【作者】 李英哲；

【导师】 王国清；

【作者基本信息】 西南财经大学 ， 财政学， 2010， 博士

【摘要】 我国是一个发展中的农业大国,农业是国民经济的基础。农业的发展、农村的进步和农民生产、生活的改善都与农村公共产品的有效供给密切相关。近年来我国以农业发展缓慢、农村社会矛盾突出、农民收入增长缓慢为主要特征的“三农”问题形成的一个重要原因就是农村公共产品供求关系失衡,这一问题已经严重影响到我国经济社会的可持续协调发展。为此,近年来党和政府不断加大对农业的投入力度,特别是2004年后至今,已连续下发了七个中央“一号文件”,明确提出要按照统筹城乡发展要求,实行工业反哺农业、城市支持农村以及“多予、少取、放活”的方针,巩固、完善和加强支农惠农政策,切实加大对农业和农村的投入,加快农业基础设施建设及农村各项社会事业的发展。虽然也取得了一些较为显著的成绩,但一直没有取得长效和根本突破。因此,迫切需要有新的制度安排来解决农村公共产品的供求矛盾。本文就是试图从制度创新的角度探寻我国农村公共产品供求失衡的深层次原因和促进其供求关系协调发展的解决之道。本文以农村公共产品供求关系为研究对象,综合运用财政学、公共经济学、制度经济学、信息经济学等基本理论和方法,采用理论分析与实际分析相结合、规范分析与实证分析相结合以及历史分析和比较分析相结合等主要研究方法,按照“理论探讨——实证分析——政策设计”的研究路径,建立了农村公共产品基础理论——农村公共产品供给分析——农村公共产品需求分析——农村公共产品供求关系分析——我国农村公共产品制度安排历史比较分析——农村公共产品制度安排国际比较分析——协调农村公共产品供求关系的制度创新的分析体系。循此逻辑思路,全文共分8章：第1章导论。首先就本文的选题背景及研究意义进行简要论述,接着对目前农村公共产品供求方面的相关文献进行梳理,最后简要阐述了本文的研究思路、方法、内容结构以及主要创新与不足之处。第2章农村公共产品基础理论。本章首先阐述了公共产品的内涵。在此基础上对农村公共产品进行了界定,农村公共产品是指在农村地域范围内为农民、农村和农业发展所提供的具有非排他性、非竞争性和收益外溢性物品或服务的总称。它一般是个体农民所不愿提供或提供不了,但又是社会和经济发展所必不可少的产品,是全体农村居民共同利益的体现。然后对我国农村公共产品的多层次性、高依赖性和强地域性等特性进行了分析,最后分别从农村公共产品的特性、受益范围、存在形式及功能等方面对农村公共产品进行了分类。第3章农村公共产品供给分析。本章首先阐述了农村公共产品供给的涵义,接着分析比较了农村公共产品的政府供给、市场供给、自愿供给及PPP供给等四种供给模式在决策机制、使用机制、筹资机制及激励约束机制等方面的区别与联系。然后探讨了农村公共产品的基本属性、需求、技术条件、供给主体、供给方式和制度环境等影响农村公共产品供给的因素。最后对我国农村公共产品供给现状进行分析,得出目前农村公共产品供给存在总量不足、结构失衡以及城乡不公等诸多问题。第4章农村公共产品需求分析。本章首先阐述了农村公共产品需求的涵义,接着分析了农村公共产品需求具有的差异性、叠加性和动态性等特性。然后探讨了农村经济发展水平、经济体制与生产方式、农民的理性预期、农民的社会特征及农村公共产品的成本分摊等影响农村公共产品需求的因素,接着又论述了农村公共产品需求偏好表达机制,并分析了我国目前农村公共产品需求存在的层次不高、管理体制不顺和信息收集成本偏高等问题。最后在借鉴已有成果与调查问卷的基础上,得出我国农村居民公共产品需求意愿排序为：基础设施、医疗卫生、技术信息服务、农村教育、社会保障和文化娱乐设施。第5章农村公共产品供求分析。本章首先借鉴公共产品供求均衡理论对农村公共产品供求均衡进行分析,并得出对农村公共产品有效供给的启示。接着对我国农村公共产品供求失衡的形成机制及现状进行实证分析。最后分析了我国目前农村公共产品供求关系失衡的主要原因：城乡二元经济体制、“分税制”财政体制、政府“经济人”行为与“自上而下”决策程序以及农民缺乏代表自身利益和表达自身需求的组织等,以期为协调我国农村公共产品供求关系的制度创新提供依据。第6章我国农村公共产品制度安排的历史比较分析。本章通过分析人民公社时期、家庭承包制时期和税费改革以后三个不同时期农村公共产品制度安排的社会经济环境、决策制度、资金筹措制度及生产与管理制度的特征,得出我国农村公共产品制度安排的比较反思：制度外为主的筹资制度使农民错推为农村公共产品的供给主体、“自上而下”的决策制度使农民难以表达对农村公共产品的真正需求以及政府投入不足使农民享有的公共产品和服务水平趋于下降。第7章农村公共产品制度安排的国际比较分析。本章首先分析了美国、日本、德国等发达国家农村公共产品制度安排,接着又分析了韩国、印度、巴西等发展中国家农村公共产品制度安排。最后从各国成功经验中总结出对我国农村公共产品制度安排的借鉴和启示：加大政府对农村公共产品的投入力度；科学划分各级政府的供给职责和支出范围；建立以政府为主导的农村公共产品多元化投资格局；重视农民的真实需求,让农民参与农村公共产品的投资决策；大力发展农村合作组织,充分发挥其在农村公共产品供给中的作用。第8章协调我国农村公共产品供求关系的制度创新。本章主要阐述了协调我国农村公共产品供求关系的制度创新策略：建立并完善农村公共财政制度；构建以需求为导向的农村公共产品供给体制；构建以政府为主导的农村公共产品多元化供给格局；推进农村公共产品供给决策制度创新；推进农村公共产品监督管理制度创新。本文可能的创新之处主要在于：1、目前国内对农村公共产品供给方面的研究比较多,且大多都是规范分析,对需求方面的研究相对较少,所以本文尝试从供给与需求两方面并通过规范分析与实证分析相结合的方法对我国农村公共产品进行系统性、拓展性的分析探讨,为协调农村公共产品供求关系的制度创新奠定基础。2、完善了农村公共产品的供给模式,即有政府供给、市场供给、自愿供给和PPP供给四种供给模式。并对这四种模式的供给主体、决策机制、使用机制、筹资机制以及激励约束机制进行了分析比较,每一种模式都有其优点和不足,都有其发挥作用的领域。为促进我国农村公共产品有效供给,应坚持政府供给为主,加强与市场供给、自愿供给以及PPP供给有机结合,扬长避短,充分发挥各种供给模式的比较优势。3、在对农村公共产品的需求意愿实地调研的基础上,借鉴已有研究成果,通过对当前有代表性的有关农村公共产品需求优先顺序进行科学合理的处理,得出从我国农村公共产品需求优先顺序为：基础设施、医疗卫生、技术信息服务、农村教育、社会保障和文化娱乐设施。4、提出应以农民对公共产品的客观需求为导向,并以此作为制度创新的出发点和落脚点,构建一种合理的农村公共产品制度安排。本文在对农村公共产品供给和需求进行分析的基础上,注重从农村公共产品供求均衡的视角对农村公共产品供求存在的问题进行较为全面、深刻的分析,以求建立以需求为导向的农村公共产品供给制度。5、在理论分析和实践分析的基础上,结合我国当前宏观经济社会环境的变化,明确提出当前及今后协调农村公共产品供求关系的关键在于制度创新,重点是建立并完善农村公共财政制度,构建以需求为导向的农村公共产品供给制度,构建以政府供给为主导的多元化供给格局,积极推进农村公共产品决策制度以及管理监督制度创新。虽然本文的研究取得了诸多收获,但由于农村公共产品供求问题的复杂性、相关数据难以获取性以及笔者的能力和时间的限制,还存在一些不足和缺憾。比如,本文的定量分析部分还有待进一步加强；缺乏对协调农村公共产品制度创新的成本与效益的比较量化分析；对我国的土地是否具有公共产品性质没有做探讨等等,这些都有待于在今后的工作与学习中作进一步的探索和研究。更多还原

