本文關鍵詞：我國準公共品多元化供給研究，，由筆耕文化傳播整理發(fā)布。

        公共品供給的“政府失靈”導致了近二十年來西方的新公共管理運動,掀起了準公共品市場化改革的浪潮。同時,由于市場本身具有“先天不足”之處,第三部門非營利組織也悄然崛起,在發(fā)達國家,其儼然已經和政府、私人企業(yè)并列成為經濟社會管理的三大主體之一。我黨在十六屆三中全會中提出,“要大力發(fā)展和積極引導非公有制經濟”,“放寬市場準入,允許非公有資本進入法律法規(guī)未禁入的基礎設施、公用事業(yè)及其他行業(yè)和領域”。近年來,學術界紛紛提倡公共品多元化供給改革,并且付諸于實踐,但總的看來,改革做出了勇敢的嘗試并取得了一定的成績,但也存在很多不盡如人意的地方。我國政府在國民經濟發(fā)展的“十二五”規(guī)劃中再次重申要“改革基本公共服務提供方式,引入競爭機制,擴大購買服務,實現(xiàn)提供主體和提供方式多元化。推進非基本公共服務市場化改革,放寬市場準入,鼓勵社會資本以多種方式參與,增強多層次供給能力,滿足群眾多樣化需求�！边@是我國政府首次在重大政策性文件中明確提出“公共服務實現(xiàn)提供主體和提供方式多元化”。深入貫徹落實好黨的經濟政策,完善我國公共品理論體系,迫切要求我們積極深化準公共品多元化供給理論,進一步探索符合我國國情的準公共品供給實踐模式。深入探討準公共品多元化供給的理論基礎,摸索準公共品多元化供給的現(xiàn)實模式,提高公共品整體供給效率,規(guī)范公共品多元化供給的秩序,優(yōu)化公共品供給體系是本文探討的主要內容。本文第一章仍然先從公共品的性質談起,盡管學術界研究公共品理論已有數(shù)百年歷史,但對公共品性質的界定依然是不成定論。一般存在以下四種觀點：①非競爭性和非排它性,代表人物是薩繆爾森和馬斯格雷夫代表人物；②公共品的共用性,代表人物是美國的鮑德威、奧斯特羅姆夫婦；③公共品的非排他性；④公共品的非競爭性。先從公共品的非競爭性說起,物品是有多種屬性的,每個屬性具有不同程度的競爭性,僅僅依靠非競爭性來判別公共品很容易混淆,而且現(xiàn)實中有的物品表面上具有很強的非競爭性,但卻明顯屬于私人品。因此,僅靠非競爭性作為公共品的特性是不合理的。再看公共品的非排他性,非排他性一般包括：①沒必要排他；②排他成本過高；③不應該排他。經研究分析后發(fā)現(xiàn),非排他性在內容上實際是包含非競爭性和共用性的；另外,外部性理論及產權理論研究也認為,之所以存在公共品就是因為交易成本過高以至不能排除他人占有該物品的產權。因此,綜上所述,筆者傾向于采用非排他性作為判定公共品的標準。在社會中,如果某物品由于存在過高的交易成本或社會價值觀導致的不能或不應該(沒必要)阻礙其他社會成員進行使用,那么這類物品就是公共品。從本文對公共品屬性的認識看,純私人品到純公共品,只是非排他性不斷增強的一個過程。純公共品就是具有完全非排他性的物品(包括無形的制度等),私人品是具有完全排他性的物品,處于公共品和私人品之間的就是準公共品,準公共品就是具有部分排他性的物品。很明顯,純公共品由于具有完全的非排他性,必須由政府供給,而私人品具有完全的排他性,私人供給是高效的。準公共品處于二者之間,則都可以由政府、私人和處于二者之間的第三部門組織來供給,可以說任何一種準公共品的供給主體都不是唯一的,都可以考慮采用多元化模式來解決,選擇的標準是哪一個供給主體哪一種供給模式能更好的提供它,更好的滿足群眾或消費者的需求。本文緊接著從古典經濟學開始對公共品供給的理論基礎進行分析,后逐漸引入產權經濟學、新制度經濟學以及博弈論、信息經濟學的分析。古典經濟學理論對公共品的供給需求進行了均衡分析,證明了對于單個公共品來說是可以產生庇古的局部均衡和薩繆爾森的一般均衡,達到最優(yōu)供給。準公共品的市場供給理論認為市場對一些準公共品的供給是有效率的,能夠產生林達爾的均衡解,后來鮑溫和約翰森的自愿交換理論進一步證明了這一點,尤其是科斯通過對公共品的外部性進行分析后,提出了解決公共品經濟外部性的有效途徑,即通過產權界定或產權轉讓交易來達到公共品供給的市場效率解。然而,不少學者卻認為市場供給準公共品存在以下缺陷：①供給中的“搭便車”現(xiàn)象和“公地的悲劇”導致現(xiàn)實中公共品供給無效率；②自然壟斷性準公共品存在定價難題；③會導致公共品社會普遍服務和公平性的喪失。其實,政府對公共品的供給實際上是隨著國家起源而產生的,對政府關于公共品供給的理論基礎最初散見于社會學和政治學理論當中,后來公共品供給的“市場失靈”導致更多的學者從福利經濟學、新古典經濟學的角度研究政府提供公共品的必要性,但是很顯然政府供給公共品存在以下問題：①政府供給的低效率,公共品的質量難以監(jiān)測和保障；②存在強制性搭便車現(xiàn)象；③存在政府尋租行為�？梢哉f,政府與市場在公共品供給中的“雙失靈”奠定了第三部門組織供給公共品的理論基礎,由于第三部門組織自身的優(yōu)勢規(guī)定性,決定了她在公共品供給中不可忽視的作用,后來的多中心供給理論和志愿供給理論都證明了這一點。以上的理論分析無非是論證對于準公共品的供給,政府、市場和第三部門都有其優(yōu)勢和不足的地方,僅僅對于某一種準公共品來說,它的供給主體不應該是單一的,供給方式也不應該是唯一的,關鍵要看哪一種供給模式能更好的發(fā)揮效果,更好的滿足各方的需求。本文在第二章列舉了公共品供給的l0種基本模式,包括合同承包、特許經營、政府補助、憑單制、志愿服務等,個別模式還有多種表現(xiàn)形式,尤其是針對使用對象有限的基礎設施的供給,列舉了公私合作供給的11種模式,如LBO、BOT、BTO、BBO、BOO以及外圍建設等具體模式,對于這些模式的選取,筆者認為都要視具體情況而定,根據(jù)現(xiàn)實中準公共品提供的環(huán)境和條件,實事求是的來選取較為合理的模式。對于公共品供給模式的選擇標準也很多,比如回應性、公平、效率等等,同樣對于標準的選擇也應因地因時制宜,綜合考慮分析,要根據(jù)國情、社情、民意,根據(jù)國家當前的大政方針和改革方向,根據(jù)公共品供給要達到的目的和要求,選取某些標準或提高某個標準的比重。一旦公共品供給模式的評判標準確定以后,就可以引入運籌學和數(shù)理經濟學中的一些方法,如層級分析法(AHP)或數(shù)據(jù)包絡分析法(DEA)等來評判某個供給模式的優(yōu)劣,評價其供給效率,以利于事前選擇或事后評價,這也是當前社會管理中比較流行和有效的評判方法。第三章本文對發(fā)達國家的準公共品多元化供給改革實踐進行了實證分析,研究了發(fā)達國家多元化改革的實踐模式和取得的效果,第四章總結了我國近年來準公共品多元化供給改革情況,概括了改革取得的成果,對個別領域的準公共品供給效率進行實證分析和評價。第五章、第六章在以上分析的基礎上,闡述了優(yōu)化我國多元化供給體制的條件、制度設計及實現(xiàn)路徑。為了在實踐中實現(xiàn)優(yōu)選多元化供給模式,更好更有效供給準公共品,針對我國當前公共品供給中仍然存在不足的地方,需要按照以下原則進一步優(yōu)化我國公共品多元化供給體系,①權力義務對等原則：②因地制宜原則；③可操作性原則：④提高質量原則；⑤負面效應最小化原則。為構建我國高效的公共品多元化供給體系,要采取以下措施：①建立市場參與公共品服務的激勵與約束機制。要繼續(xù)深化國企公司化改造,確立企業(yè)的法人主體地位；積極引入市場競爭機制,增強公共品供給的競爭程度；提高政府的監(jiān)管能力。②建立第三部門組織參與公共品服務的激勵與約束機制。要降低第三部門組織取得合法身份門檻,增強組織間的競爭性；提高政府的支持力度,創(chuàng)造有利于第三部門組織發(fā)展的內、外部環(huán)境。③深化經濟政治體制改革,進一步明確政府職能。進一步弱化政府直接提供準公共品的職能作用,鼓勵引導民間資本投向準公共品領域,推進國有資產管理體制改革,積極扶持第三部門的發(fā)展；不斷強化政府對準公共品供給領域的監(jiān)督管理職能,加強對準公共品供給的監(jiān)督,提高政策管理服務水平,形成科學合理的決策機制。本文在前人研究的基礎上對以下方面進行了歸納及創(chuàng)新：第一,引入層級分析法(AHP)或數(shù)據(jù)包絡分析法(DEA)對不同模式的準公共品供給效率進行評價,并對我國公路、鐵路這兩種相近的準公共品以及幼兒園的供給效率進行案例分析。第二,全面闡述政府、私人和第三部門在公共品多元化供給中需要發(fā)揮的宏觀和微觀職能,提出優(yōu)化我國準公共品多元化供給機制的思路和措施,進一步明確了政府在準公共品供給中的職能內容,闡述了私人、第三部門組織參與準公共品供給的激勵約束機制的構建路徑。第三,結合前人分析和現(xiàn)實需要,對評價公共品模式優(yōu)劣的標準進行了歸納。由于作者自身理論水平有限,本文存在很多不足,比如對現(xiàn)實中政府在準公共品多元化供給中職責分析不夠全面,對我國第三部門非營利組織的研究不夠深入徹底等等。

