【作者】 袁建华；

【导师】 胡继连；

【作者基本信息】 山东农业大学 ， 农业经济管理， 2008， 博士

【摘要】 农村公共物品投资问题是贯彻统筹城乡发展战略和实施社会主义新农村建设的焦点问题,也是解决“三农”问题的关键性措施。因此,农村公共物品投资问题研究,将有助于实现农村公共物品有效供给,有助于实现全面小康社会的奋斗目标,促进整个社会经济持续稳定发展,该研究不仅具有重要的理论价值,而且具有重要的现实意义。本文在内容上分为六个部分,第一部分:从农村公共物品投资的视角,对20世纪90年代以来尤其是提出“科学发展观”和“统筹城乡”经济社会发展战略以来学术界关于农村公共物品投资问题已有研究成果进行归纳梳理;第二部分:从理论视角阐述了农村公共物品投资的理论基础,系统介绍了公共物品理论和公共财政理论两个密切相关又相对独立的基础理论,为本项研究提供了理论支撑;第三部分:从历史的视角运用制度变迁理论,着重对建国以来农村公共物品投资制度沿革进行了系统考察,并就农村公共物品投资制度变迁的路径依赖问题进行了具体分析,对制度创新路径加深了认识;第四部分:从宏观和微观两个层次进行了农村公共物品投资的实证分析,为创新农村公共物品投资制度提供了现实基础;第五部分:从国际的视角分别介绍了美国、日本、欧盟、韩国及印度等国家农村公共物品投资的基本做法与经验,为我国农村公共物品投资制度创新提供借鉴;第六部分:明确提出了城乡统筹的农村公共物品投资的目标模式与总体思路,并分别从投资主体、投资决策、投资运行、投资金融支持和投资审计监督五个方面对我国农村公共物品投资机制进行了制度创新。本文的主要研究结论是:1.通过对建国以来农村公共物品投资制度沿革的系统考察,发现建国后优先发展工业和城市的历史选择和“路径依赖”的约束导致长期农村公共物品制度内投资严重不足,转而大量依靠制度外投资,增加了农民负担,影响了农村发展,使“三农”问题和“城乡差距”等问题日益凸显;还发现自上而下的强制性农村公共物品投资决策机制,导致农村公共物品投资不能反映农民的真正需要,进而导致农村公共物品的投资不足的前提下还存在生产性公共物品投资不足和非生产性公共物品投资过剩的现象;农村公共物品投资绩效低下,农民满意度低。2.通过农村公共物品财政投资的大量历史统计数据分析,可以看出财政投资农村公共物品呈现出投资绝对规模不断增长,相对规模长时期不断下降,投资强度不足但近期表现出持续增长的变化趋势;投资结构不合理,但从重视“硬件”向重视“软件”的历史变化的特点体现出了发展趋势的合理性;通过几种典型农村公共物品的分析还发现公共物品的财政投资存在显著的城乡差距和对农村投资严重不足等问题。3.以农民为对象调查结果和典型案例分析表明,农村公共物品供给现状近几年较以前有了显著改善,但仍存在结构性问题,存在“硬件”公共物品投资大于“软件”公共物品;农民满意度明显提高,但整体满意度依然偏低;近几年农村公共物品投资较为活跃,农民仍然是社区公共物品的投资主体;投资效果与村级民主财务管理具有显著相关性;基于农村公共物品需求主体——农民视角,近期农村公共物品投资仍应优先加强对有形公共物品(农村道路、水利设施等)的投资,但不同地理位置和地形、不同经济水平、不同收入水平的农民对公共物品的需求又有着极强的差异性,应区别对待,实施差异性投资优先序;同时还发现,村民为了共同的利益,可以利用良好的村庄社会资本和村民内部的选择性激励机制有效克服村民投资村级公共物品行动中的搭便车行为,有利于实现社区范围内公共物品的有效供给。4.借鉴发达国家和发展中国家农村公共物品投资的基本做法与经验,本文认为应加大财政支农力度,优化财政投资结构,加强政府对农业的支持与保护;不同发展阶段应确定不同农村公共物品投资重点,并采用多元化的投资方式;财政应扶持农村金融进而间接进行农村公共物品投资也是各国财政投资农村公共物品的重要方式;应进一步规范政府的农村公共物品投资行为,提高投资绩效。5.围绕创新农村公共物品投资制度这一研究目标,提出了以公共物品理论和公共财政理论为指导,政府要更多承担农村公共物品投资责任,逐步建立起城乡统筹的以政府主导的市场化的多元农村公共物品投资总体目标模式。面对现有经济水平和经济环境约束,设计了农村公共物品投资的总体思路,应是分步骤、分阶段、有重点、分层次地进行“增量经济”改革,形成投资总量不断增加、投资结构逐步合理、投资绩效显著提升的内在、根本、持久的动力机制,实现“帕累托改进式”的制度变迁,实现政府长远目标与农民现实需求的协调统一。从五个方面对农村公共物品投资机制进行了创新:通过发挥多重主体,构建多元投入机制;建立由内部需求决定农村公共物品的科学投资决策机制;保证投入资金的有效使用,规范投资运行管理机制;加强农村公共物品投资的金融支持,建立多元化的农村金融支持机制,充分发挥信贷资金杠杆作用;强化审计监督机制,构建投资绩效评价体系,实施农村公共物品财政投资绩效审计,提高投资绩效。更多还原

