【作者】 刘洋；

【导师】 王雅莉；

【作者基本信息】 东北财经大学 ， 区域经济学， 2013， 博士

【摘要】 中国目前正处于城市化的加速发展时期,在进入以城市化为标志的现代化过程中,出现了大量诸如交通和住房拥挤、环境污染、失业、公共服务滞后等“城市病”,呼唤着市政公共产品和公共服务的高效率规模供给,而我国长期以来以政府纵向部门为主导的传统城市公共产品供给模式,已跟不上这种快速的城市化乃至现代化的发展步伐,亟需采取更为广泛的多元发展措施。本文从中国城市化发展的现实需要出发,通过观察和研究,认为明确和大力发展现代“市政经济”是中国提升城市化效率、应对各种城市病的优化途径。市政经济,是由城市政府围绕城市公共经济事务而展开的公共经济决策与行政执行的活动过程的总称,简化理解就是“城经济”。它是突出城市纵向部门横向聚合功能的“块块”系统,发展目的是实现城市功能的综合效益和市民福利最大化。我国在城市化进程中,人们还不甚了解城市和城市化的“城”加“市”的结构性内涵,不甚了解“城经济”和“市经济”的功能性作用,从而不甚了解应对我国城市化进程中的城市病的市政经济功能。市政经济以其特有的城市化经济内涵,是实现城市现代化的重要途径,是满足现代城市各利益主体共同目标的现代手段。因此,系统地分析和研究市政经济,创新城市治理结构和改革市政管理体制以保障市政经济的良性运行,已成为中国城市化不容回避的发展性重大问题。鉴于此,本文从市政经济的理论分析入手,试图通过设计全新的市政经济发展模型,获得影响市政经济发展的重要因素,并通过城市治理结构的创新和市政管理体制的改革作为制度保障,来探索实现市政经济的市民福利最大化发展目标的基本途径。在中国,市建制的出现和市政管理体制的形成、发展和完善相对较晚,直到清朝末年才效仿西方国家的地方政治制度,实行城乡分治,建立了市建制。新中国成立后,党的工作重心由农村转向城市,加强了对城市的领导和管理,逐步形成了一套具有鲜明中国特色的市政管理体制。然而,市政管理体制从来没有固定的模式与统一的规范,也不能简单、抽象地比较其优劣；一种市政管理体制是否合理主要看这种管理体制能否适应市政经济的发展要求。市政管理体制是一国政治体制的延续或缩影,受该国经济水平、历史传统、文化习俗、国民素质等因素的影响,中国与西方国家在政治体制上存在很大的不同,这就决定了中国的市政管理体制与西方存在着相当大的差异。中国在新中国成立以后,又在漫长的发展过程中,几经改革逐步形成了具有中国特色的市政管理体制。由于受高度集中的计划经济模式的影响,导致中国的市政管理体制在内容上具有“经济型”,在管理方式上具有“行政型”的特点,长期存在党政不分、政企不分、权力过分集中、条块分割等弊端,制约了城市经济和社会的发展。改革开放以来,中国的市政管理体制为适应经济政治体制改革的需要,也进行了一系列的改革,如：市管县的改革、计划单列市的改革、区街体制变革等,使市政管理体制走向规范、高效和民主的道路。然而中国正处于社会发展的转型期和改革开放的关键阶段,现行市政管理体制仍然存在弊端,如：政府职能缺位,对微观经济的直接干预和调控过多,公共管理和社会服务比较薄弱;部门职能定位不清晰、权责脱节和效率低下等问题突出；政府机构设置不科学,市政管理体制运行不健全等。这都影响了城市政府正确履行公共服务职能,制约了市政经济的发展；因此,从发展市政经济的视角,探索市政管理体制的深化改革,对中国保障城市化高效率发展和通过城市化实现现代化具有十分重要的发展意义。本文采用系统分析方法厘清了市政、市政经济、市政体制、市政管理体制的内涵,深入界定了市政经济的含义,为研究市政经济作了比较充分的理论准备。在此基础上,从供求分析的角度将市政经济运行的内涵和运行系统进行阐述；并对市政经济运行的城市政府、市政企业、市民及非营利组织等主体结构进行分析,从产权类型和组织类型两个角度梳理治理结构,并对比分析城市治理结构和公司治理结构,进而将西方发达国家的市政管理体制和中国的市政管理体制进行对比并借鉴其优势。通过对市政经济发展的目标状态和运行状态的分析,指出中国市政经济的发展就是为了实现市民福利的最大化,而市民福利可以通过城市政府调控公共产品和私人产品的产出比例来实现；在借鉴城市治理社会福利增长模型的基础上,构建市政经济发展模型,通过对政府政策参数及各参与主体系数的控制来实现对城市公共产品和私人产品的合理提供比例。进而以35个省会城市及计划单列市的近10年数据对市政经济发展模型进行面板数据回归分析,得出市民福利的实现与城市人口、城市基础设施投资、城市土地面积等变量相关,并分析中国市政经济结构的未来发展趋势。城市治理结构的创新和市政管理体制的改革从理论和实践两个制度层面,为市政经济运行和发展提供了保障；最后,从治理结构和运行目标的角度,对市政经济运行和发展中的市政企业进行了深度研究。本文在全方位、多角度研究国内外研究现状的基础上,力图有所创新。首先是概念上的创新。本文系统地分析了市政经济的基本概念和理论框架,综合了市政、城市经济、城市化经济的概念,有助于人们获得对市政经济及市政管理体制科学合理的全面认识。其次是研究视角和研究方法的创新。本文运用委托-代理理论阐述城市化福利原理,提出市政经济效率的公共产品和私人产品的适度比例观点,来明确人均GDP提升的私人产品和城市公共产品之间的运行平衡以及保证这种平衡的市政经济运行本质,是一次有价值的研究途径尝试。最后是研究内容的创新。借鉴国内外相关理论,结合中国改革开放的实践经验,具体提出了市政经济发展模型,并以中国典型城市为例进行面板数据的回归分析,验证了假设的模型：架构了城市治理结构的实践模型,提出了基于城市治理结构创新的市政管理体制的改革思路——由股东大会、城市董事会、城市监事会、市政总经理等组织内核构成的城市治理结构,并以此作为市政经济发展运行的双重制度保障。通过对市政经济、城市治理结构及市政管理体制的系统分析,本文得出以下重要结论：(1)运用现代经济学思想,构建市政经济发展模型。借鉴佩尔兹曼模型及城市治理社会福利增长模型,本文设计出市政经济发展模型。由于中国目前政治改革尚达不到市场化民主的程度,可以参照佩尔兹曼模型原理建立市政经济发展模型,具体而言,就是考虑用公共产品与私人产品来替代消费者剩余和生产者利润,通过构建由人均消费支出、人均财政支出、城市基础设施投资和城区土地面积及系数的控制来实现对公共产品及私人产品的均衡控制。通过实证分析,发现中国市政经济的发展对城市经济发展的带动作用,集中在城市土地规划和利用、基础设施建设、公共事业服务和市政财务运行效率的提高上。因此,中国未来发展注重土地空间的合理规划和城市土地的集约式利用、城市基础设施建设能力的提升和基础设施投资的资金使用效率、市政财务运行效率的提高,就是中国提升城市化效率的基本途径。(2)运用现代公司治理理论,建设城市治理结构,这是市政经济有效率发展的社会运行机制保证。近30年来,公司治理理念以及在城市发展上的运用,在理论和实践上都取得了许多突破,可以成为中国改革市政管理体制的思想基础。企业治理的发展经验和历史演进是较为丰富和成熟的,借鉴其用于城市治理结构建设和城市治理运行的核心理论,是中国应对快速城市化进程的政策思想基础。本文借鉴企业治理的理论和成熟经验,从城市治理结构创新角度出发,试图建立以城市政府在内的由市民、公共部门、私人利益集团等所组成的“城市董事会”为核心,以市政企业为经理层,以市民为主要参与主体的监督层所构成的具有企业治理结构模式的市政管理体制,它可以有效地协调私营部门和公共部门,将城市的公共资源和私有资源有机结合起来,并以法律、法规、制度等形式确定下来,以实现城市治理经济、社会、环境生态效益统一的多元目标。(3)通过城市治理结构创新和市政管理体制改革,为市政经济运行和发展提供制度保障。基于市政管理体制框架构建的股东大会、城市董事会、城市治理监事会及市政总经理为主体的组织架构,市政总经理指导下的城市建设集团、城市投资集团、城市公共服务集团内部的市政企业运行,为市政经济的运行和发展提供了制度保证。并且市政企业的治理结构和运行目标也成为市政经济发展的内在驱动力。本文尝试着从市政经济的界定、城市化经济、公司治理等基本理论出发,在深入分析中国市政经济运行、市政管理体制现状和问题的基础上,借鉴国外先进经验,对基于实现市民福利最大化目标的市政经济运行进行了研究和探索,希冀实现市政经济对城市经济发展的全面带动,以此来实现中国城市化的现代化目标。更多还原

【Abstract】 China is in an accelerated period of urbanization now, there has been a large number of "urban disease" during the modernization process which is marked by urbanization in China, such as:housing and transportation, environmental pollution, unemployment, public service lag. This calls for the supply efficient scale of municipal public product and public service. But the traditional city public goods supply mode guided by government vertical departments has been unable to keep up with the rapid development pace of urbanization or even city modernization yet. This needs more diversified development measures immediately. From China’s city requirements of the reality, we consider that enhancing the urbanization efficiency and dealing with various urban disease is to explicit and develop modern "municipal economy" vigorously through observation and research.Municipal