【作者】 程楠；

【导师】 荣朝和；

【作者基本信息】 北京交通大学 ， 产业经济学， 2009， 博士

【摘要】 要:规划的历史源远流长,中西方早期关于规划思想的萌芽以遗址或者文字的形式得以流传至今。19世纪的一声汽笛启动了工业革命的大幕,但与之同行的还有不断恶化的生存环境和日渐突出的社会矛盾。正是在这种环境背景下,现代规划应运而生,希望以规划为手段平衡失控的市场力量。伴随着现代规划的发展,交通规划从城市规划的一个组成部分,逐渐形成了一套特有的方法和技术,在社会发展的历史进程中发挥着越来越重要的作用。然而,交通规划所面临的困难开始渐渐超出技术所能够解决的范围,于是一些观点开始慢慢发生转变。从过去对技术、方案的重视开始转向考虑人在规划中发挥的作用以及规划过程的重要性。根据荣朝和的定义,规划的本质是“有别于市场的一种资源配置方式”,提高资源配置效率的手段除了技术,还有制度,因为在交通规划的运作过程中,不同的制度安排会产生不同的行为选择,进而影响到资源配置的结果。基于上述认识,本文对制度和制度设计理论进行了回顾,并在激励相容和理性选择的基础上对交通规划的制度安排进行了分析。首先,明确交通规划的价值取向,因为在进行任何有意识的制度设计时,都必须遵循某些基本标准要素,这些要素往往与社会的意识形态密切相关。这就意味着,对任何制度的选择都意味着对某种思想体系的选择,而不仅仅是一种结构或组织的选择。如果对此没有清晰的认识,就极可能在制度设计中按照矛盾的标准前提采取行动,并造成资源的浪费。其次,建立交通规划方案的等级结构——战略规划、布局规划、发展规划和建设规划。因为规则(制度)层次结构有助于“在不同时期合乎预期地发挥作用”。第一,有秩序的结构体系能够在一定时期内保持价值选择的相对稳定性。第二,不同层次的交通规划考虑不同层次的效率问题,高层次交通规划效率的实现是低层次交通规划效率实现的前提条件。第三,不同时间、空间和物性维度的交通规划在规范的秩序约束下,减少了矛盾和冲突,有助于提高交通规划的效率。再次,随着社会民主化进程的加快,决策者已经不仅仅是政府机构,其他影响决策的力量也广泛存在,并形成了政府官员、市民、利益团体、专家等构成的多元化决策结构。为了获得真实的意愿表述并将分散的个体选择转变成集体选择,在交通规划的决策中需要如下的制度安排——网络化的权力结构、相关决策者的责任认定、充分的公众参与以及信息的公开和透明。最后,可行的实施机制和完善的评估体系,后者不仅意味着来自第三方的监督力量和更多的信息共享,更重要的意义在于可以对特定制度安排下形成的资源配置效率进行深入的分析,从而为制度的进一步完善提供可靠的依据。在经济学分析框架下讨论了交通规划的制度安排后,本文分别对美国和英国的交通规划演进历程进行了实证研究。在经历了没有交通规划随意建设的低效率时代后,两个国家都不约而同的尝试以交通规划为手段进行资源的配置。虽然交通规划的发展初期也曾出现过断头路、资金短缺等问题,但随着制度的不断完善,这些低效率的交通规划越来越少。近年来对于交通规划造成的环境污染、能源紧张等问题已经引起了两国的高度重视,并采取了相应的措施。无论是一致性规定还是战略环境影响评估,它们都是通过制度的手段来提升整个社会对交通运输系统的满意度。因此,在一个日趋复杂多变的环境下,交通规划的制度设计安排对于提高交通规划的资源配置效率并改善社会公众对交通运输系统的评价具有十分重要的意义。和西方国家不同,我国是从计划经济起步。在传统的计划经济下,僵硬的指令性计划无法对现实社会的变化做出及时反应,而中央政府控制下的项目审批制又面临着一放就乱,一抓就死的两难境地。不仅有限的资源没能得到充分的利用,而且人们的生活水平也没有得到显著的提高。为了谋求改变,我国在过去的几十年里进行了数次改革尝试,涉及领域包括投融资体制、项目审批制以及规划体系等。在不断的摸索中,这些改革取得了显著的成效。在此过程中,交通规划也得到了发展的空间和机遇,在国家发展改革委员会的牵头下,政府陆续出台了一批交通专项规划,为今后我国的交通运输业发展指明了方向。但是在肯定成绩的同时,也要认识到,在这些交通规划编制、实施的过程中仍存在一些亟待解决的问题,如规划体系不完善,尤其是具有全行业指导意义的交通战略规划缺失;规划主体不明,导致多头管理或者责任主体缺位;规划编制、决策、实施等程序不明确,随意性较强,降低了规划的权威性;规划没有对资金问题给予足够的重视,常常是一边实施一边筹措资金,存在较大风险;公众参与机制停留在认识上,没有落到实处等。这些问题归根结底还是制度问题,也只有通过制度的完善才能最终解决这些问题。本文在学习借鉴西方国家的经验基础上,提出若干制度完善的建议。第一,抓紧时机成立真正综合性的运输部,并负责全面协调各个层次上的交通规划,从而减少交通运输系统内的资源消耗,提高资源的配置效率。第二,构建交通规划的四层次体系——战略规划、布局规划、发展规划和建设规划。交通规划的资源配置效率需要在四个规划层次上体现,而且高层次规划的效率直接决定了低层次规划的效率。第三,在三级三类规划体系中,国家级交通规划应该致力于确定长期发展目标和博弈规则,而地方级交通规划,如省级交通规划和市级交通规划,应该在国家级交通规划的约束指导下,以实际问题为导向提出可行的规划方案和项目计划。第四,发挥公共财政政策在交通规划中的作用,引导各种运输方式协调发展,并借助不同利益团体之间的博弈机制对交通运输系统的负外部性影响加以约束限制。第五,加大教育力度,提倡公众参与,保证交通规划在编制、决策、实施过程中公开透明,最大限度地体现社会公众的长远利益。第六,交通规划的决策与执行机构相分离,建立交通规划的评估和监督机制,及时发现交通规划中存在的问题并适时进行调整,从而最大可能的避免规划偏离既定目标而造成的损失。第七,将规划过程和规划方案都纳入法制化的轨道,减少规划编制和实施中过多的随意性,从而确立交通规划的权威性。最后,结合美英中以及其他国家的交通规划发展状况,提炼出制度设计的儿点共性特征,也代表着交通规划今后发展的方向。第一,交通规划法制化以保持规划的稳定性和权威性;第二,明确交通规划的层次结构,通过搭建内在秩序减少矛盾冲突;第三,在分权过程中调整中央政府和地方政府的责权利关系,并借助内外监督机制来提升交通规划的资源配置效率;第四,广泛的公众参与以避免信息不对称造成的决策失误并降低委托代理关系中可能存在的道德风险;第五,建立评估机制,不断丰富和完善评估内容,更好地服务于国家运输政策。更多还原

【Abstract】 With a long history,the germination of planning in China and West were gone round to this day in the form of sites or words.Industrial revolution was started with a whistle in 19th century,as well as the worsening environment and outstanding social conflict.In this background,modern planning emerged to balance the market without control.With the development of modern planning,transportation planning,ever the part of urban planning,formed its own methods and techniques.In the history of social development,transportation planning plays a more and more important role.But more and more difficulties in transport planning cannot be solved by technology and some viewpoints changed slowly.The emphases were changed from technology and plan to person and process.According to the definition made by Professor Rong Chaohe,the planning in nature is a resource allocation method which is