【作者】 白祖纲；

【导师】 沈荣华；

【作者基本信息】 苏州大学 ， 政治学理论， 2014， 博士

【摘要】 近年来，随着《国务院关于鼓励和引导民间投资健康发展的若干意见》的出台，我国地方公共物品与服务的供给采用公私伙伴关系的机制与各种模式已经逐渐进人法制化与制度化的轨道。由于地方公共物品与服务的供给对于当地居民而言具有消费的共同性与消费的必然性，事关一定地域内社会共同体生存与发展的基本权利，并且其公共性特征说明无论生产与提供的主体是公共部门还是私人部门，都不能单纯为了个体私利而牺牲公共利益或公共价值。公私伙伴关系诞生于新公共管理运动时期，它所具有的私人融资、经营风险转移给私人部门、资源共享与收益共享、以较低成本提供较高水平的公共物品与服务等特点受到了各国政府的青睐。我国地方政府正面临经济结构调整期、改革攻坚期与地方债务扩大期的困境，本着降低财政支出、提高公共服务水平、活化民间资本与鼓励公民参与的目的，公私伙伴关系供给地方公共物品与服务成为地方政府的最优选择。首先，本文对近20年来国内外有关公私伙伴关系和地方公共物品的研究文献进行了分类梳理，尤其对国内现有文献与研究成果进行了重点介绍，并指出了国内研究中存在的不足。对国外公共物品的研究流派、历史讲行了回顾，并且对国外公私伙伴关系与各种理论的关系进行了简要介绍。其次，本文对合作、公私伙伴关系、公共物品与地方公共物品四个核心概念进行了介绍与概念界定。根据论文理论框架的需要，将合作分为语言合作、行动合作与组织系统合作三种类型。将公私伙伴关系分为体制性公私伙伴关系与机制性公私伙伴关系，并以体制性公私伙伴关系作为本文研究框架的基础；同时，以纵向研究的视角，将公私伙伴关系的内涵分为传统的公私伙伴关系、经济——财政型公私伙伴关系、管理型公私伙伴关系与行政改革型公私伙伴关系。公共物品的概念介绍了萨缪尔森、布坎南、奥尔森和埃莉诺·奥斯特洛姆的公共物品概念，以及蒂布特的地方公共物品概念。本文的地方性公共物品概念强调了其地域性、公共性、共同性与消费的必然性特征。再次，理论基础介绍了新制度经济学的委托代理理论、交易成本理论与公共选择理论及其与公私伙伴关系的相关性。民营化理论介绍了民营化的概念、民营化与公私伙伴关系的相关性，及民营化的类型与方式。新合作主义理论介绍了其内涵、基本观点及国家与功能分化的利益代表团体之间的合作关系。协商民主理论介绍了各家关于协商民主的基本内涵及协商民主的特征，尤其重点介绍了伊森·里布的民主的公众部门的思想。政府改革理论介绍了新公共管理理论、新公共服务理论、整体性政府理论与我国的地方服务型政府理论。其中，新公共管理运动是公私伙伴关系诞生的社会与政治背景；新公共服务及我国的服务型政府理论与实践对公私伙伴关系的公民权利指向、人本主义关怀、社群价值肯认，以及公共服务的公共与公平属性在公共精神层面进行了内在反思；而整体性政府理论则对政府体制框架与跨部门的协同治理能力完善进行了外在规约。第四，本文对公私伙伴关系的国外动态发展进行了回顾与整理，提出了公私伙伴关系下地方公共物品供给存在的共性问题，即公共利益监管的体制性漏洞、成本控制的机制性模糊、利益表达的制度性缺失的问题。并详尽地分析了上述问题的原因，这些原因主要包括五个方面：一是官僚理性的延续与“内部员工”干扰；二是交易成本与委托代理关系的原因；三是市场失灵与私人部门不成熟；四是法律适用中公私之争（适用公法还是私法的争论）与刚柔困境（硬法与软法间关系的困境）；五是公民参与不畅和社会资本缺失。第五，本文基于上述问题及原因分析，提出了本文的理论研究框架：一是公共性与新型公私合作观为观念基础；二是关于公共部门暨地方政府体制的设计；三是公私伙伴关系下私人企业的道德伦理与企业社会责任；四是从公民与社会团体角度审视，增值社会资本与公众部门的设计架构。最后，本文采用嵌入性单案例研究方法，对台湾高铁的公私伙伴关系模式进行了分析，案例先是简单介绍了台湾的经济发展与近20多年来的民营化与公私伙伴关系发展历程，接着回顾了台湾高铁项目从论证、兴建到营运的过程。重点部分是对台湾高铁的开发与发展过程中围绕着公共部门、私人部门、公民与社会团体之间的多元关系按照模式匹配原则进行了分析。更多还原