【Abstract】 The investment in rural public goods is a main issue for implementation of building a socialist new countryside and strategy of balanced development of urban and rural areas, and a key measure for solving the problem of“agriculture, countryside and farmers”. Therefore, the study on rural public goods investment will be of help to realize the effective supply of public goods in rural areas, to achieve the goal of an overall well-off society and promote the economic and social development in a continuous and stable way. So such study not only has great theoretical value, but also gains important practical significance.This paper consists of six sections. Section 1 summarizes the findings of research on investment in rural public goods since 1990s especially after proposing of“scientific outlook on development”and strategy of economic and social development of“balancing urban and rural areas”from the perspective of rural public goods investment. Section 2 gives theoretical basis of rural public goods investment from a theoretical perspective. It systematically introduces two basic theories: public goods and public finance, which are closely interrelated and relatively independent. This provides theoretical support for the study. Section 3 systematically reviews the evolution of rural public goods investment mechanism since 1949 from a historical perspective and with institutional transformation theory. Moreover, this section also gives detailed analysis of path dependence of transition of rural public goods investment institution and deeper understanding of the path in institutional innovation. Section 4 gives an empirical analysis of the rural public goods investment from the macro and micro aspects, which provides practical foundation for innovating rural public goods investment institution. Section 5 describes the practice and experience of rural public goods investment in the United States, Japan, the European Union, South Korea, India and other countries, which can be used as reference for innovating rural public goods investment institution of China. Section 6 proposes the goal model and general idea about rural public goods investment institution in which“urban and rural development is balanced”and makes institutional innovations in five aspects of investment subjects, investment decisions, operation, financial support, auditing and supervision of investment.The main conclusions of this study are as follows: 1.Through the systematic review of the evolutioin of rural public goods investment institution since 1949, this study finds that the historical choice of giving priority to the development of industry and urban areas and the constraints of the "path dependence" lead to serious underinvestment of rural public goods within the institution for a long time. As a result, the investment outside institution is heavily relied upon, which increases farmers’burden, affects the development of rural areas, and aggravates the problems of“agriculture, countryside and farmers”and "urban-rural gap". It is also found that the top-down compulsory decision mechanism in rural public goods investment that leads to the underinvestment of rural public that does not reflect real needs of peasants.. Furthermore; it leads to the phenomenon of underinvestment of productive investments and overinvestment of nonproductive investments under the general situation of insufficient rural public goods investment. And peasants are not satisfied with poor performance of rural public goods investment.2.The analysis of historical statistical data of fiscal investment in rural public goods shows its trend. The absolute scale is continuously growing while the relative scale is continuously declining for the long term, and intensity is insufficient (although grows continuously in recent periods). It is found that the investment structure is not rational, but the historical development of shift of focus of“hardware”to“software”shows the rationality of development trend. The analysis of several typical rural public goods indicates the problems of significant rural-urban gap in public goods and serious underinvestment in rural areas of fiscal investment in public goods.3.The investigation and typical case study of peasants show that the supply of public goods in rural areas has significantly improved in recent years, but there are still some structural problems. There is more "hardware" public goods investment than "software" public goods. The satisfaction of peasants has markedly improved, but the overall satisfaction is still low. The investment in rural public goods is relatively active in recent years, and peasants are still investors in public goods of a community. The investment results have significant correlation with village-level democratic financial management. From the perspective of peasants, subject of rural public goods, priority shall be given to investment of tangible public goods (rural roads, water conservancy facilities, etc.) in the near future, but different geographic locations and topographies, levels of economy and income levels of peasants also have great influence on demands for public goods, so they should be treated differently, and differentiating order of priority shall be implemented. It is also found that villagers can effectively overcome the problem of free-riding activities in village-level investments in public goods by using good village social capital and selective incentive mechanism for their common interests. And this is beneficial for realizing effective supply of public goods in community.4.Based on practice and experience of developed and developing countries in rural public goods investment, this study suggests that the fiscal support of agriculture shall be enhanced, fiscal investment structure shall be optimized, the government’s support and protection shall be strengthened. Different focus of rural public goods investment in different stages of the development shall be determined, and diversified investment shall be adopted. The public finance shall support rural finance to invest in rural public goods indirectly, which is also an important way of financial rural public goods investment in other countries. For improving performance of investment, the government’s rural public goods investment activities shall be standardized.5.Focusing on the objective of innovating rural public goods investment institution, this study suggests that, with the guidance of theories of public goods and public finance, the government shall take more responsibilities in rural public goods investment and gradually establish a market-oriented and diversified institution in which development of urban and rural areas is balanced and the government plays a key role. Facing constraints of current economy and economic environment, this study designs the general idea of rural public goods investment. The“incremental economy”reform shall be carried out in steps, phases and levels and with focus to form an inherent, fundamental and lasting momentum mechanism, in which total investment grows continuously, investment structure becomes reasonable step by step and investment performance improves significantly. And the institutional transformation of“Pareto optimality”and coordination of government’s long-term goals and farmers’practical needs shall be achieved. This article makes innovations in rural public goods investment mechanism from the five aspects, which is as follows. Build a diversified input mechanism by multiple investors. And establish scientific investment decision-making mechanism determined by the internal demand of rural public goods. Ensure the efficient use of investment and standardize management mechanism of investment operation. Strengthen financial support of rural public goods investment, establish a diversified rural financial support mechanism, and give full play to leverage of loans. And intensify auditing and supervisory mechanisms, build evaluation system of investment performance, and implement the auditing of performance of fiscal investment of rural public goods to improve investment performance.更多还原