【作者】 石培琴；

【导师】 苏明；

【作者基本信息】 财政部财政科学研究所 ， 财政学， 2014， 博士

【摘要】 十六大尤其是十六届六中全会提出“逐步实现基本公共服务均等化”以来,随着区域协调发展战略的实施,中央转移支付力度加大,以及公共财政、民生建设的大力推进,我国基本公共服务制度框架初步形成,基本公共服务标准建立：2009年左右区域间基本公共服务差距呈缩小趋势,西部地区发展更快；覆盖面不断扩大,基本公共服务项目增多,标准不断提高、个人负担不断降低,已建成了世界上最大规模的、全覆盖的基本医疗保障网和养老保障网。基本公共服务投入不足、区域基本公共服务差距不断拉大等问题得到了初步解决。但是又出现了新的问题：基本公共服务质量问题越来越凸显,优质基本公共服务供给不充足和不均衡越来越突出；区域内、省际内不均等比较突出；基本公共服务供给碎片化、基本公共服务结构差异等问题显现。这些都表明,我国区域基本公共服务均等化正处于一个新的起点上。在推进中是继续坚持以前渐近式的扩大投入、增加项目、提高标准思路,还是要进行调整?需要深入研究。本文试图从理论和实践两个层面来寻找答案。公共服务——公共服务均等化——基本公共服务均等化,内涵不断缩小。公共服务主要源自于正外部性,一类是让大家生活得更好,比如接受教育、享受公共文化、免于贫困(社会救助、保障住房等)、免于疾病等；一类是与劳动力流动相关,能够促进劳动力自由流动,比如养老保险、医疗保险以及公共就业服务等。基本公共服务均等化中“公共服务”,特指中央和地方政府共同提供、需要均等化的公共服务,“基本”是指与人们基本的生存权和发展权紧密相关、还受国家财政供给能力约束的公共服务。社会扣除理论、公平正义观等马克思主义经典理论,福利经济学理论、公平正义论等西方政治经济学理论,以及我国包容性发展中的财政选择、民生财政、区域平衡发展等理论,都为区域基本公共服务均等化提供了坚实理论基础。在具体供给中,要处理好两个基本关系,政府与市场的关系,让政府、市场、社会各得其所、共同发挥作用；中央与地方的关系,各级政府各司其职、密切配合,共同提供优质高效的基本公共服务。市场经济条件下,区域基本公共服务均等化的实现机制包括推进区域协调发展、实行分税制、建立公共财政、实施转移支付等。实践层面,首先回顾了国外的做法与经验。选取典型国家的案例进行比较分析,在基本公共服务制度建成后,从上个世纪80年代新公共管理运动起,到近期欧债危机后欧盟各国快速推进的福利改革都表明,改革完善已成为主流。主要经验有：公共服务提供不是一个模式,而是各国不同、量身定做；不是一蹴而就的,而是不断修正、不断改进的逐步完善过程,建立一个完善的制度需要一个较长的历史时期,基本公共服务的财政支持方式要与发展阶段相匹配等；改革未有尽头,健全完善公共服务各国都“在路上”,并且会一直“在路上”。主要教训有：跃进式、追赶式、渐近式福利,都会遇到财政汲取能力的天花板,只要超过了财政收入,就会遭遇福利困境或福利陷阱；由于制度惯性,福利困境会滞后一段时间才显现,由俭入奢易,由奢入俭难,一旦显现,任何国家都会遭受福利改革之困,新兴国家可能引起社会动荡,老牌福利国家会遭遇利益集团的阻挠。我国区域基本公共服务均等化从建国至今,大致经历了三个时期：“事项少、广覆盖、区域均等、城乡分割、个人负担较低”的低水平均衡时期(1949—1977年),“覆盖面不断缩小、区域差距不断加大、城乡差距不断加大、群体差距不断加大、个人负担不断加重”的逐步失衡时期(1978—-2002年),“广覆盖、趋于均衡、个人负担降低”逐步迈向新的均衡时期(2003年—至今)。从理论和实践分析看,区域基本公共服务均等化内生于经济社会发展,尝试建立了基本公共服务需求与供给分析框架。由于公共服务需求单边增长、公共服务供给受财政能力约束有上限,故公共服务供给在经历瓦格纳增长后,必然会在财政能力约束下出现瓦格纳调整,基本公共服务供给一般会经历较低且相对稳定、持续增长、水平合理且相对稳定等三个阶段。进入瓦格纳调整即相对稳定阶段后,公共服务供给就要从扩大投入、数量扩张到提高质量和提升效率转变,从满足需求到引导管理预期的转变。按照供求框架的分析,当前我国推进区域基本公共服务均等化的主要难点在财政收入增长空间变窄、公共服务支出压力增大,由此判断我国正在向第三个阶段转变：即将进入巩固完善时期,要更加关注机会均等、更加关注质量效率、更加关注预期引导,主要目标是：全面覆盖,公平均等,负担均衡,要把握四个基本原则：公平正义,一体化；基本适度,可持续；政府主导,多元化；事权清晰,均等化,要在数量标准的基础上,关注质量标准及可及性标准。更多还原

