【作者】 李志远；

【导师】 张晓光；

【作者基本信息】 河北农业大学 ， 农业经济管理， 2007， 博士

【摘要】 加强农村基础设施投资，不仅是“工业反哺农业，城市反哺农村”、实现城乡统筹发展的途径之一，也是建设社会主义新农村的重要内容。研究农村基础设施投资问题，可以为解决农村基础设施投资资金不足、投资效率不高等现实问题提供理论依据和政策建议。本文在分析归纳国内外现有研究成果的基础上，将解决农村基础设施投资资金筹措问题确定为研究的目标，以公共产品理论为基础，对农村基础设施投资主体行为特征和投资成本补偿方式进行了理论研究，并结合对河北农村基础设施投资情况的调查资料，分析了财政体制、区域经济差异、二元经济结构、政府投资决策方式、资金管理方式等因素对农村基础设施投资的影响。在理论研究和实践分析基础上，做出了研究结论并提出了政策建议。基础设施的外部性以及政府的目标是促成政府投资的主要原因；“政府失灵”问题的存在为私人投资提供了机会，而基础设施私人投资的动力，则来自于营利组织和个人的“经济人”动机；俱乐部性质基础设施的存在以及现实生活中人们的利他主义情结促成了成员间合作的集体投资方式；非营利组织进行基础设施投资的动力，主要来自志愿组织成员的“公益人”行为倾向。为了提高投资效率，政府必须采取适当的奖罚措施来调整地方政府的投资行为；在制定基础设施投资政策时，还要注意改善农业基础设施投资的效益，从而解决农业与非农行业基础设施不平衡发展的问题。在农村基础设施融资策略的选择方面，应建立政府主导的市场化融资策略；同时，要创新农村基础设施的融资方式。农村基础设施投资成本补偿应同时遵循效率、公平和环保三项原则。通过税收对基础设施投资进行成本补偿是一个非常可靠和有效的途径，而税收补偿既可以是来自直接征税获得税金资源，也可以是通过转移支付、财政补贴等方式获得的非直接税金。收费作为一种成本补偿方式，具有防止大量“免费搭车者”之功效，还可以为消费者提供更好和适度的基础设施。第三方贡献比如开发商贡献、发行彩票、捐赠等方式对基础设施投资成本补偿也有着自己独特的优势。在选择中国农村基础设施投资成本补偿方式时，应该立足于中国农村经济较为落后的现实条件，从公平和发展的角度出发制定农村基础设施投资成本补偿方案。河北农村基础设施投资具有总体投入不足、发展不平衡、投资主体呈现多元化态势、收入水平与基础设施投资相关、基础设施投资需求不完全一致等特征。从财政体制的角度来看，财权和事权的不协调导致地方政府在农村基础设施投资中难以发挥更大作用；从城乡二元经济结构的角度来看，由于长期以来形成的基础设施城乡二元供给体制直接导致了农村基础设施投资的不足；从区域经济差异的角度来看，非均衡发展战略及地区间自然禀赋、区位条件等的差异决定了地区间基础设施投资差距存在的必然性；从投资决策的角度来讲，传统的“自上而下”的决策方式往往忽视了广大农民对基础设施的实际需求，导致在农村基础设施建设过程中出现总量不足、结构不合理的现象；从资金管理方式的角度来看，政府层级多、资金拨付效率低，多头管理，监督机制不健全等问题，导致了农村基础设施投资缺乏效率。本文在以下方面有所创新：(1)从成本补偿的角度分析研究农村基础设施投资资金筹措问题，认为不仅是初始投资成本，还有存续过程中的使用成本都必须有完善的补偿机制。(2)依据公共产品理论，针对农村基础设施的特殊属性，分析了其投资主体的行为特征。(3)将微观经济组织的财务管理原理应用到财政资金管理研究中，分析了国内财政农业投资资金筹集和使用方面存在的问题。(4)以调查资料为依据，分析了河北农村基础设施投资存在的问题，并从不同角度分析了其产生的原因，分析结果为河北省在新农村建设时期加强农村基础设施投资提供了理论参考。更多还原

