【作者】 王伟同；

【导师】 吕炜；

【作者基本信息】 东北财经大学 ， 公共经济与公共政策， 2009， 博士

【摘要】 本项研究所关注的民生改善机制是一套有利于足量、高效、公平提供公共服务的保障机制,本论文致力于在公共服务绩效框架内,剖析制约中国民生改善的体制性障碍,从优化公共服务规模、效率、均等化三方面绩效的角度,探索一套适合中国体制环境与发展阶段的民生改善机制。本论文选题的出发点在于,民生问题已经逐渐成为中国下一阶段改革与发展的核心问题,并且近期来看医疗、教育、养老、就业以及住房等这一领域的社会问题集中爆发,累积了相当多的社会矛盾需要化解；与此同时,尽管民众对改善民生的期盼日深,党和政府也多次将民生问题写入中央文件和工作报告,并将其作为政府工作的重点,但据笔者的前期研究表明实际效果却远非预期那么理想。这一现状凸显了我国民生领域的改革困境,表明中国政府改善民生的政策愿望在实际运行中受到了体制性的潜在约束,这促使我们需要从一个更为宏观、系统的体制层面来看待中国改革进程中的民生改善及公共服务绩效问题。如何评价我国的民生现状,究竟是什么原因导致了民生领域改革困境的出现,中国公共服务绩效优化的有效路径是什么?对这些问题的思考,是本论文思想和基本框架的最初来源。本论文所关注的民生改善机制是一套有效提供公共服务的保障机制,优化公共服务绩效是其基本目的。笔者认为在经济改革与发展进程中,民生能否得以改善的关键取决于公共服务体制的三方面绩效：一是政府能否提供足量的公共服务以满足公共需求,即规模绩效；二是在既有公共服务投入规模条件下,能否高效率的将公共服务投入转化为公共服务产出,即效率绩效；三是由政府提供的公共服务能否公平、均等的提供给所有有公共需求的民众,即均等化绩效。只有保障这三方面绩效同时实现的机制,才是有效的民生改善机制。首先在公共服务规模绩效评价及其优化路径研究方面,本论文创造性的依据均衡发展的思想提出了政府公共服务规模绩效评价指标。我们认为政府提供公共服务的适当规模应当取决于其经济发展阶段和自身财政能力,通过计量模型考察世界各国经济发展与公共服务支出比重之间存在的一般规律,并依据中国现实情况来计算其所应当提供的公共服务规模,进而通过对比其现实提供规模与理论规模间的比率客观评价了中国的公共服务规模绩效情况。在客观评价公共服务规模绩效的基础上,我们重点考察了“为何中国会出现公共服务提供长期不足的现象,哪些机制给予了政府公共服务支出负激励?”的问题。我们研究认为中国式的分权制度以及以经济建设为中心的政府职能异化,既是促进中国经济长期快速增长的体制动力,同时也是阻碍政府服务性支出增长的体制性障碍,并形成了“经济增长——民生改善”相互替代的增长模式。在此基础上,我们通过建立基于中国省级面板数据的联立方程模型(SEM)实证分析了体制性因素对政府公共服务规模的影响。其次在公共服务效率绩效评价及其优化路径研究方面,我们分别基于三个层面考察了中国的公共服务绩效水平情况：一是横向国际效率比较分析,基于国际数据运用数据包络分析(DEA)方法考察了中国公共服务提供在世界范围中的相对效率；二是纵向历史效率分析,基于我国国家层面的时间序列数据,运用协整及向量误差修正(VEC)方法,探讨了建国以来公共服务支出与实际公共服务效果之间的互动关系；三是地区效率差异比较分析,基于我国省级面板数据运用DEA方法考察了中国1978-2006年间各地区的公共服务效率变化情况。在此基础上,我们基于1978-2006年的地区效率情况,基于随机效应Tobit面板回归方法,进行了中国公共服务效率影响机制研究。其中重点考察了财政分权、城市化进程、经济增长、地区差异以及财税制度改革等体制性因素的影响,从而为寻找提高政府公共服务效率的政策路径提供参考依据。再次在公共服务均等化绩效评价及其优化路径研究,本论文分别从地区差异和城乡差异之间对中国的公共服务提供均等化情况进行了考察。对于地区公共服务均等化指标,我们通过计算相关不平等指标的倒数来实现,其中不平等指标我们将分别选取以人口规模为权数的变异系数、泰尔熵指数、基尼系数等指标,进而客观描述中国公共服务均等化情况的长期变化趋势。长期以来在基本公共服务均等化研究领域,存在着公共服务均等化是否等价于财政均等化的争论。利用上述方法,我们分别计算各地区人均财政支出和公共服务产出的非均等指标,并考察了其之间的协整关系,结果表明两者之间存在协整关系,即人均财政支出均等化和公共服务均等化在长期内是具有稳定关联的,从而对上述争论做出回应。而对于城乡公共服务差异指标,由于缺乏有效统计指标,本论文独辟蹊径利用城市化率对公共服务规模的影响系数来作为考察城乡公共服务不平等程度的评价指标,因为在控制其他变量的条件下,城市化进程对公共服务平均规模的影响程度越大,则说明中国城乡之间公共服务水平差异越大,反之亦然。关于均等化绩效的影响机制的研究,我们以各年度公共服务非均等化指标为被解释变量建立时间序列模型,系统分析了经济发展不平衡、人均财政支出不平衡(由相应不平等指标表示)、以及财政领域两个比重等问题对公共服务均等化程度的影响,从根本体制上探讨了中国公共服务非均等的原因及改进路径。最后本论文对公共服务综合绩效进行了评价并提出了有利于民生改善机制设计的政策建议。我们在前面分别建立公共服务规模、效率及均等化三方面绩效指标的基础上,通过合成三方面绩效的方式来构建中国公共服务综合绩效评价指标,并对这一指标进行了清晰测算,从而清晰描述了中国的民生现状及发展趋势,从而对未来政府的发展战略与政策着力点提供方向性的参考。进而我们在系统梳理各种公共服务绩效影响因素的基础上,有针对性的探讨如何解除制约公共服务绩效实现的体制性障碍,提出了有利于中国民生改善机制建设的政策建议,助推契合中国体制环境和阶段特点的民生改善机制的形成。本论文的研究建立在一个系统的研究框架基础之上,我们将公共服务绩效分解为了规模、效率和均等化三个绩效层面,并分别对三种绩效进行了客观评价和影响机制研究。值得强调的是,本论文的研究全部建立在规范经济学研究方法与客观的实证分析基础之上,广泛运用了国内外相关数据进行实证分析,致力于有针对性的研究如何进行体制改革和政策设计来优化中国的公共服务综合绩效,进而促进中国民生状况的改善。笔者个人认为本论文具有以下几个方面的研究特色：一是我们提出了基于规模、效率、均等化三方面的公共服务绩效综合评价体系,并对我国公共服务领域的三方面绩效及综合绩效情况进行了量化的评价与分析；二是本论文的研究定位于从宏观体制层面来看待中国的公共服务及民生改善问题,而没有将公共服务和民生问题研究局限于具体公共服务层面,没有就民生而谈民生；三是本论文首次提出了维持现有经济增长的体制动力,已经部分异化为阻碍民生发展的体制性障碍的观点,并尝试运用实证方法对这一观点进行验证；四是我们利用实证方法分析了中国公共服务绩效的影响机制问题,并有针对性的提出了有利于我们民生改善机制建设的政策建议。更多还原

【Abstract】 The mechanism of improving the people’s livelihood this thesis concerned is the protection mechanisms that is in favor of an adequate, efficient and equitable delivery of public services. This thesis is committed in the framework of the performance of public services, to analysis the Chinese institutional obstacles which restrain from improving the people’s livelihood, and to explore a mechanism to improve people’s livelihood suited to China’s institution environment and development phase by the point of view optimize the three aspects of public service performance from the scale, efficiency and equalization.The starting point of the thesis topic is that livelihoods issues have become the core problem of next stage China’s reform and development. And lately social problems outbreak focus on the livelihoods area, like as health care, education, pension, employment and housing and so on, meanwhile has accumulated a considerable amount social contradictions necessary to resolve. At the same time, even though people look forward to improving people’s livelihood deeply, and party and government have repeatedly written livelihoods on the central documents and work report, and as the focus of the government work. However, according to our preliminary study shows that the actual results are expected so far from ideal. This situation highlights the reform plight on the people’s livelihood, and show that the Chinese government’s policy to improve people’s livelihood faced on the potential institutional constraints in the actual operation. This has led us research the problem of improving people’s