【作者】 曲延春；

【导师】 孔令栋；

【作者基本信息】 山东大学 ， 科社与国际共运， 2008， 博士

【摘要】 近些年来,“三农”问题逐渐成为了制约我国经济社会发展和全面建设小康社会的难点和重点。为解决“三农”问题,党中央明确提出了建设社会主义新农村的历史任务,这为做好当前和今后一个时期的“三农”工作指明了方向。建设社会主义新农村的具体措施包括推进现代农业建设、促进农民持续增收、加强农村基础设施建设、加快发展农村社会事业、加强农村民主政治建设等多方面的内容。其中,这些措施的一个重要方面就是要增加国家财政资金对于农业和农村的投入,从而增加农村公共产品的供给。因此可以说,增加农村公共产品供给是建设社会主义新农村的关键。农村公共产品是相对于农村私人产品而言的,为农村地区农业、农村或农民生产、生活共同所需的具有一定的非排他性和非竞争性的产品或服务,如农村公路、自来水供应、农田水利工程、农村义务教育、农村公共卫生、农业科技推广等都属于农村公共产品的范畴。长期以来,在公共产品的供给中,我国形成了城乡政策不同的二元供给结构,城市的公共产品供给主要由国家通过政府税收来负担其成本;而农村的公共产品供给却以制度外供给为主,即国家一般只负担一部分成本,主要成本则由农民负担。我国农村的基本经营制度虽在建国后几经变革,但以制度外供给为特征的农村公共产品供给体制却无实质性的改变。长期以来,我国的财政政策向城市倾斜,而对农村提供的财政资金却极为有限。国家财政资金对农村和农业的低投入造成了农村公共产品供给总量严重不足,如农田水利设施老化失修严重、农村基础设施建设滞后、农村各项社会事业发展缓慢等。农村公共产品供给的不足不仅影响了农民生活水平的提高和农业生产的发展,而且制约了农村经济社会的进步,成为导致城乡差距不断扩大的重要因素。那么建国后我国为什么会形成城乡二元的公共产品供给结构?为什么在农村会形成以制度外供给为特征的公共产品供给体制?农村基本经营制度的变革为什么没有引起农村公共产品制度外供给的改变?应该如何构建新的农村公共产品供给体制呢?本文的研究主要就是围绕这些问题展开。以制度外供给为特征的农村公共产品供给体制是伴随着我国农业合作化运动的发展而形成的。随着农业合作化运动的发展,农民合作组织逐渐成为了农村公共产品的主要供给主体,在《高级农业生产合作社示范章程》中,农村公共产品的制度外供给作为国家的一项制度安排被确定下来。这一体制的形成的客观原因就在于,建国之初,在当时生产力落后的情况下,农民必须通过互助合作的方式,才能解决农村公共产品的供给问题,以满足生产和生活的需要。从主观方面来讲,这一体制形成的主要原因就在于我国选择的重工业优先发展战略。在这一战略选择下,为了保证城市和工业的发展,我国建立了城乡政策不同的、二元的公共产品供给结构。人民公社时期,农村公共产品供给体制延续了合作化时期刚刚形成的制度安排,即仍以制度外供给为主,农民是农村公共产品供给成本的主要承担者。人民公社时期的农村公共产品供给取得了一定成绩,主要体现在农田水利基本建设、农村社会事业的发展和农业科技推广等方面,当时的农田水利基本建设为以后的农业生产发展打下了良好的基础,人民公社时期的农村基础教育、合作医疗等社会事业的发展至今令人难忘。在当时农村普遍贫困的情况下,农村公共产品的有效供给是实现农村社会稳定的重要因素。而人民公社时期的农村公共产品供给之所以能够取得一定成绩,原因就在于,在当时国家为农业和农村提供的财政资金有限的情况下,农民实现了公共产品的自我供给。而农民的自我供给之所以能够实现,关键是这一时期被强制组织起来的农民,依靠集体经济的力量解决了个体农民不愿也无力解决的公共产品供给问题。1978年后,农村逐步实行了家庭联产承包责任制。虽然家庭承包制的实施极大地促进了农业生产的发展,但在农村公共产品供给方面,家庭承包制却没有体现出制度优势。家庭承包制实施后,农村公共产品供给水平下降了。导致家庭承包制后农村公共产品供给水平下降的原因,除了农业生产得到发展后国家对农业投入的下降外,更主要的是因为农村集体经济的瓦解。家庭承包制时期,农村公共产品供给仍以制度外供给为主,这就形成了农村公共产品供给体制变迁中的路径依赖。这一路径依赖的形成,传统发展战略的影响是其直接原因,既得利益的存在是其根本原因,同时,分税制改革加剧了路径依赖的形成。与人民公社时期相比,家庭承包制时期的制度外供给在具体筹资方式上已由人民公社时期的通过集体经济提取公积金、公益金等变成了直接向农民收取提留统筹、集资、摊派等。这一时期,农村公共产品制度外筹资的具体体现就是乡镇制度外财政的膨胀以及由此造成的农民负担的加重。农民负担的加重不仅直接导致了农民与基层政权组织的矛盾激化,而且制约了农民收入的增加,造成了城乡居民收入差距不断扩大。正是在这样的背景下,我国自2000年开始进行农村税费改革,并自2006年1月1日起,在全国范围内全部取消了农业税。农业税的取消不仅大大减轻了农民负担,而且从根本上改革变了国家与农民的关系,农民从此没有了交纳皇粮国税的义务。但同时,取消农业税也对农村公共产品供给产生了不利的影响,由于农业税的取消使大部分乡镇政府收入减少、农村集体失去了收入来源,因而取消农业税后农村公共产品供给中的问题更加突出。当前农村公共产品供给中存在的这些问题表明,我们需要进行制度创新,重构农村公共产品供给体制。重构农村公共产品供给体制实际上也就是要分析农村公共产品供给体制下一步如何变迁。农村公共产品供给体制变迁的目标应该是实现由以制度外供给为主向以制度内供给为主的转变,构建城乡一元的公共产品供给结构。根据我们对农村公共产品供给体制变迁的历史考察,制约或者说影响农村公共产品供给体制形成和变迁的因素,除了生产力发展水平的客观因素外,更重要的是我们国家的经济发展战略选择。从客观的经济发展水平来说,目前我们国家已经具备了工业反哺农业、城市支持农村的条件,但在公共产品的供给中,一些地方还没有把城乡统筹起来加以考虑,农村还没有得到与城市同等的待遇。这说明,当前,传统的发展战略对我们国家的公共产品供给还有较大的影响。因此,构建新的农村公共产品供给体制,最根本的措施就是应切实统筹城乡发展,彻底改变“重工轻农”、“重城轻乡”的传统发展战略,而采取以工促农、以城带乡的新战略,建立城乡一元的公共产品供给结构。而要做到统筹城乡发展,最关键的一点就是应当健全公共财政体制。健全公共财政体制不仅要加大财政资金对农村和农业的支持力度,而且要合理划分中央政府与地方政府的事权,建立政府间农村公共产品供给责任分担机制。同时,应完善转移支付制度,建立“自下而上”的公共产品供给决策机制等。健全公共财政体制的实质是要真正发挥政府在农村公共产品供给中的作用。对于农村公共产品供给的市场化改革,应根据不同地区、不同类别的农村公共产品具体问题具体分析。农村公共产品供给市场化改革应围绕政府在农村公共产品供给中作用的发挥、提高供给效率而进行,政府不应把市场化改革作为推卸自身责任的理由。同时,市场化改革不应重新增加农民负担。提高农民的组织化程度,不仅是在农村公共产品供给中保护农民利益的需要,而且可以直接促进农村公共产品供给。当前,我国农民的组织化程度还比较低,农民组织制度规范性差,社会环境也制约着农民组织的发展。提高农民组织化程度的重点是恢复村民自治组织的本来面目、建立农会等,使农民组织真正成为农民自己的组织。通过对农村公共产品供给体制变迁过程的分析,我们可以得出,我国农村公共产品供给体制变迁的实质实际上就是在农村公共产品的供给中,城乡利益、工农利益、特别是国家与农民的利益不断整合的过程。当前,国家应当重新调整城市与农村、工业与农业、国家与农民的利益关系,建立城乡一体、公平高效的、新的农村公共产品供给体制,以实现农民以至整个国家的利益。更多还原

【Abstract】 In recent years, the problems about agriculture, countryside and peasants have gradually become the difficulty and priority that has restricted our country’s economy and social development and the building of well-off society. To resolve the problems about agriculture, countryside and peasants, the Central Committee of CCP has explicitly put forward the historical task to build a new socialist countryside, which pointed out the right direction for us to solve the problems about agriculture, countryside and peasants in current and future. The specific measures of building a new socialist countryside include promoting modern agriculture, promoting the sustained increase