【Abstract】 China is a developing agricultural country, agriculture is the foundation of national economy. Agricultural development, rural progress and the lives of farmers improving are all closely related to the effective supply of rural public goods. In recent years, "three rural" issue of china has the main features:the slow development of China’s agriculture, the fierce rural social contradiction, the slow growth of peasant incomes, which is caused by the supply-demand imbalance of the rural public goods. This problems has seriously affected the sustainable coordinated development of economic and society.The party and government continue to increase input into agriculture in recent years,especially since 2004, our country has issued seven central "One File", which has clearly required in accordance with urban and rural development, the implementation of industry nurturing agriculture and cities supporting rural areas and "giving more, taking less and liberlizing more" approach in order to consolidate policies about supporting and benefiting agriculture, effectively increase investment in agriculture and rural areas, accelerate the agricultural and rural infrastructure construction development. Although there have been some rather remarkable results, but has not made long-lasting and fundamental breakthrough. Therefore, the urgent need for new institutional arrangements is to solve the contradiction between demand and supply of public goods in rural areas. This article is an attempt to explore the causes about supply-demand imbalance of the rural public goods from the perspective of institutional innovation and find the solution of promotion of coordinated development.This paper has the relation demand and supply of rural public goods as the research object, comprehensive use of the basic theory and method about finance, public economics, institutional economics, information economics, implant major research methods such as the combination of theoretical and practical analysis, normative and empirical analysis and historical and comparative analysis of combined. According to "Theory probing-practical analysis-policy design" of the path, the paper sets up analysis system:the Basic Theory of Rural Public Goods-the Supply Analysis of Rural Public Goods-the Demand Analysis of Rural Public Goods-the Supply and Demand Analysis of Rural Public Goods-the Historical Comparative Analysis of Institutional Arrangements about Chinese Rural Public Goods-the International Comparative Analysis of Institutional Arrangements on Rural Public Goods-the Institutional Innovation System of Coordinating Supply and Demand Relation of Rural Public Goods. The full text is divided into eight chapters by this logical thinking.Chapter one:the Introduction. This part firstly discusses the background and research significance of this article, then cards the relevant literature about the supply and demand of rural public goods. At the end of this part, the research ideas, methods, content and structure, major innovations and shortcomings are briefly described.Chapter two:the Basic Theory of Rural Public Goods. This chapter firstly expounds the meaning of public goods, on the basis of which rural public goods has been defined. The rural public goods is the general goods or services for farmers, rural and agricultural development, which has features:the non-exclusive, non-competitive, and the spill-over benefits within the rural area. It is not generally provided by individual farmers, but is essential for social and economic development, and embodys the common interests of all the rural residents. Then multilevel nature,high dependency, strong regional and other characteristics of rural public goods are analyzed. Lastly, the part classifies rural public goods by the characteristics, range of benefits, the forms and functions of rural public goods.Chapter three:the Supply Analysis of Rural Public Goods. This chapter firstly expounds the meaning of suppy for rural public goods, and then compare the government supply, market supply, voluntary supply and PPP supply modes in the decision-making mechanism, using mechanism, financing mechanism and the incentive and restraint mechanism. Then the part discusses the factors:the basic properties of rural public goods, demand and