【Abstract】 Since the16th National Congress of the Communist Party of China and its sixth plenary meeting put forward "gradually realize the equalization of basic public service", as long with the implementation of the strategy of regional harmonious development, the increase of central transfer payments, and the promotion of public finance and livelihood construction, the framework for basic public service system in China initially formed and relating standards established. Basic public services disparity showed a trend of shrinking around2009, while the western region developed faster. Due to expanding coverage, increasing service items, improving standards, reducing individual burden, we have built the world’s largest, full covered basic medical insurance network and old-age security network. Those problems such as under investment and widening disparity get preliminarily resolved. But new problems occurred:inadequate and imbalanced supply, regional and provincial inequality, and architectural differences are more and more highlighted. All of these show that the equalization of basic public service in China is at a new starting point. We need to study thoroughly in advance to continue to stick to our previous thinking, namely incremental expand investment, increase the project, and increase in the standard, or still need to adjust our thought.This paper tries to find the answer from both theoretical and practical aspects. The connotation is shrinking from public service, the equalization of public service to the equalization of basic public service. Public service is mainly derived from the positive externalities, one kind is to let all the people have a better life like receiving education, enjoying public culture and freedom from poverty(social assistance, affordable housing, etc.); another is to promote the free movement of labor which is related to labor mobility, like endowment insurance, medical insurance and public employment service etc. the "public service" in equalization of basic public service, especially refers to the central and local government provide, need the equalization of public services,"basic" refers to the basic right to survival and development which is closely related with people, also be bound by national finance supply capacity of public services. Classic marxist theory like social theory of deduction, fair justice, western theory of political economy like welfare economics theory and the theory of fairness and justice and our country’s inclusive development theory like fiscal choice, finance of the people’s livelihood, the regional balance development finance, all of those theories provide a solid theoretical basis for the equalization of basic public service. In the specific supply, the relationship between government and market needs to be dealt with, let the government, market, society find its right place and function together. And also the relationship between central government and local governments, that is governments at all levels each performs its own functions, cooperates closely, and provide high-quality and high-efficient basic public services. Under the condition of market economy, regional implementation mechanism of equal basic public services includes promote regional coordinated development, implement system of tax distribution, build public finance and carry out transfer payment.In practical level this paper reviews the foreign practice and experience firstly. It makes a comparative analysis of cases in typical countries after the completion of the basic public service system, from the new public management movement in the1980s to the recent welfare reform the European Union rapid pushed after debt crisis show that reform and improvement has become the mainstream. Main experience are:Public services is not a pattern, but is customized; it is not accomplished in an action, but constantly amended and improved process; it needs a long historical period to establish a perfect system; the financial support manner of basic public service is to match the stage of development, etc.; along with the endless reform, all countries are "on the road" in strengthening and perfecting the public service, and will always be "on the road". Main lessons are:A leap, chasing, incremental benefits has the financial ability to ceiling, as long as exceed the fiscal revenue, will encounter benefits plight or benefits trap; due to the system inertia welfare predicament will lag for some time to appear, since from thrifty into luxury is easy, from luxury into thrifty is hard, once appeared any country will suffer benefits plight, emerging countries may arouse social unrest, while established welfare states will meet with obstruct of interest groups. Since1949, the regional equalization of basic public services roughly experienced three periods:low level balance period namely "few items, wide coverage, regional equalization, division of urban and rural, lower individual burden"(1949-1977), gradual unbalance period namely "shrinking coverage, enlarged regional disparity, increasing urban-rural gap, rising group disparity and sharpening individual burden"(1978-2002), and gradual march toward new balance period "wide coverage, lean to balance, lower individual burden "(2003-now).From the theoretical and practical analysis, the regional equalization of basic public services is derived from economic and social development. So this paper tries to establish basic public service supply and demand analysis framework. Due to the demand of public service unilateral growth and the public service supply limited by fiscal capacity, the public service supply will appear under fiscal capacity constraints Wagner adjustment after Wagner growth, and the’basic public service supply will generally experience three phases:lower and relatively stable, sustainable growth, reasonable level and relatively stable. After enter the Wagner adjustment, the relatively stable phase, the public service supply is converting from expanding investment and quantity to improve the quality and efficiency, from meeting demand to guide the expected management. According to the framework of supply and demand analysis, main difficulties on regional equalization of basic public service are in narrowing fiscal revenue growth space and enlarging expenditure pressures, thus help to judge is to convert to the third stage in our country, namely is about to enter to consolidating perfect period, to pay more attention to equality of opportunity, the quality efficiency, prospects guide. Main objectives are:complete coverage, fair and equal, balanced burden. To grasp the four basic principles:integration based in fairness and justice; broadly appropriate sustainable growth; diversification dominated by government; clear and equal power division, and pay attention to quality standard and accessibility standard on the basis of quantity standard.更多还原