    The Supply of Public Goods "government failure" led to two decades of Western New Public Management movement, set off a wave of market-oriented reforms of the quasi-public goods.Meanwhile, the market itself has " deficiencies" at the third sector non-profit organization quietly rising in developed countries, it with the government and the private enterprise become the one of the three main economic and social management.CPC in the Third Plenary Session of the16th,"to develop and actively guide the non-public economy", relax market access to allow private capital into the infrastructure of laws and regulations not prohibited, utilities and other industries and fields.In recent years, academics have advocated the reform of the diversified supply of public goods, and practice, but the overall diversification of public goods made in the reform of certain results, but there are many deficiencies.To reiterate that the Chinese government in economic development "12th Five-Year Plan" to the reform of basic public services, the introduction of competition mechanism, expand the purchase of services to achieve the subject and the delivery of diversification.The Chinese government to promote non-essential public services, market-oriented reforms, relaxing market access and encourage social capital to participate in a variety of ways to enhance the multi-level supply capacity to meet the diverse needs of the masses."first time in a major policy document specifically mentioned" public service to the subject and the delivery of diversification.These are provided policy support to further deepen the reforms in the areas of public goods supply. Depth discussion of the theoretical basis of the diversification of the quasi-public goods supply, to explore the reality model of quasi-public goods diversified supply, improve the efficiency of the overall supply of public goods, standardize the order of diversification of supply of public goods, optimize the supply system of public goods is the main content of this paper.Academia to study the theory of public goods to several hundred years of history, but the definition of the nature of public goods is still not a conclusion.This paper begins with talk about the nature of public goods, The nature of public goods, the general existence of the following four perspectives:①non-competitive and non-exclusive representative is the representative figure of Samuelson and Musgrave;②the sharing of public goods, represented by the United Statesthe Baodewei, Ostrom and his wife; public goods.non-exclusive;④public goods non-competitive. Speaking of non-competitive, start with the public goods that the goods is the variety of attributes, each attribute has different levels of competition, relying solely on non-competitive to distinguish public goods are easily confused, but in reality, some items on the surface has a strong non-competitive, but it clearly belongs to private goods. Therefore, relying on the non-competitive as the characteristics of public goods is unreasonable.Non-exclusive public goods generally include:①unnecessary row him;②exclusive cost is too high;③should not be exclusive.Studies have shown that non-exclusive content actually contains a non-competitive and sharing; In addition, the external theory and property theory also believes that the reason why there are public goods because of high transaction costs so we can not exclude others from possession of the items theproperty rights. In