different with market.Besides technology,institution can increase the efficiency of resource allocation,because in the process of transportation planning,different institution would have different action,and then influence the result of resource allocation.Based upon that,the paper reviewed the theory of institution and institutional design and analysis the institution arrangement of transportation planning.Firstly,definite values,as some basic standard factors,have to be obeyed in institutional design.These factors often connect with social ideology,which means any institutional choice is one kind of ideology choice.If the value is confused,probably take action by the ambivalent standard and cause the resource waste.Secondly,establish the hierarchy of transportation plan——strategic plan,layout plan,development plan and construction plan,because①the orderly framework could keep the relevant stability of values in transportation plan system.②different transportation plans consider efficiency of plans in different levels.The efficiency of low level transportation plan is depended on the realization of efficiency of high level transportation plan.③under the constraints of institution,the conflicts among different transportation plans would be reduced and the efficiency of transportation plans would be improved.Thirdly,in modern democratization society,decision-makers are not only governments,but also other influential social groups,such as interest groups,specialists and citizens,which form a multiple decision structure.In order to get the real wills of ultimate clients and translate dispersive individual choice to collectivity choice,it is necessary to arrange the following institutions in decision-making of transportation planning,such as network power structure,responsibility cognizance of decision-makers,plenary public participation,free,open and transparent information.Fourthly,feasible implementation institution and perfect evaluation system,the later can provide more detail information for institutional design,as well as the supervision from the three parties.Then the paper gives demonstration study on evolvement of transportation planning in U.S.and U.K.after discussion institution arrangement of transportation planning under the framework of economy.Experiencing the low efficiency era without transportation planning,the two countries tried to allocate resources by transportation planning.Dead end roads and capital shortage ever happened in the early period,but such kind of low efficiency transportation planning became fewer and fewer because the institution of transportation planning was perfected continuously.In recent years, environmental pollution and energy intensity caused by transportation planning attracted the two countries’ more attention and both of them took some measures,such as consistency provision and strategy environmental assessment,to advance the social contentment to transportation system by institution improvement.That means the institution arrangement of transportation planning is very important to realize its efficiency of resource allocation in a complicated and changeable environment.Being different with west countries,China was developed from planned economy. In traditional planned economy,stiff mandatory plan could not react to the change of real world.Project approval institution controlled by central government was in a dilemma,loosing and confusing while tightening and dying.Limited resources were not be used efficiently and the standard of living were not be improved greatly.So some revolutions,which involved investing and