of the farmers, strengthening the building of rural infrastructure, accelerating the development of rural social undertakings, strengthening the building of rural democratic politics, and so on. An important aspect of these measures is that the government should increase its financial support to agriculture and rural areas to increase the supply of rural public goods. Therefore we can say that increasing the supply of rural public goods is the key to build a new socialist countryside.Rural public goods are some products and services opposite to the rural private goods, which are necessary for agriculture, countryside and peasants with certain non-rivalness and non-excludability, such as rural roads, water supply, agriculture irrigation projects, rural compulsory education, rural public health, agricultural science and technology promotion etc, all belong to the area of rural public goods. In the supply of public goods during a long time, our nation formed a dualist structure between urban and rural areas, the government shouldered most cost of city public goods supply through government’s revenue, while the supply of rural public goods mainly depended on supply outside of the system, that is the government generally shouldered only a part of its cost, the main cost is from peasants.Although rural areas’ basic operating system changed many times after 1949, the rural public goods supply system characterized by supply outside of the system didn’t change really. For a long time, the government’s financial policy tilted to the city and the provision of financial resources to rural areas are extremely limited. The low-input of government’s financial resources to rural areas and agriculture caused serious shortage of rural public goods supply, such as the aging and serious disrepair of irrigation facilities, the lagging of the rural infrastructure construction, the slow development of rural social undertakings, etc. The shortage of rural public goods supply not only hampered the increase of peasants’ living standards and the development of agricultural production, but also hampered rural economy and society progress, became an important factor that leaded to a widening gap between the urban and rural areas. Why formed the urban-rural dualist public goods supply structure after the founding after 1949? Why formed a supply system of rural public goods characterized by supply outside of the system? Why the transformation of rural basic operating system didn’t cause the change of the supply outside of the system? What are the factors that restricted the formation and the change of rural public goods supply system? How to set up a new supply system? This study is mainly about these issues.The formation of rural public goods supply system characterized by supply outside of the system is accompanied by the development of Agriculture Cooperative Movement. With the development of Agricultural Cooperation Movement, rural cooperative organizations gradually became the main supply subject of rural public goods, and the supply outside of the system of rural public goods, as a national system arrangement is determined in the "Model Statute about Senior Agricultural Production Cooperatives". The objective reason of the formation of this system is that, in the early days of the PRC, the productivity was backward, so peasants must cooperate to solve the supply of public goods, and to meet the needs of production and life. From subjective point of view, the main reason for the formation of this system lies in the heavy industry priority development strategy. In order to guarantee the development of city and industry, our nation established a dualist structure in public goods supply with the policy is different between city and countryside.In the period of People’s Commune, the rural public goods supply system continued the system arrangement just formed in Agriculture Cooperative Movement, which