that there is no better method that can solve these problems in the existing literature, this paper will provide a research on bureaucrat incentives, government management and supervision of governmental powers from the perspective of public satisfaction appraisal.First of all, this paper makes a distinction between the central government’s interests, people’s interests and officials’interests from the perspective of the methodology of individualism before pointing out that there are differences in nature and even conflicts of interests among them. The analyses above lay a micro-foundation for this research. By way of setting up utility function fit for different subjects of interests, this paper argues that their variables of utility function are different. So the best way to prevent conflicts of interests between agents and principals is to establish the correct incentive system, which can enter the variables of utility that the clients care about into the agents’ utility function, so that their interests rise greatly in consistency.Secondly, this paper carries out a systematic research on the incentive mechanism for public satisfaction appraisal, implementation method, feasibility, practice on the part of local governments, the existing problems as well as the significance and so on, providing a research perspective for the upcoming study, most of which is conducted from the perspective of public satisfaction appraisal.Thirdly, this paper makes an investigation on the evolution of official examination system in our country and points out that the shortcomings existing in the current appraisal system are shown in the conflicts of interests between officials and people. The power structure of our country is marked by the fact that local officials are responsible for their superior government, not for the people in their prefecture, so that local officials can’t be restrained in a better way to protect the interests of the people. Public satisfaction appraisal is a system that can make local officials responsible for the people, coordinate the conflicts of interests between them and make local officials do efforts to safeguard the interests of the people. By setting up a promotion tournament model on the basis of public satisfaction, this paper provides an analysis of the mechanism of public satisfaction evaluation in coordinating conflicts of interests.Fourthly, this paper makes a research on the measures aimed at protecting the rights of people popular in the western country, such as voting by hands, voting with feet, protecting private property from being injured, etc., which are not mature in our country. Local officials hold enormous discretion which is not supervised in an effective way, resulting in their abusing powers. This paper offers an analysis of the supervising effects on officials’powers of the public satisfaction assessment, which can solve the problem of information asymmetry existing in the system of superior governments supervising the inferior governments, sets up a power supervision model based on public satisfaction appraisal and analyzes the supervision mechanism of this assessment method.Fifthly, this paper carries out a study of the efficiency of government in providing public service from the perspective of official incentive. In the first, this paper carries out a study of the efficiency of government in providing public service in a general way and points out that there is an effective boundary in government functions and that some services should be market-oriented. Then this paper also does a research on the efficiency of government in providing public service in a specific way, taking price controlling system as example, and points out that price controlling causes the rights of producers, consumers and officials to be altered, brings about the negative incentives, gives rise to great social welfare losses and misses the desired effect. Official economic performance evaluation leads to serious incentive distortions and inequality in public service supplying. Public satisfaction appraisal establishes the contestable market provides the right incentives for officials, and makes them do more efforts to provide high quality public services. Given that, public satisfaction appraisal of government officials should be vigorously promoted in our country.更多还原