financing,project approval,planning system,were tried in the past decades of years.These revolutions gained prominent achievements,as well as transportation planning.A passel of transportation plans,led by National Development and Reform Commission,were issued and pointed the future development direction of transportation in China.These transportation plans has positive impact but some problems existing in the whole process are desiderated be solved,such as faulty transportation plan system,especially the absence of strategic transportation plan;ambiguous subject of planning which results polyarchy;planning process without authority or plan without enough financial support.In the final analysis,these problems are all related with institution arrangement and only perfect institution can settle these problems effectively.Base on the experience of west countries,the paper offers the following suggestions.Firstly,establish a real integrated Department of Transportation and harmonize all issues of transportation planning,in order to reduce the resources consumption and improve the efficiency of resources allocation of transportation planning.Secondly,build the four-level framework of transportation plan,which includes strategic plan,layout plan,development plan and construction plan.Resources allocation efficiency of transportation planning should be realized in above four levels and the efficiency of transportation planning in higher level decides the efficiency in lower level.Thirdly,in three classes and three species of plan system,national transportation plan should devote to confirm strategic objectives and game rules,while regional transportation plan,such as provincial and civic transportation plan,should refer to feasible project under the restriction of national transportation plan.Fourthly,exert an influence of public financial policy on transportation planning to induct the cooperative development of all kinds of transportation and restrict its negative external effect by game mechanism among different interest groups.Fifth,to strengthen education,advocate public participation, guarantee the open and transparency during the process of transportation planning and consider the long-term benefit of the public furthest.Sixthly,to separate the decision-making department of transportation planning from the executive department and establish the evaluation and supervision mechanism to find the problems appeared in transportation planning in time.Seventhly,to bring the process of transportation planning,including transportation plan,into the legal system,reduce the liberty actions and establish the authority of transportation planning.Finally,combined the development status of transportation planning in U.S.,U.K., and other countries,the paper concludes some common characteristics,as well as development direction of transportation planning in the future.Firstly,in order to keep the stability and authority of planning,the transportation planning should be legalized. Secondly,establish the hierarchy of transportation plan system for reducing the conflicts among different plans.Thirdly,adjust the relationship in responsibility,right and interest in the process of decentralization and improve the efficiency of transportation planning in virtue of inner and outer supervision mechanism.Fourthly,extensive public participation can effectively avoid the decision-making mistakes because of information asymmetry and reduce the possible moral risk in principal-agent relationship.Fifthly, build the evaluation mechanism to serve national transportation policy better.更多还原