summary, I think we should adopt the non-exclusive as to determine the sole criterion of public goods.In society, if not a result of an article due to the presence of excessive transaction costs or social values or other members of society should not hinder the use of such articles is the public goods.From the attributes of public goods and pure private goods to purely public goods, non-exclusive and constantly enhance a process.Pure public goods is non-exclusive items. Private goods is a completely exclusive items between public goods and private goods is quasi-public goods and quasi-public goods is a part of the exclusive items.Entirely non-exclusive, pure public goods must be supplied by the government, while private goods has completely exclusive, private supply is efficient.Quasi-public goods can either be provided by the government and the private sector can also be supplied by third sector organizations, that is a quasi-public goods supply main is not the only, so you can consider diversification model to solve the selection criteria which supply main which a supply model is better able to provide it to better meet the people or the needs of consumers.From classical economics to analyze the theoretical basis of the supply of public goods, and then gradually introducing property rights economics, new institutional economics and game theory, information economics analysis. Classical economic theory of public goods supply and demand equilibrium analysis, proved that partial equilibrium Pigou and Samuelson’s general equilibrium for a single public goods, optimal supply. The quasi-market for the supply of public goods theory that the market for the supply of some quasi-public goods is efficient, can produce Lindahl equilibrium solution, and later Martin moderate Johansson voluntary exchange theory further proof of this, especially Kos through to public goods external to analyze proposed an effective way to solve the economic externalities of public goods, through the definition of property rights or property transfer transactions to achieve the solution of the supply of Public Goods market efficiency. However, many scholars think that the market supply quasi-public goods to the following shortcomings:①The supply of "free rider" phenomenon and "the tragedy of the commons " nd lead to inefficient supply of public goods in reality;②The natural monopoly quasi-public goods to a pricing problem;□market supply public goods lead to the loss of universal service and equity of public goods society.In fact, the supply of public goods is in fact national origin, originally exist in the theories of sociology and political science theoretical foundation of the government on the supply of public goods, then the supply of public goods "market failure" leads to more scholars from the point of view of welfare economics, neoclassical economics the government need to provide public goods, but the problems of government supply of public goods is also obvious:①The government inefficiency of the supply;﹎andatory free-rider phenomenon;③The government rent-seeking behavior. So, the government and the market in the supply of public goods "double failure" and laid the theoretical foundation of the third sector organizations in the supply of public goods, due to third sector organizations own advantages provisions, determines it can not be ignored in the supply of public goods role in the subsequent supply of multi-center theory and voluntary supply theory to prove this point.For a certain kind of quasi-public goods, the supply of the main body should not be a single supply mode should not be the only key to see which mode of supply can