本文選題：民族自治縣政府 + 基本公共服務(wù)��； 參考：《云南大學(xué)》2015年博士論文

【摘要】：進(jìn)入21世紀(jì)以來,我國在經(jīng)濟(jì)建設(shè)取得極大成就的同時,一系列社會矛盾和社會問題逐漸顯現(xiàn)出來,其中包括公眾日益增長的公共服務(wù)需求得不到滿足,尤其是一些具有兜底作用的基本公共服務(wù)的短缺,引發(fā)了諸多社會問題,給社會的和諧發(fā)展帶來了嚴(yán)重影響。在這種情況下,中央政府逐漸加大對公共服務(wù)的投入,著力于建立健全國家基本公共服務(wù)體系。 在國家基本公共服務(wù)供給體系中,民族自治縣政府作為民族自治地方的行政機(jī)關(guān),在民族地區(qū)的基本公共服務(wù)供給中扮演著重要角色。按照中央及省級政府制定的基本公共服務(wù)標(biāo)準(zhǔn)和政策法規(guī),自治縣政府具體負(fù)責(zé)組織本地基本公共服務(wù)供給以及對基本公共服務(wù)機(jī)構(gòu)的監(jiān)督；實際上,自治縣政府接受了上級政府的授權(quán),在上級政府的監(jiān)督下在本地組織基本公共服務(wù)的供給,這意味著在我國自上而下的政府層級管理體制之下,上級政府和自治縣政府在國家基本公共服務(wù)供給領(lǐng)域同時存在委托代理關(guān)系。 但是,作為委托人的上級政府和作為代理人的自治縣政府在利益結(jié)構(gòu)方面并不一定完全一致,而且雙方掌握的信息也不完全對稱,因此,在國家基本公共服務(wù)供給領(lǐng)域,仍然存在委托代理問題,即自治縣政府有可能背離上級政府的要求,不能很好地實現(xiàn)上級政府在民族地區(qū)的相關(guān)政策目標(biāo)。因此,本文嘗試從分析上級政府與自治縣政府在國家基本公共服務(wù)供給中的關(guān)系入手,結(jié)合實地研究的資料,分析自治縣政府提供基本公共服務(wù)所存在的問題。本文認(rèn)為,在目前的關(guān)系模式下,要確保自治縣政府完成上級政府委托下來的基本公共服務(wù)職責(zé),有兩個主要條件必須具備,條件之一是自治縣政府要有能力尤其是有相匹配的的財力能夠提供相應(yīng)的基本公共服務(wù)；條件之二是在有相應(yīng)財力保障的前提下,上級政府對自治縣政府提供基本公共服務(wù)進(jìn)行有效的監(jiān)督。因此,本文在分析自治縣政府提供基本公共服務(wù)的過程中,主要討論當(dāng)前國家對自治縣政府基本公共服務(wù)的財力保障機(jī)制,以及上級政府對自治縣政府基本公共服務(wù)監(jiān)督機(jī)制的有效性,并在此基礎(chǔ)上,進(jìn)一步探索改善自治縣政府基本公共服務(wù)的思路。 通過對我國財稅體制、政府層級關(guān)系、政府間基本公共服務(wù)職責(zé)劃分,以及基本公共服務(wù)監(jiān)督、考核體系的分析,本文認(rèn)為在目前的財稅體制下,自治縣政府財權(quán)有限,僅靠自身財力普遍不能支撐其所承擔(dān)的基本公共服務(wù)職責(zé),必須依靠上級政府有力的財政支持。在監(jiān)督機(jī)制方面,除了少部分基本公共服務(wù)項目建立起了比較規(guī)范的考核體系,成為上級政府監(jiān)督自治縣政府基本公共服務(wù)的主要渠道以外,絕大部分基本公共服務(wù)項目仍然沒有建立起專門的監(jiān)督體系和考核體系,上級政府對自治縣政府基本公共服務(wù)供給缺乏有效的監(jiān)督手段。財力保障和監(jiān)督機(jī)制方面的問題導(dǎo)致自治縣政府提供基本公共服務(wù)的能力和效果均受到制約,實際上影響了上級政府在民族地區(qū)推進(jìn)國家基本公共服務(wù)的目標(biāo)實現(xiàn)。本文在云南省L縣對該縣基本公共服務(wù)的實地研究也證實了上述觀點。根據(jù)調(diào)研,本文發(fā)現(xiàn),民族自治縣政府在按照上級政策提供基本公共服務(wù)的過程中,最突出的仍然是資金問題和監(jiān)督問題。資金方面,自治縣政府提供基本公共服務(wù)已經(jīng)高度依賴于上級政府的財政轉(zhuǎn)移支付,如果保持目前財政體制不變,財權(quán)仍然向上集中,可以預(yù)期的是自治縣政府不可能成為基本公共服務(wù)供給的責(zé)任主體。監(jiān)督方面,自治縣政府成了上級政府的代理人,對本地基本公共服務(wù)供給全面負(fù)責(zé),自身要監(jiān)督眾多的基本公共服務(wù)機(jī)構(gòu)；但是上級政府對自治縣政府基本公共服務(wù)卻尚未建立完善的專門的監(jiān)督體系,僅依靠傳統(tǒng)的自上而下的層級監(jiān)督顯得力不從心。 從進(jìn)一步改善民族地區(qū)基本公共服務(wù),實現(xiàn)上級政府在民族地區(qū)的基本公共服務(wù)政策目標(biāo)出發(fā),本文認(rèn)為目前最實際的是在保持上級政府和自治縣政府關(guān)系框架不變的前提下,盡量確保自治縣政府提供國家基本公共服務(wù)的資源條件,并對自治縣政府進(jìn)行有效約束,以確保上級政府基本公共服務(wù)目標(biāo)的實現(xiàn)。具體途徑一是建立完善自治縣政府基本公共服務(wù)財力保障機(jī)制,二是從國家層面建立國家基本公共服務(wù)考核體系,完善對自治縣政府提供基本公共服務(wù)的監(jiān)督機(jī)制。 同時,本文對自治縣政府在國家基本公共服務(wù)供給中的角色本身也進(jìn)行了討論。