technological conditions, the main supply and institutional environment, which affects supply of rural public goods. Finally, This chapter analyzes the supply situation of rural public goods and draws some questions:the lack of total amount, structural imbalance and injustice in urban and rural issues and so on.Chapter four:the Demand Analysis of Rural Public Goods. This chapter firstly expounds the meaning of demand for rural public goods, then analyzes the demand characteristics for rural public goods:differences, superposition and dynamic. Then the part analyzes the affecting factors of demand about rural public goods, such as the level of the rural economic development, economic system and mode of production, rational expectations of farmers, the social characteristics of farmers and cost-sharing requirements. Then the part discusses preferences for expression mechanism of rural public goods and analyzes some questions about China’s current demand for rural public goods:low level, non-fluky management and high cost for information collection. Finally, This chapter concludes the order of public goods:infrastructure, health, technical information services, rural education, social security and cultural and recreational facilities by learning the results and the questionnaire.Chapter five:the Supply and Demand Analysis of Rural Public Goods. This chapter firstly analyzes the supply-demand balance of rural public goods by reference the supply and demand equilibrium theory, then draws the enlightenments on the effective supply of rura public goods in China. Then this part analyzes the formation mechanism of the supply-demand imbalance of rural public goods. Finally this chapter analyzes the causes of rural public goods supply-demand imbalance:urban-rural dual economic structure, tax sharing system, government "economic man behavior" and "top-down" decision-making procedures, and lack of organizations that represent and express farmers own needs and self-interest in order to provide the basis for innovation system of coordinating demand and supply of rural public goods.Chapter six:the Historical Comparative Analysis of Institutional Arrangements about Chinese Rural Public Goods. This chapter mainly analyzes and compares the socio-economic environment, decision-making system, financing system and the characteristics of production and management system during three different periods:the commune period, the household contract system and after tax reform period, then concludes the reflections of institutional arrangements of rural public goods:the peasants are pushed the main supply of rural public goods because of the foreign-based financing system, farmers can not express the real needs of rural public goods because of "top-down" decision-making system, and farmers enjoy the level of public goods and services tending to decline because of the lack of government investment.Chapter seven:the International Comparative Analysis of Institutional Arrangements on Rural Public Goods. In the first, this chapter analyzes the institutional arrangements of rural public goods about United States, Japan, Germany and other developed countries, then analyzes the institutional arrangements of rural public goods about South Korea, India, Brazil and other developing countries. Finally, this part concludes reference and inspiration from the successful experiences of these countries on the institutional arrangements of rural public goods:increasing government input in rural public goods; scientific supply division of responsibilities of different levels of government expenditure range; establishing the government-led rural diversified investment pattern of public goods; paying attention to the real needs of farmers in rural public goods