economy is a general term for activities of public economic decision and administrative execution process around the city public economic affairs launched by city government. A simplified understanding is "polis economy". It is a prominent city vertical sectors of lateral aggregation function of "block" system. Its development objective is to maximize the comprehensive benefit of city function and public welfare. In the process of urbanization, people do not quite understand the structural connotation of "polis" and "mart" urbanization and city. People also do not quite understand the function of "polis economy" and "mart economy". Therefore, people do not quite understand how to cope with the urban disease in the process of urbanization by municipal economic function. The municipal economy is an important way to realize city modernization by its special urbanization economy connotation. It is modern means to meet common goals and interests of modern city. Therefore, analysis and study the municipal economy systematically. How to establish the reasonable structure of urban governance to adapt to the rapid process of municipal economy has become a major issue which can not be avoided. In view of this, based on the theoretical analysis of municipal economy, this paper tries to design a totally new municipal economy development model. Obtain important factors affecting the municipal economic development to explore the basic ways to realize the goal of maximizing the public welfare development of municipal economy through urban governance innovation and municipal management system as system security.In China, although the city has long history, the emergence of city construction system and the formation, development and perfection of municipal management system are relatively late. Until the end of the Qing Dynasty to imitate western country local political system, it executes rural area and builds city construction system. After the founding of new China, the focus of the Party from the countryside to the city, it strengthens the city’s leadership and management. It formed a set of distinctive Chinese characteristics of municipal management system gradually. However, there has no fixed model and unified standard of municipal management system. We can not compare it simply and abstractly. Whether the municipal management system is reasonable, it can meet the requirements of municipal economy development or not, which is the only standard to judge the municipal management system. The municipal management system is the continuation or miniature of one country’s system, which is affected by the country’s economic level, historical traditions, cultural practices and national quality factors. They are quite different from China and the western countries in the political system, there is a considerable difference between our country municipal management system and the West decided by it. After the founding of new China and long course of development, it gradually formed a municipal management system with Chinese characteristics after the reform. But due to the influence of the highly centralized planned economy, which causes our country municipal management system in content with "economic type" and in the management way with "administrative" features. There have existed some disadvantages for long-term, such as: not to separate the Party work from the government work, integration of government administration, over-concentration of power and compartmentalization of malpractice. It restricted the development of economy and society. Since the reform and opening-up, our country municipal management system also undertakes a series of reform in order to adapt to the need of economic and political system reform, such as:"city administrating country" reform, municipalities in the reform and region market system reform, which make the municipal management system standardized, efficient and democracy. But because our country is in social development of transition and the crucial period of reforming and opening, there still exists some problem of the current municipal management, such as: non-standard transformation of the governmental function, too much intervention on the operation of micro economy, weak public administration and services; overlapping responsibilities of branch, the outstanding of accrual of disconnection and low efficiency