在目前的授權(quán)體制之下,上級政府與自治縣政府在國家基本公共服務(wù)分工方面存在委托代理因素,但是上級政府與自治縣政府總體上仍然是一種自上而下的命令-服從關(guān)系；自治縣政府是上級政府的代理人,同時也是上級政策的執(zhí)行者,這兩種角色使得自治縣政府基本公共服務(wù)除了委托代理問題之外,還存在著上述兩種角色并存產(chǎn)生的問題。首先,雖然上級政府與自治縣政府在國家基本公共服務(wù)供給中存在委托代理因素,但是二者總體上自上而下的命令-服從關(guān)系使得自治縣政府在權(quán)、責(zé)、利配置方面處于劣勢,從而更容易出現(xiàn)自治縣政府權(quán)力配置不足的狀況,比如財權(quán)、決策權(quán)與職責(zé)不匹配,這在一定程度上會影響委托效率,即基本公共服務(wù)供給效率。此外,授權(quán)體制之下,中央政府是權(quán)力的核心和合法性的源頭,自治縣政府所有的權(quán)力都來自于上級政府授予,實際上它自身沒有固有權(quán)力,在沒有固有權(quán)力的情況下,自治縣政府自身也就無法成為獨立的責(zé)任主體,所有的責(zé)任最終仍然會層層向上累積,成為中央政府的責(zé)任。本文認(rèn)為,如果追求一種更有效率的基本公共服務(wù)供給體系,讓自治縣政府也充分發(fā)揮積極性,主動承擔(dān)自身責(zé)任,可以對自治縣政府在國家基本公共服務(wù)供給中的角色進(jìn)行調(diào)整。本文提出一種挑戰(zhàn)性的思路是在國家基本公共服務(wù)供給領(lǐng)域,逐步突破現(xiàn)行的政府層級關(guān)系模式,打破上級政府與自治縣政府之間的層級命令關(guān)系,向更為均衡的協(xié)作關(guān)系轉(zhuǎn)變,實現(xiàn)自治縣政府與其他層級政府在基本公共服務(wù)領(lǐng)域的協(xié)商合作,一方面提高基本公共服務(wù)供給效率,另一方面充分發(fā)揮自治縣政府的積極性和主動性,使之成為民族地區(qū)基本公共服務(wù)供給的責(zé)任主體。
[Abstract]:Since twenty-first Century, China has made great achievements in economic construction, while a series of social and social problems have gradually emerged, including the increasing demand for public service of the public, especially the shortage of basic public services which have the role of the bottom of the pocket, which has caused many social problems, to the society and to the society. In this case, the central government has gradually increased its investment in public services and focused on the establishment and improvement of the national basic public service system.
In the state basic public service supply system, the government of national autonomous county plays an important role in the supply of basic public services in ethnic areas. According to the basic public service standards and policies and regulations formulated by the central and provincial governments, the autonomous county government is in charge of organizing the local basic public. Service supply and supervision of basic public service institutions; in fact, the autonomous county government has accepted the authority of the higher government, and organizes the supply of basic public services locally under the supervision of the superior government, which means that under the top-down government hierarchy management system, the higher government and the autonomous county government are in the national basic public. There is a principal-agent relationship in the supply of services.