【Abstract】 In recent years, with the appearance of the state council’s several opinions onencouraging and guiding the healthy development of private investment/non-government investment, the mechanism and various patterns of adoptingpublic-private partnerships for the supply of our local public goods and services havegradually realized legalization and institutionalization. Since the supply of local publicgoods and services have commonality and inevitability of consumption for localresidents, which is a matter of the basic rights of the survival and development ofcertain region’s societal community, the public character indicates that whether the mainbody of production and provision is a public sector or a private sector, it is notappropriate to pursue pure individual self-interests at the expense of public interests andpublic values. Born in the new public management movement, the public-privatepartnership was characterized by private investment, operating risk transferring to theprivate sector, revenue sharing and resource sharing, providing higher levels of publicgoods and services at a lower cost, etc. which were favored by all governments. Ourgovernment is facing the difficulties of experiencing economic structure adjustment,crucial reform and local debt expansion, In line with the purpose of reducing financialexpenditure, improving the level of public service, activating the private capital andencouraging citizens to participate in, to supply local public goods and services on thebasis of public-private partnerships becomes the local government’s optimal choice.First of all, this paper sorts out the nearly20years’ research literature at home andabroad about the public-private partnerships and local public goods, especiallyintroduces the domestic existing literature and research results, points out theshortcomings in the course of study at home, reviews the foreign study schools andhistory of public goods, and briefly introduces the relationship of the public-private partnerships abroad with all kinds of theories.Secondly, this paper introduces the four core concepts: cooperation, public-privatepartnerships, public goods and local public goods. According to the need for the thesistheoretical framework, cooperation can be divided into three types: languagecooperation, action cooperation and organization system cooperation; public-privatepartnerships can be divided into institutional public-private partnerships and mechanicalpublic-private partnerships, with the institutional public-private partnerships as the basisof this paper’s research framework. At the same time, in a longitudinal studyperspective, the connotation of public-private partnerships can be divided intotraditional public-private partnerships, economic and financial public privatepartnerships, management public-private partnerships and administrative reformpublic-private partnerships. Samuelson, Buchanan, Olson and Eleanor Oster’s conceptsof public goods and Tiebout’s concept of local public goods will be introduced. In thispaper, the concept of local public goods underscores the characteristics of regionality,publicity, commonality and the necessity of consumption.Thirdly, the theoretical foundation is about the principal-agent theory of newinstitutional economics, transaction cost theory, public choice theory and their relevanceto public-private partnerships. The privatization theory introduces the concept ofprivatization, the correlation of privatization with public-private partnerships, and thetypes and ways of privatization. New cooperation theory introduces its concept, basicidea and cooperation relationship between the state and the function differentiatedinterest groups. Deliberative democracy theory introduces the various basic conceptsand features of deliberative democracy, especially focusing on Ethan J. Leib’s idea ofdemocratic public sector. The government reform theory introduces the new publicmanagement theory, the new public service theory, the government integrity theory andour local service-oriented government theory.Fourthly, this paper presents a universal problem of local public goods supplyunder the public-private partnerships, namely the lack of public interest the governmentregulatory loopholes, cost control problems, the system problems and the expression ofinterest. The paper also makes a detailed analysis of the above problems’ causes: the public sector’s rational self-care and structuring, the relationship of transaction cost andprincipal-agent, market failure and the market risk, the perfection and improvementdegree of law norms, the judgment that whether the legislation of public-privatepartnerships is a public law or a private law, the combining relation of hard law and softlaw, the citizen participation and the lack of social capital.Fifthly, based on the above analysis of the problems and reasons, this paper putsforward the theoretical research framework: first, the public and the new concept ofpublic-private partnerships is the idea; second, the design of public sector and localgovernment system; third, the private enterprises’ ethics and corporate socialresponsibility under the public-private partnership; fourth, adding value to social capitaland the design architecture of public sector from the perspectives of citizens and socialorganizations.Finally, this paper adopts embedded-single-case study method to analyze thepublic-private partnerships mode for Taiwan high speed rail. The case first simplyintroduces Taiwan’s economic development and the nearly20years’ developmentcourse of the privatization, and then reviews the process of the Taiwan high speed railfrom argumentation, construction to operation. The key part is the analysis of theTaiwan high speed rail’s following the pattern matching principle in the process ofexploit and development, which is around the public sector, private sector, the multiplerelationship between citizens and social groups.更多还原