【作者】 郑谦；

【导师】 蒋云根；

【作者基本信息】 华东师范大学 ， 政治学理论， 2008， 博士

【副题名】兼论我国公共物品供给

【摘要】 公共性是一个指向范围较广,同时也应该是具有特定价值色彩的概念。在公共物品供给的情境下,有关公共物品的公共性应该具有双重维度。首先从公共物品的概念生成和公共物品问题的产生来看,正是因为公共物品具有的外部性,导致市场失灵,形成物品自愿的供给的纳什均衡结果,无法实现具有公共性价值色彩的帕累托最优,因此,有关公共物品的公共性价值就应该首先表现为帕累托最优的实现;其次,公共物品的公共性又要表达出公平正义的价值主张。由此形成了一个二维的,情景化的有关公共物品公共性的表述和定义。“多中心”作为一种治理模式,其在供给公共物品上有其自身的价值基础和实践主张。它从力求提供一种针对公共物品问题的解决方案入手,以赋予公众更多的选择权利和自主性为起点,以制度安排为依托,寻求政府功能与市场机制的最大相容性,形成公共物品供给的“多中心”特征,以此体现物品的公共性价值。而在实践中,“多中心”供给又形式化地表达为以多重差异性的供给单位为特征的物品自主供给和供给主体的多元化。从“多中心”供给的理论基础来看,交易费用分析作为制度分析的一个核心环节,其通过不同供给模式的交易费用状况的比较,尤其是通过信息分布状况的比较,对各种模式特征进行了较充分的分析。但在另一方面,单纯以数量大小来分析交易费用状况,并由此评判各种供给模式的优劣,这种方法却并不符合公共物品应有的公共性价值要求。因为有相当一部分被视为诱发交易费用的行为实际上是在体现和保证物品的公共性,因此在对公共物品的分析中应该建立具有公共性特征的交易费用观。另外,“多中心”供给中供应与生产的分离在一定程度上改变了有关公共物品供给的系统运行方式和效用价值实现的流程。它带来了两个结果:一是政府行政机构具有了更为鲜明的对价值权威性分配的职能;而在另一方面,承担物品生产职能的主体可以更堂而皇之地以利润为目标导向来展开运行。在现实中,这种分离有可能通过职能上的分工,在更好地完成价值的权威性分配基础上高效地进行物品生产,从而更加有效率地完成物品的供给。但是,我们必须认识到这种分离也增加了政府被“俘获”的可能性,即由于利润的驱动而导致生产主体对供应组织的影响,从而使得产出发生扭曲。从而失去帕累托效率,也损失了其公共性价值。但是,如果能加强供给的自主性,以及确立与自主性相适应的供给单位规模,就能应对这种产出扭曲。我国公共物品供给模式的转型改变了以往政府在该领域中的核心地位,表现为公共物品供给主体的多元化。但是,从多中心理论,以公共性价值为评价视角来看,这种转型的结果也表现为公共物品的公共性价值在一定程度上的缺失。这既包括在帕累托最优实现上的公共性价值缺失,如某些物品产出量的扭曲等,也包括以公平和正义为表现的公共性价值缺失,如医疗卫生、基础教育等准公共物品的效用在公众中分布的极不均衡。产生这种公共性缺失的原因有四方面,首先是在这场转型中对于扭曲了的市场机制的过于倚重;其次,政府行为中公共性的淡化,没有将其树立为政府的核心价值目标,在供应与生产相分离的同时没有确保充分的公众参与,忽视了供给中交易费用的公共性价值;再次,没有确保有关公共物品供给决策机制的多重性;最后,由于在财政权力方面向地方政府授权的不充分,导致了地方在公共物品自主供给上的能力欠缺,产生了一定程度的“祛公共化”倾向。因此,在我国公共物品供给的转型中,必须通过重塑政府的公共性价值观、加大公众参与、完善相关制度等方式来寻求公共性价值的回归。更多还原

【Abstract】 Public characteristic is a concept which has various interpretations. It is necessary to keep two dimensions on the situation of public goods supply, at first , from the concept appearance, Pareto optimum behaved of public effectiveness should be considered. The reason is that the public utilities can not be appeared because of externalities of public goods making Nash equilibrium to be the result of public supply instead of Pareto optimum with Public characteristic. Secondly, justice should be appeared to support the Public characteristic for ethics concerned public goods. From the two dimensions, a situational definition on Public characteristic of public goods is come into being.As a governance method featured its own basic value and practical operation, multi-centers theory want provide the solution for public goods contain .The theory seek the maximal possibility of compatible relationship between government and market to form the multi-centers through endowing selective right and institution arrangement. Practically, the multi-center supply is implemented through multiplicity of supply body and multiple unites.As fundamental theory of multi-centers system, the analysis on transaction cost is the key point in institution analysis. Through the comparing on transaction cost among the different method of supply, especially in informational distribution, characters of different supply method were analyzed throughout, from which the theory of "multiple-centre" has been developed. Nevertheless, the single method that evaluates the effectiveness of institution by the numbers of transaction cost does not meet the requirement of public character on the goods. Practically, quite a few behaviors which incur transaction cost guarantee the public character on the goods. Consequently, a new kind of value evaluating of transaction cost should be recognized in the analysis on public goods.Additionally, the separation between supervision and production change the supplying method of operation as a system and process of effectiveness achievement. The separation makes two results. The first is boosting the function of bureaucracies on value distribution from statue of authority, which were production orientated previously. Secondly, bureaucracies would legally pay more attentions to profit instead of duties for publics. Both of two results can boost public goods supply in efficiency. Nevertheless, the possibility of which capture was incurred on government is enhancive for profit orientation on business organization. As result, the output of public goods would be distorted that can be embodied by overproducing in some kind of public goods. The overproducing would be serious by cost decreased resulted in sufficient competition in the cause of governmental purchase. The distortion would cause Pareto optimum and justice can not be appeared as well as Public characteristic. The ways to deal with the problem are to emphasize the self-decision and give suitable scope in supply.The core status of government in public goods supply has been changed into multiplicity because of transformation. The transformation has decreased Public characteristic both in inaccessibility on Pareto optimum achieved and justice. The former has embodied in output distorted and the latter mainly incurs in inequality of effectiveness distribution in medical care and fundamental education. There are four matters caused the results. Firstly, the transformation led a heavy dependence on marketing system. Secondly, the traction cost as a valuable issue and publics participation in the course of separation between supervision and production has been ignored that decreased Public characteristic. The third is simplification on decision mechanism. At last, inadequate decentralization of authority in finance between central government and local government has made weak self-supply of local government, which has got rid of Public characteristic.As a conclusion, in the transformation of public goods supply, the value of Public characteristic should be regressed through the value rebuilding, public participation and institutional construction.更多还原