【Abstract】 Strengthening the rural infrastructure construction is not only a way of "Industryfinancing Agriculture, cities supporting rural areas in return" and realizing the plan ofurban and rural balanced-development, but also an important part of building a newsocialist countryside. The research on the Rural infrastructure investment can provid thetheoretical basis and policy suggestions for us to resolve the shortage of investment fundand to improve the efficiency. Based on the reviews of the domestic and foreign previousresearches and the theories of public goods, the dissertation focused on the problemsrelative to financing rural infrastructure development, analyzed theoretically the behaviorcharacteristics of rural infrastructure investments and developed the mechanism ofcompensation for investment costs. The dissertation also analyzed the public financesystem, regional economic unbalance, the dual economic structure, investmentdecision-making, capital management, etc. with Hebei data and gave somerecommendations for government agencies to make policies.The dissertation holds that the externalities of infrastructure and the government’sobjective is the main reason for the government investments. Though "government failure"make it possible for private sector to invest in rural infrastructure, their motivations are tomake profit maximization as economic men. The existing of club nature infrastructure andaltruism promotes the collective cooperation investment. The force of non-profitorganizations for infrastructure investment comes mainly from the public welfare action ofthe members of the volunteer organizations. To improve investment efficiency, thegovernment agencies must take appropriate measures to adjust the local government’sinvestment. We should also pay attention to improving the efficiency of investment inagricultural infrastructure in order to solve the problem of unbalanced developments ofinfrastructure between agricultural and non-agricultural sectors. The government agencieshould innovative ways to finance and establish a market-oriented financing strategies.Rural infrastructure investment costs compensation should follow the principles ofefficiency,fairness and environmental protection. It is a reliable and effective way tocompensate the investment cost by taxation. Compensation can be come from both directtax revenue and non- direct tax revenue such as transfer payments. Fees as a cost ofcompensation can prevent large numbers of "free riders" and provide consumers withbetter and appropriate infrastructure. Third-party contributions has its own uniqueadvantages for compensation for infrastructure investment costs through developers contribution, lottery tickets, donation or assistance etc. China should make the policiesbased on the actual situation when choosing the way of compensation for infrastructureinvestment cost.From the data of Hebei province, rural infrastructure investment take oncharacteristics such as inadequacy, structural imbalances, Diversification of the investor,correlation between the level of revenue and infrastructure investment, different demandson infrastructure investment and so on. From the point of view of the financial system, thelimited fiscal rights make it difficult for the local authority to play much more importantrole in the infrastructure construction. From the point of view of the dual urban-ruraleconomic structure, the long-standing infrastructure of the urban-rural dual supply systemdirectly leads to the lack in rural infrastructure investment. From the point of view of theregional economic differences, it is the strategy of uneven regional harmoniousdevelopment and differences of natural resources and position condition among regionsthat have decided the difference in rural infrastructure investment. From the perspective ofinvestment decisions, the traditional "top-down" decision-making often ignores the realneeds of the broad masses of peasants for infrastructure, which results in insufficient andunreasonable structures.From the point of view of capital management, it is thegovernment levels, the low efficiency in funds allocation and overlapping management thatlead to a lack of investment in rural infrastructure efficiency.Some innovations were made in my dissertation as follows:First, the financing of rural infrastructure construction was researched from the pointof view of compensation for investment costs. The report suggested that not only the initialinvestment costs but also the existence cost must be compensated with a new mechanism.Second, based on the public good theory, the behavior characteristics of ruralinfrastructure investors have been theoretically disscussed focusing on the specialattributes of rural infrastructures in the dissertation.Third, problems about collection and use of the fund for domestic public investmentsin agriculture were analyzed by applying micro-economic theories to public finance.Last, based on the survey data, I analyzed the existing problems of Hebei ruralinfrastructure investments and found the causative factors. The conclusion was drawn toprovide a theoretical reference for the rural infrastructure construction in the period of newvillage constructure in Hebei province.更多还原