【作者】 邸焕双；

【导师】 宋宝安；

【作者基本信息】 吉林大学 ， 社会学， 2014， 博士

【摘要】 农村公共产品供给是“三农”问题的重要一环，也是当前建设社会主义新农村的一个关键所在，涉及农村经济和社会发展的速度和质量。而村庄社区公共产品的供给状况不仅直接影响村民的生产生活，而且直接关联新农村建设的目标。现行农村社区公共产品供给模式是“国家财政+社区自助”的模式。一方面，沿袭原有的“自上而下”的供给决策机制，由国家相关部门向农村划拨各种专项资金进行基础设施建设，但无法有效表达农民的公共产品需求偏好，难以满足农民的需求，同时，国家无力也不可能包揽下农村所有的公共产品供给；另一方面，村社通过“一事一议”方式筹资筹劳进行村庄的公共事业建设，但这种为适应农村税费改革而设计的制度外筹资的“一事一议”制度又无法发挥应有的作用，虽有国家财政补助，仍难以有效实施。这种低效率的制度安排已无法适应社会主义新农村建设的目标要求，需要对现有的制度安排进行创新，重构农村公共产品供给体制。本研究以此为逻辑起点，以农村社区公共产品供给制度的创新与重构为主题，分四个部分展开研究。第一部分明确研究对象和研究的理论依据。主要阐明研究的问题、目的、意义、方法、内容等，并对国内外相关研究进行回顾及述评，为研究的深入进行提供经验借鉴。同时，总结和梳理本研究所需的理论工具——制度变迁与制度创新理论，建立研究的分析框架。认为，来自宪法秩序层面上的家庭承包制和来自制度安排层面上的农业税的取消将引发农村社区公共产品供给制度的创新与重构。这一创新与重构应是政府主导的“自上而下”的强制性制度创新和民间参与的“自下而上”的诱致性制度创新的有机协同；第二部分分别从纵向的农村公共产品供给制度的变迁轨迹和现实的农村社区公共产品的供给状况两个层面入手，揭示农村社区公共产品供给存在的主要问题、产生机理、现实影响，以及供给制度变迁的环境，从而为农村社区公共产品供给制度创新提供现实依据。首先从宏观层面对我国农村公共产品供给制度变迁的脉络进行梳理，重点分析了农村税费制度改革后公共产品供给制度呈现的特点、存在的问题。然后从微观层面上考察了农村社区公共产品供给的现状，探讨其存在的现实问题及影响因素；第三部分在第二部分的基础上分别从决策制度、筹资制度和监管制度等三个层面分析农村社区公共产品供给制度创新的可行性，探究不同层面制度创新的理论依据、路径选择和实施机制。首先对农村社区公共产品供给决策制度创新的可行性进行分析，提出建立农村社区居民需求表达机制，激励社区居民真实显示对公共产品的消费偏好，从而实现供需对接、供求平衡。然后对农村社区公共产品供给筹资制度创新的可行性进行分析，提出以动员机制为实施保障，动员民间力量，针对性质不同的公共产品，有针对性地提供农村社区公共产品。最后对农村社区公共产品供给监管制度创新的可行性进行分析，提出引入自主监督机制，以实现对农村社区公共产品供给的有效监管；第四部分综合前面的论证分析，归纳本研究的主要研究结论，并对值得进一步深化研究的问题进行了讨论。本研究从农村社区角度探讨新农村建设时期农村公共产品供给制度的创新，其目的在于从根本上探讨农村社区公共产品供给现状，以及制度创新的可行性和路径选择。研究认为，新农村建设时期，农村社区公共产品的供给情况已有很大改善，但总体上仍显供给不足，一些与农村居民生产生活密切相关的公共产品仍存在较大的供需缺口，呈现出供给低效和结构失衡等特点。说明税费改革后，政府主导的“自上而下”的财政转移支付制度和农村社区参与的“自下而上”的“自助”式供给制度还没有达到有机协同的状态，还有进一步创新的空间和必要。需要在公共产品供给决策机制、筹资机制、监管机制等不同层面上进行创新。在制度创新的过程中，需以“政府主导”为主，并动员非政府组织和个人参与到农村社区公共产品的供给中来，构建适应新农村建设发展要求的“政府主导、多元参与”的农村社区公共产品供给模式。农村社区公共产品供给决策制度创新的路径选择应是“自上而下”与“自下而上”的有机结合，通过构建公共产品消费偏好真实显示机制，建立由农村社区内部需求与政府决策互动的公共产品供给决策新机制。农村社区公共产品供给筹资制度创新的路径选择应在坚持政府主导地位情况下，通过建立组织动员机制，充分发挥多方力量，形成公共产品供给主体多元化格局。农村社区公共产品供给监管制度创新的路径选择应是引入自主监督机制，加强对农村社区公共资源使用、管理的监督。更多还原