livelihood and public service performance on the more macro and system institutional level in the process of China’s reform. How to assess the status of our country’s people’s livelihood? What is the reason cause of reform plight on the people’s livelihood? What is effective path to optimize the performance of Chinese public service? Consider the question of these is the original source of this thesis idea and the basic framework.The mechanism of improving the people’s livelihood this thesis concerned is the protection mechanisms of public services delivery and its purpose is optimize the performance of public services. I think in the economic reform and development process, whether to improve people’s livelihood depends on the three aspects of public services institutional performance:First, the Government can provide adequate public services to meet public demand, that is, the scale performance; second, input scale at both the scale of public service conditions can be highly efficient transformed into public services output, that is, the efficiency performance; third, public services can be provided in a fair and equal for all the people which have public demand, that is, the equalization performance. Only the mechanism concerned these three aspects of performance at the same time, is an effective mechanism to improve people’s livelihood.Firstly, research on the path of scale performance evaluation and optimization, this thesis creatively proposed a government’s public service scale performance evaluation index based on the balanced development idea. We believe that the appropriate scale of public services should depend on its stage of economic development and their own financial capacity. Based on this idea, we research the general proportion relations between economic development and public service expenditures through econometric model. Then we based on the realities of Chinese calculate the public services scale they should be provided. And we objectively evaluated the China’s scale performance of public services.Based on the scale performance evaluation objectively, we focus on research the question of why do Chinese public service will be inadequate in long-term situation, and what mechanisms provided the negative incentives to the government’s public service expenditure. Consider our study, Chinese-style fiscal decentralization and government functions variation for economic development as the central, not only are the institutional motivity for the long-term rapid economy growth in China, but also are the institutional obstacles to hinder the growth of government services expenditure, and result in the growth model which is characteristic of "economic growth-people’s livelihood improving" each alternative. And we empirically analysis the impact of public service scale by the institutional factors through set up the simultaneous equations model based on the Chinese provincial panel data.Secondly, research on the path of efficiency performance evaluation and optimization, we separately research the China’s performance of public services at three aspects:first is the cross-cutting international comparative efficiency analysis, in this we evaluated China’s relative efficiency in the world based on the data envelopment analysis (DEA) approach using international data; second is the longitudinal history efficiency analysis, we discussed the actual interaction effect between public services input and output since the founding, based on cointegration and vector error correction model(VEC) approach using our national level time-series data; third is the regional comparative efficiency analysis, in this we studied the China’s public service efficiency in 1978-2006 each year, based on the data envelopment analysis (DEA) approach using China’s provincial-level panel data.On this basis, we researched the Chinese impact mechanism of public service efficiency, based on random effects Tobit regression method and regional efficiency in the 1978-2006. Thereinto, we focus on researched institutional factors impact as fiscal decentralization, urbanization, economic growth, regional differences, as well as financial and taxation system reform, accordingly we can provide reference for the policy path of improving public services efficiency.Thirdly, research on the path of equalization performance evaluation and optimization, we separately discussed the China’s public services provision equalization performance form the regional differences and differences