better play better meet the needs of the needs of the parties. This paper lists10kinds of public goods supply basic modes, including contracting, franchise business, government subsidies, the voucher system, voluntary services, the individual mode, there are many manifestations, especially for using the object of limited infrastructure supply enumerated11modes of supply of public-private partnerships, such as LBO、BOT、BTO、BBO、BOO and the external construction of the specific mode, the selection of these patterns, I believe that should be depending on the specific situation, in reality quasi-public goods environment and conditions for seeking truth from facts to select a more reasonable model.Public goods supply model selection criteria, such as responsiveness, equity, efficiency, etc. Similarly, for the selection of a standard should consider the analysis, according to national conditions, public opinion and national policy and direction of reform, according to public goods supply to achieve the purpose and requirements to develop the standard.Operations research and mathematical economics in the Analytic Hierarchy Process (AHP) or data envelopment analysis (DEA) criteria to determine the modes of supply of public goods can be used to judge the pros and cons of a supply model to evaluate the efficiency of its supply order to facilitate prior selection or ex-post evaluation, this is also the social management of the more popular and effective evaluation method.On the basis of the above theoretical analysis, the practice of reform of the quasi-public goods in developed countries diversified supply for the empirical analysis, the practice mode of diversification of reform in developed countries and the results achieved, summed up in China in recent years, quasi-public goods diverse of supply reforms, summed up the achievements of China’s reform of the public goods, the empirical analysis and evaluation of the individual quasi-public goods supply efficiency.In practice in order to achieve the optimal choice of diversified modes of supply, for the supply of public goods in China there are still deficiencies，optimize its main principles.①power obligations principle:②The local conditions of principle;③the operability principle;④improve the quality principles:⑤negative effects of the minimum principle.To build China’s efficient public goods diversified supply system, we need to take the following measures:①the establishment of third sector organizations to participate in the incentive and restraint mechanisms for public goods.Strengthen government regulation, and improve organizational capacity.②establish a market incentive and restraint mechanisms of participation in public goods services.On the basis of previous research with respect to the induction and innovation:first,the introduction of the Analytic Hierarchy Process (AHP) or data envelopment analysis (DEA) to evaluate the efficiency of the supply of public goods.Second, comprehensive exposition of the macro-and micro-functions of government, private and third sector need to play in the diversification of supply of public goods, ideas and measures to optimize the diversification of the supply system for China’s quasi-public goods.last,combined with the previous analysis and practical needs, summed up the merits of the standard system of evaluation of public goods model.However.due to the author’s own theoretical level is limited,there are many disadvantages,such as the government is not comprehensive enough role in the diversification of supply of the quasi-public goods,there is Preliminary analysis for non-profit organizations of the Third Sector in China, etc.