However, as the superior government of the principal and the government of the Autonomous County as the agent, the interest structure is not completely consistent, and the information of the two sides is not completely symmetrical. Therefore, there is still a principal-agent problem in the field of basic public service supply in the state, that is, the government of Autonomous County may deviate from the requirements of the higher government. Therefore, this paper tries to analyze the relationship between the higher government and the government of the Autonomous County in the state basic public service supply, and analyze the problems existing in the government's provision of basic public services by the field research. Under the relationship model, it is necessary to ensure that the autonomous county government has completed the basic public service duties entrusted by the superior government. There are two main conditions that the government must have. One of the conditions is that the government of the Autonomous County should be able to provide the corresponding basic public services, especially the financial resources that are matched, and the two of the conditions is the premise of the corresponding financial security. In the process of analyzing the basic public service provided by the government of the Autonomous County, this paper mainly discusses the financial security mechanism of the basic public service to the government of the Autonomous County, as well as the supervision machine of the basic public service of the government of the upper level government to the government of the autonomous County. On the basis of the effectiveness of the system, we further explore ways to improve the basic public services of the autonomous county government.
Through the financial and tax system, the government level relationship, the division of the basic public service responsibilities between the governments, the basic public service supervision and the analysis of the assessment system, this paper believes that under the current financial and tax system, the government has limited financial power and can not support its basic public service responsibilities by its own financial resources. In the supervision mechanism, in addition to the establishment of a relatively small number of basic public service projects, a relatively standardized assessment system has been established, and the majority of the basic public service projects still have not established a special supervision system and assessment, as well as the main channels for the government to supervise the basic public service of the autonomous county government. The government of higher authorities lack effective supervision means for the supply of basic public service in Autonomous County. Financial security and supervision mechanism have caused the government's ability and effect to provide basic public services. In fact, it affects the goal of the higher government in promoting the national basic public service in ethnic areas. In this paper, the field research on basic public service in L County of Yunnan province has also confirmed the above views. According to the investigation, it is found that the most prominent of the government in the process of providing basic public service according to the higher level policy is still the problem of capital and supervision. It has been highly dependent on the financial transfer payment of the superior government. If the current financial system remains unchanged, financial rights are still centralized. It is expected that the government of the Autonomous County can not be the main body of responsibility for the supply of basic public services. It is fully responsible for the supervision of a large number of basic public service institutions, but the higher government has not established a perfect and specialized supervision system for the basic public services of the Autonomous County Government, and it is hard to rely on the traditional top-down level supervision only.
In order to further improve the basic public service in ethnic areas and realize the goal of the basic public service policy of the higher government in ethnic areas, this paper holds that the most practical thing is to ensure that the government of the Autonomous County provides the resource conditions for the basic public service of the state, on the premise of keeping the framework of the relationship between the higher government and the Autonomous County Government unchanged. And the government of the Autonomous County should be effectively restrained in order to ensure the realization of the basic public service targets of the higher government. The first is to establish and perfect the financial guarantee mechanism of the basic public service of the Autonomous County Government, the two is to establish the national basic public service assessment system from the state level, and to perfect the supervision of the government of the Autonomous County to provide basic public service. Mechanism.
At the same time, this paper also discusses the role of the government of Autonomous County in the supply of basic public service in the state itself. Under the current authorization system, there is a principal-agent factor in the division of labor division between the higher government and the Autonomous County Government in the state's basic public service, but the higher government and the autonomous county government are still a kind of top-down in general. The autonomous county government is the agent of the superior government and the executor of the superior policy. These two roles make the basic public service of the Autonomous County in addition to the principal-agent problem, and there are also the problems of the coexistence of the above two roles. First, the higher government and the autonomous county government are in the national base. There is a principal-agent factor in the supply of the public service, but the two ones in general on the top-down order - obedience relation make the autonomous county government at a disadvantage in the aspects of power, responsibility and benefit, so it is easier to appear the state of the government's lack of power in the Autonomous County, such as financial power, the mismatch between the decision-making power and the responsibility, which will affect to a certain extent. In addition, under the authorization system, the central government is the core of power and the source of legitimacy. All the power of the autonomous county government is granted by the superior government. In fact, it has no inherent power. In the absence of inherent power, the autonomous county government itself can not become independent. It is the responsibility of the central government to build up the responsibility subject, which will eventually accumulate and become the responsibility of the central government. In this article, if the government is pursuing a more efficient and basic public service supply system, the autonomous county government will give full play to its enthusiasm and take the initiative to bear its own responsibility, which can supply the government of the Autonomous County to the basic public service in the state. In this paper, a challenging idea is to break through the current government level relationship model in the state basic public service supply, break the hierarchical command relationship between the higher government and the Autonomous County Government, change the more balanced cooperation relationship, and realize the government of the Autonomous County and other levels of government in the base. On the one hand, the consultation and cooperation in the field of public service will improve the efficiency of the supply of basic public services, on the other hand, give full play to the initiative and initiative of the Autonomous County Government, and make it the main body of responsibility for the supply of basic public services in Ethnic Areas.
【學(xué)位授予單位】：云南大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2015
【分類號】：D630

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