investment decisions; strong developping the rural cooperative organizations in rural areas and full playing its role in the supply of rural public goods.Chapter eight:the Institutional Innovation System of Coordinating Supply and Demand Relation of Rural Public Goods. This chapter mainly describes the system innovation strategies about the coordination of supply and demand of rural public goods:establishing and improving the rural public finance system; building demand-driven system of rural public goods; building the government-led diversification of supply pattern of rural public goods; innovating the decision-making system and supervision and management system of rural public goods.The innovation of this article maybe mainly due to:1. Currently the researchs on the supply of rural public goods are relatively more, and most of them are normative analysis, researchs on demand are relatively small. So this paper attempts to considers both supply and demand, and investigates rural public goods systematically and developpingly analytical study by the combining method of the normative and empirical analysis for laying the foundation for system innovation about the coordination of supply and demand of rural public goods.2. Perfecting the supply model of rural public goods, that is:government supply, market supply, voluntary supply and PPP supply. And analyzing and comparing the main supply of the four models:decision-making mechanism, using mechanisms, financing mechanisms and incentive and restraint mechanisms. Each model has its advantages and disadvantages. To promote the effective supply of rural public goods, we should insist on the leading position of government supply, and strengthen market supply, voluntary supply and PPP supply simultaneously, and give full play to the comparative advantages of various supply models. 3. By means of dealing with the representative results and the questionnaire about the willingness demand of rural public goods scientificly and reasonablely, this chapter concludes the order of China’s rural public goods:infrastructure, health, technical information services, rural education, social security and cultural and recreational facilities.4. Building the reasonable system arrangement of rural public goods by means of the objective demand of famers. This paper analyzes supply and demand about the rural public goods from the perspective of demand-supply balance comprehensively and profoundly, based on focus on supply and demand analysis of rural public goods in order to establish a demand-oriented supply system of rural public goods.5. On basis of the theoretical and practical analysis, combining the current macro-economic changes in the social environment, the paper clearly propose that the key question lies in institutional innovation to coordinate the supply and demand of rural public goods, focusing on establishing and improving the rural public finance system, building demand-driven system of rural public goods, building the government-led diversification of supply pattern of rural public goods, innovating the decision-making system and supervision and management system of rural public goods.Although this study has made many gains, because of the complexity and the relative data difficult to obtain of supply and demand question of rural public goods, and the author of the capacity and time constraints, there are still some deficiencies and shortcomings. For example, quantitative analysis of this part to be further strengthened; lack of the cost and benefit quantitative analysis about coordination innovation system of rural public goods; China’s land has the nature of public goods or not, and so on. These need to further exploration and research in the future work and study.更多还原