issue; unreasonable of government agencies, the morbidity of administrative operation and management system and so on. This has a direct impact on the city government to perform the functions correctly, which restricts the development of municipal economy. Therefore, explore the reformation of municipal management system to deepen from the angle of developing municipal economy, which is full of important development significance for guaranteeing urbanization high efficiency development and realizing modernization through urbanization of China.In this paper, use the method of system analysis to clarify the connotation of municipal, municipal economy, municipal system and municipal management system. Discuss the meaning of municipal economy in-depth in order to make a theoretical preparation for further study of municipal economy. On this foundation, describe the connotation and operating system of municipal economy from the analysis of demand and supply. Analysis the main structure of municipal economy operation, such as:city government, municipal corporate, citizen and non-profit organization. Card the governance structure from two angles of property type and organization type, and make comparative analysis of urban governance structure and corporate governance structure. And then make comparison between the municipal management system of western developed countries and China’s municipal management system. Through the analysis of target state and running state of municipal economy development, it points out that the objective of municipal economy development is to achieve the welfare maximization. And the citizen welfare can be achieved through the intervention of public and private goods output ratio. In reference to social welfare growth model of urban governance, we establish the municipal economy development model. Provide the reasonable proportion of city public goods and private goods through controlling the parameters of the government policy and the main factor of each participant.According to the35provincial capital cities and cities specifically designated in the state plan for nearly ten years of data on municipal economy development model for regression analysis of panel data, we concludes that the public welfare is relevant with city population, city infrastructure investment, city land area and other correlated variables. And analyze the future development trend of China’s municipal economy structure. It provides guarantee for the operation and development of municipal economy from the urban governance innovation and municipal management reform between theory and practice from the two aspects of system. Finally, we study the municipal corporate in the operation and development of municipal economy in-depth from the angle of governance and operation target.This paper plans to create something new on the basis of domestic and oversea research from all-round and multi-angle. First is the innovation of concept. This paper analyzes the basic concepts and theoretical framework of municipal economy systematically. Then synthesize the concept of municipal, urban economy and urbanization economy, which can help people to have a comprehensive understanding of scientific and reasonable municipal economy and the municipal management system. Second is the innovation of research perspective and research methods. This paper uses the principal-agent theory to explain the principle of urbanization welfare and proposes the perspective of appropriate proportion of municipal economy efficiency of public goods and private goods. To define the GDP per capita between promotion of private goods and public goods in the city running balance and guarantee the balance of urban governance. It is a valuable approach to try. Finally is the innovation of research content. According to related civil and abroad theory and combined with the experience of Chinese reform-and-open, put forward the municipal development model. Take the typical cities of China as the example for the panel data regression analysis to verify the hypothesis model. Provide the practical model of urban governance and put forward the reform idea based on the innovation of urban governance structure of municipal management system—constituted by general meeting of shareholders, board of directors, board of city supervisors and municipal manager of organization kernel. And make it as the dual system