is mainly depended on supply outside of the system, peasants are still the main shoulder subjects of the cost. In People’s Commune period, rural public goods supply had made some achievements, demonstrated mainly in the construction of farm and water, the development of social undertakings in rural areas and agricultural science and technology promotion, and so on. The farm and water construction has laid a good foundation for future agriculture development, and the development of some social undertakings such as countryside elementary education and cooperative medical treatment are still unforgettable until now. In the circumstances of widespread poverty in rural areas, the effective supply of rural public goods is an important factor to social stability. The reason of why the rural public goods supply in people’s commune period could achieve some success is that, peasants achieved self-supply of public goods although the government could not provide adequate public goods for countryside. The reason of why peasants could achieve self-supply, the key is that peasants which organized compulsorily resolved the problem of public goods supply that individual peasant is reluctant and unable to solve relied on collective economy.The rural household contract system progressively implemented after 1978. Although the implementation of the household contract system greatly promoted the development of agricultural production, in the aspect of rural public goods supply, the household contract system did not reflect institutional advantages. After the carrying out of the rural household contract system, the supply level of rural public goods declined. In addition to the decline of government’s investment in agriculture, the more important of the decline is the collapse of the rural collective economy.In the period of the household contract system, the supply of rural public goods still mainly depends on supply outside of the system, which formed the path—dependence in the change of rural public goods supply system. To the path-dependence, the influence of traditional development strategy is the direct reason, the vested interest is the fundamental reason and the tax system reform exacerbated the formation of the path—dependence. Compared with People’s Commune period, in the period of household contract system, the specific financing ways of supply outside of the system have changed from the extraction of provident fund, community fund from collective economy into withdraw funds directly from peasants by the way of collecting the overall plan, gathering the capital, allocating and so on. During this period, the concrete manifestations of supply outside of the system are the expansion of township finance outside of the system and the increase of peasants’ burden. The heavy burden of peasants not only led directly to the sharp conflicts between peasants and rural governments, but also restricted the increase of peasants’ income, caused the expanding income gap between urban and countryside. Under this background, central government began the reform of rural taxes and fees since 2000, and in January 1, 2006, the agricultural tax completely abolished in national wide. The abolition of agricultural tax not only alleviated the peasants’ burden, but also changed the relationship between the state and peasants fundamentally, from then on, peasants have no the obligations to pay tax to government. But at the same time, the abolition of agricultural tax also has a negative impact on the supply of rural public goods. Due to the abolition of agricultural tax, the majority of township governments reduced revenue, most rural collective organizations lost income resources, thus after the abolition of agricultural tax, the problems of rural public goods supply become more prominent. These problems show that we should carry on institutional innovation and reconstruct the supply system of