我國準公共品多元化供給研究

中文摘要4-8Abstract8-12導論16-251. 準公共品供給的基礎理論分析25-67    1.1 準公共品的特征及供給均衡分析25-36        1.1.1 對準公共品特征的認識25-30        1.1.2 關于準公共品供給的均衡分析30-36    1.2 準公共品市場供給的理論基礎及市場失靈36-49        1.2.1 市場供給理論——林達爾自愿合作效率解36-40        1.2.2 市場供給理論——科斯的產權分析40-41        1.2.3 市場失靈-準公共產品供給中的“搭便車”和囚徒困境導致的“公共悲劇”41-45        1.2.4 自然壟斷性準公共產品引起的定價難題45-46        1.2.5 普遍服務和社會公平的喪失46-49    1.3 準公共品政府供給的理論基礎及政府困境49-57        1.3.1 早期的國家起源論49-51        1.3.2 福利經濟學的分析51-52        1.3.3 凱恩斯主義的觀點52-53        1.3.4 公共產品政府供給的困境53-57    1.4 準公共品非盈利組織供給的理論基礎及缺陷57-67        1.4.1 準公共品第三部門供給的理論基礎59-64        1.4.2 第三部門供給準公共品存在的困境64-672. 準公共品多元供給模式的一般理論分析67-98    2.1 多元供給模式及對應的范圍67-73        2.1.1 基于集團供給理論自愿均衡解的分析67-69        2.1.2 基于多元供給中的交易費用理論69-73    2.2 準公共品多元供給模式選擇73-79        2.2.1 對準公共品多元供給中利益主體的概念界定73-74        2.2.2 準公共品多元供給的制度安排74-79    2.3 不同模式間的選擇標準79-86        2.3.1 薩瓦斯的判斷模式79-83        2.3.2 公共選擇理論的判斷模式83-86        2.3.3 結論86    2.4 對不同供給模式的效率評價86-98        2.4.1 基于層次分析法對多元供給準公共品的效率評價87        2.4.2 層級分析法的模型與具體步驟87-91        2.4.3 案例分析91-94        2.4.4 基于數(shù)據(jù)包絡分析法(DEA)對準公共品供給的效率評價94-983. 西方國家的改革實踐及啟示98-116    3.1 西方國家多元化供給改革實踐98-112        3.1.1 英國的公共服務改革98-104        3.1.2 美國104-108        3.1.3 新西蘭108-110        3.1.4 對各國改革實踐的評述110-112    3.2 西方國家多元供給實踐對我國的啟示112-1164. 我國準公共品多元化供給改革實踐116-134    4.1 我國準公共品多元化供給改革概況116-124        4.1.1 初步探索準公共品多元供給方式116-123        4.1.2 我國政府部門改革123-124    4.2 對我國準公共品多元化供給改革現(xiàn)狀的評析124-127    4.3 對我國鐵路、道路等準公共品供給的實證分析127-1345. 優(yōu)化我國準公共品多元供給體系的制度條件134-148    5.1 我國準公共品市場有效供給的制度條件134-136    5.2 我國政府在準公共品多元供給機制中的功能定位136-141        5.2.1 主導性地位的把握136-138        5.2.2 提供制度平臺138-141    5.3 我國準公共品第三部門有效供給的制度條件141-148        5.3.1 公益性社會環(huán)境的培養(yǎng)141-143        5.3.2 第三部門組織自身的健康發(fā)展143-1486. 優(yōu)化我國多元化供給體系的制度設計與選擇148-164    6.1 優(yōu)化我國多元化供給制度的指導原則148-149    6.2 優(yōu)化(政府、私人和非盈利組織)多元化供給的制度框架149-152    6.3 優(yōu)化(政府、私人和非盈利組織)多主體供給的制度內容152-164        6.3.1 建立市場參與準公共品(公共服務)供給的激勵約束機制152-155        6.3.2 建立第三部門組織參與準公共品(公共服務)供給的激勵約束機制155-160        6.3.3 深化經濟政治體制改革,進一步明確政府職能160-164參考文獻164-171后記171-172致謝172-173在讀期間科研成果目錄173

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