【Abstract】 Rural public good supply is an essential part of three-dimensional rural issues, as wellas the key of building a new socialist countryside, involving the speed and quality ofrural economic and social development. Not only does the condition of supply directlyinfluence peasants’ production and life, but it also relates to the target of New VillageConstruction. The present mode of supplying rural community public goods is the"State finance and community self-help" pattern. On the one side, inheriting the initial"Top-down" mechanism of decision making, villages receive all kinds of special fundsallocated from the relevant national apartments for rural infrastructure construction,which unfortunately cannot express the consumption preference of rural public goodsand satisfy peasants’ demandseffectively. Meanwhile, there is little chance that ournation is capable of providing all public goods when building a new socialistcountryside. On the other side, rural community raise funds and labors via "One issue,one discussion" to construct villages’ public utilities. Nevertheless, such institutiondesigned for adapting to the rural tax reform can hardly play its due role despite thenation’s financial subsidy. Consequently, such low-efficiency arrangement cannot fit forthe target of New Village Construction. It is obliged to create a new mechanism basedon present arrangements and reconstruct the rural community public good supplyinstitution.With this logical thinking, the research will theme on the innovation and reconstruction of rural community public good supply system from four parts. The firstpart will clarify the objects and theoretical basis of the research, focusing on the issues,purposes, significance, methods, contents, etc. In this part, we will review and commenton domestic and foreign relevant researches to provide experience for an intensive study.Furthermore, the article will summarize and sort out the necessary theoretical tools—the theories of institutional transition and innovation, and build up its analyticalstructure. It argues that the household contract system on the level of constitutionalorder and the abolishment of agricultural tax on the level of institutional arrangementwill initiate the innovation and reconstruction of the rural community public goodsupply system. This innovation and reconstruction should be the synergy betweenmandatory institutional creation conducted by the government via the "Top-down"function and inducible institutional innovation participated by the public. In order toprovide realistic evidences for an innovative supply system of rural community publicgoods, the second part will reveal the main problems, mechanisms, influences, and thetransition environment from two levels–the longitudinal transition locus and therealistic supply condition. Firstly, from the macro-level, we will comb the context ofchanges in Chinese supply system of rural public goods, focusing on the characteristicsand the problems emerged in the system after the reform of rural tax institution. Then,from the micro-level, we will investigate the current situation of rural community publicgood supply, and discuss some realistic problems and factors affecting them. Based onthe second part, the third section will analyze the feasibility of the systematic innovationand explore for the theoretical evidences, path choices, and implementation mechanismsfrom three levels—the decision mechanism, the financing mechanism, andtheregulatory mechanism. Firstly, the feasibility of this innovation will be analyzed and theestablishment of the public demand-expression mechanism will be put forward in orderto encourage the community dwellers to show their real preferences for public goods, sothat the joint and balance between supply and demand can be realized. Then the thesis will analyze the possibility of a creative financial system, and propose that villagesshould take the mobilization mechanism as a guarantee of implementation to motivatethe civil power to supply rural community public goods according to their differentfeatures. Finally, we will put forward and introduce a social superintendence mechaismbased on the feasibility analysis of an innovative regulatory mechanism for ruralcommunity public good supply in order to effectively supervise the process. In the lastsection, the passage will summarize the main conclusion of the research through acomprehensive demonstration from the former analysis, and make discussions onproblems worth a further study.This research explores the innovation in the supply system of rural public goods inthis New Village Construction period from the aspect of rural community, aiming atdiscussing its current condition, the feasibility of institutional innovation, and the pathchoices.It holds that in this period, the supply condition has already been improved on alarge scale, while overall, rural public goods are still insufficient; yet there is a gapbetween supply and demand in some public goods related closely to villagers’ life,which presents characteristics of inefficient supply and imbalanced structure. Thisphenomenon illustrates that after the tax reform, the "Top-down" fiscal transfer paymentcontrolled by the government and the "Down-top" self-help supply system participatedby the rural community haven’t yet reached an efficient synergy. It is necessary to stepforward and innovate in distinguished levels such as the decision mechanism, thefinancing mechanism, and the regulatory mechanism. Government should lead theprocess during the institutional innovation, and mobilize more NGOs and individuals totake part in the supply of community public goods in order to establish a"Government-oriented multi-participation" mode adapted with New VillageConstruction. The path choice of an innovative decision institution should be theorganic combination between "Top-down" and "Down-top". It is vital to set up a newdecision-making system in which the inner demands of rural community and the policies from government interact by constructing a perfect mechanism displayingpeasants’ real consumption preference for public goods. The path choice of aninnovative financing institution should be the multi-subject pattern via building anorganized mobilization mechanism to maximize the utilization of diversified powersbased on government-control. The path choice of an innovative regulatory institutionshould be the introduction of social superintendence system to enhance the use of ruralcommunity public resource and strengthen the supervision.更多还原