guarantee of municipal economy development operation.Through systematic analysis of municipal economy, urban governance structure and municipal management system, this paper draws the following important conclusion:(1) Apply the modern economic thought to construct the municipal economy development model. In reference of Peltzman model and social welfare growth model, this paper designs municipal economy development model. Because China’s political reform is still not up to the extent of market democracy, we can refer to Peltzman model theory to establish the municipal economy development model. Specifically, it is to consider the use of public goods and private goods to replace the consumer surplus and producer profits. To achieve the objectives of balanced control of public goods and private goods, we control the coefficient by the per capita consumption expenditure, the fiscal expenditure per capita, city infrastructure investment and urban land area. Through the empirical analysis, we find that municipal economy plays a leading role in the urban economy development, focusing on city land planning and utilization, infrastructure construction, the enhancement of public utilities services and municipal finance efficiency. Therefore, China’s future development of intensive and rational planning and land use, improvement of city infrastructure building capacity, the fund use efficiency of infrastructure investment and the improvement of municipal finance efficiency are the basic way to enhance the efficiency of urbanization of China.(2) Establish the urban governance structure by modern corporate governance theory. This is the social operation mechanism guarantee of municipal economy development efficiency. Using the corporate governance theory on the development of the city in the past30years, there has been some breakthrough of theory and practice, which can become the ideological basis of municipal management system reform in China. The evolution of business management experience and historical evolution is more abundant and mature, which can be the core theory part of urban governance operation and urban governance structure construction. This is policy thought foundation to deal with the rapid urbanization process in China. This paper draws lessons from corporate governance theory and mature experience, tries to establish municipal management system which consists of "city board of director" as the core of city government by members of the public, the public sector and the private interest group. Make the public as the main body of supervision in layers with corporate governance model and the municipal corporate as managers on the perspective of governance structure innovation. This management system can coordinate the private sector and public sector effectively, and combine the city’s public resources and private resources organically, In order to realize the social, economic, environmental and ecological benefits uniform multiple target of urban governance, we must confirm the form of laws, regulations and system.(3) Use urban governance structure innovation and municipal management system reform to provide system guarantee for the operation and development of municipal economy. Based on the organization structure to construct a framework for the municipal management system of the general meeting of shareholders, board directors of urban governance, city board of supervisors and municipal general manager, it also provides the system guarantee for municipal economy by municipal corporate operation of city construction group, city investment group and city public services group directed by the municipal general manager. And the governance structure and operation goal of municipal corporate has become the internal driving force of municipal economy development.This paper tries to carry on research and exploration of municipal economy, urbanization economy and corporate governance from definition and other basic theories, based on in-depth analysis of municipal economy operation, status and problems of municipal management system in our country, as well as foreign experiences. We research and explore the municipal economy operation to achieve the goal of public welfare maximization, hoping to achieve the comprehensive drive of municipal economy for urban economy development. Finally, it can achieve the goal of China’s modernization.更多还原