rural public goods.The essence of reconstructing the supply system of rural public goods is to analyze the supply system of rural public goods how to change in the next step. The change objective should achieve the change from mainly depend on supply outside the system to mainly depend on supply inside the system, and build a unified structure between urban and rural areas. According to historical research on the change process of rural public goods supply system, beside the objective factor of productivity development level, the more important factors restricted the change of rural public goods supply system is our nation’s economy development strategy. From the point of objective economy development level, our country has had the ability of industry feedback agriculture and city support countryside at present, but in the supply of public goods, some governments didn’t balance the development of the urban and rural areas, countryside has not get the treatment equal to city. That shows, at present, the traditional development strategy still has a great impact on our country’s public goods supply. Therefore, to construct new rural public goods supply system, the most fundamental measure is to balance the development of urban and rural areas, completely change traditional development strategy, which is characterized by "emphasize industry neglect agriculture", "emphasize city neglect countryside", and promote agriculture through industry, promote countryside through city, so as to construct the unified form of public goods supply of both urban and rural areas. To realize that, the critical point is to perfect the public finance system. To perfect the public finance system, the government not only should increase financial resources for rural and agricultural, but also should reasonably define the responsibility between the central government and local governments establish intergovernmental responsibility - sharing mechanism. At the same time, should perfect payment transfer system to establish a "bottom-up" decision-making mechanism. The essence of perfecting public finance system is to make the government play an essential role in rural public goods supply.For different regions and different types of rural public goods, the feasibility of market-oriented reform of rural public goods supply should be analyzed concretely. The market-oriented reform of rural public goods supply should focus on the playing of the government’s role and the improvement of supply efficiency. Government should not take market-oriented reform as a reason to shirk its responsibility. At the same time, market-oriented reform should not increase the burden of peasants again.To raise the level of peasants’ organization, is not only the need of protecting peasants interest in the supply of rural public goods, but also can promote rural public goods supply directly. At present, the level of peasant organizations of our country is low, most peasant organizations are not normative, and the social environment also restricts the development of the peasant organizations. The focus of raising the level of peasants’ organization is to restore its original functions of villagers’ self-government organizations, establish the peasants’ council and so on, to make the peasants’ organization become peasants’ own organization. Through the analysis of the changed process of rural public goods supply system, we can draw, the essence of the rural public goods supply system’s change, is an integrated process of the interest between city and countryside, industry and agriculture, particularly the interest between the state and peasants. At present, our country should re-adjust the interest between city and countryside, industry and agriculture, state and peasants, establish city and countryside unified, fair and efficient, new rural public goods supply system, to realize the interests of the peasants and our country.更多还原