between urban and rural areas. For the regional equalization index, we used the reciprocal of classical inequality index as coefficient of variation, theil entropy index and Gini coefficient weighted by population size, accordingly we can objectively described the Chinese public service long-term trend equalization. There is an argument in the basic public services equalization research areas which is whether or not the equalization of public services is equivalent to the financial equalization. Using the above method, we calculated separately the regions per capita expenditure and public service output inequality index, and analysis their cointegration relationship. The results show that exist cointegration relations between the two, that is, equalization expenditure per capita and equalization of public services are stable associate in the long term, so we respond to the above argument.For the urban and rural public services equalization index, because of the lack of an effective statistical indicators and data, we inventive structured this index by influence coefficient of urbanization impact on the public service scale. We think that when control other variables, the greater of index, the greater the difference of the level of public services between urban and rural, and vice versa.About the impact mechanism of the equalization performance, we set up time-series model using the annual public service inequality index as dependence variable, and analysis the impact of economic development difference, the per capita fiscal expenditure imbalances, as well as both the proportion of the fiscal area on the degree of public services equalization. Accordingly, we analysis the reasons of China public services inequality and discuss the equalization path.Lastly, we evaluated the general performance of public services, and proposed policy recommendations of in favor of a mechanism designed to improve people’s livelihood. Based on the three aspects of performance index of public services scale, efficiency and equalization we founded, we established the Chinese general public services performance index by through the synthesis of three-way performance. And we clearly measured this index, and described Chinese people’s livelihood status quo and development trend, consequently provided directional reference for government development strategies and policies focus in the future. Based on system combed a variety of factors affect the performance of public services, and we targeted discussed how to lift the institutional obstacles which constraints the implementation of public service performance, consequently proposed policy suggestion which in favor of improving people’s livelihood and booster the mechanism fit the characteristics of the institutional environment and the stage.This thesis’s research set up in a system research framework, we break down the performance of public services into scale, efficiency and equalization three levels, and separately made evaluation and impact mechanism study. It is worth emphasizing that all of this thesis study set up in the normative economics and objective research methods, widely used relevant data carry out empirical analysis, and we are committed to the research has focused on how to carry out structural reforms and policies designed to optimize the Chinese general performance of public services, thereby contributing to the improvement of Chinese people’s livelihood.I personally think that this thesis has the following characteristics:first is we proposed public service general performance evaluation system based on scale, efficiency and equalization, and quantitative evaluated and analysis the general public service performance and three aspects of performance; second is that the thesis research improving Chinese people’s livelihood in view of the Macro-institutional level, and doesn’t limited the view in the specific dimensions of public service, also doesn’t talk to the people’s livelihood at the surface of people’s livelihood; third is that the thesis firstly proposed viewpoint of institutional motivity which maintain the economic growth, has been part of transformed into institutional obstacles which obstruct the development of livelihood, and this hypothesis has been confirmed by positive ways; forth is that we use empirical approach analysis the impact mechanism of public service performance, and targeted proposed policy recommendations in favor of construction of people’s livelihood improving mechanism.更多还原