农村公共物品多边治理机制研究——基于嵌套博弈的分析

解决农村公共物品效率问题应以多边治理思想代替简单的供给思想。农村公共物品治理不是一个孤立的博弈,而是嵌套在社会关系博弈之中。改变农村基层权力结构,建立以农户需求为导向、自下而上的公共物品决策体系,将形成有利于多边治理的博弈结构。在这种嵌套博弈中,农户、企业及非盈利组织都有参与农村公共物品治理的积极性,他们与村委会及各级政府共同建立起分工协调的多边治理机制,从而提高农村公共物品的治理效率。     

Political trust as rational belief: Evidence from Chinese village elections

Democratic governance is believed to improve government responsiveness to citizens’ demand for public goods. In China, villagers’ committee elections represent a major progress in China’s development toward good governance. We develop a rational model to explain villagers’ participation. Utilizing a national survey of rural residents in 2005, this paper tests the insights of the model. Two findings are of interest to the students of voting and elections. First, there is disagreement over the causal relationship between political trust and voting. This paper offers a rational interpretation of political trust by emphasizing the informational aspect of the concept. Second, voting is generally theorized as a process of overcoming various costs. The prospect of benefits figures more prominently in Chinese village elections. Our findings highlight the pivotal role of township governments in China’s rural politics and reveal the inner dilemma of democratization in China.     

城乡税制统一:基于公共财政的分析视角

城乡分割的二元税制加重了农民负担,降低了我国农产品的国际竞争力,也有悖于市场经济的公平原则;在农村公共产品供给上,政府存在着职能缺位,这些都不利于建立城乡统一的公共财政。当前统一城乡税制面临着财政资金压力、税收征管能力、二元经济结构等方面因素的限制。统一城乡税制需要逐步完善城乡税收体系、加大政府对农村公共品投入以及深化基层人事制度改革和促进农业产业化等方面的配套改革。     

大城市边缘区城乡多维空间冲突特征与形成机制——以韶关市转溪村为例

大城市边缘区作为城乡功能过渡与要素交汇区,经济社会持续演变,空间冲突日趋激烈,生态文明与城乡共同繁荣语境下加强空间冲突与协调研究具有重要意义。选取典型案例韶关市转溪村,主要采用2008与2018年土地利用数据、2018年问卷调研数据和环境抽样检测数据,从用地空间、经济社会与生态环境等维度,解析大城市边缘区城乡空间冲突特征及成因机制,提出城乡统筹与空间协调发展路径。研究表明:(1)研究区用地变化与冲突明显,城镇用地快速增长,侵占优质区位,农村用地空间明显缩减,生态位不断缩窄。2018年村域建设用地中城镇用地占比高达60.79%。(2)城乡经济差距与冲突显著,外来企业带动作用小,村庄经济发展滞后,城乡收入和公共服务差距大。转溪村人均收入仅为曲江区农村平均水平的50.94%,村民对公共服务满意度低。(3)城市工业等企业嵌入,导致不同程度的大气污染、噪声污染和水污染,61.37%的受访村民认为外来企业破坏环境或干扰生活。(4)城乡空间冲突是多维冲突的交织复合体,主要受城乡地域功能分工、乡村多元价值认知、空间组织与统筹治理、城乡协同发展制度供给等因素影响。(5)应基于生态文明进行功能协调,促进城乡等值发展。基于城乡统筹开展空间重构,优化三生空间治理。基于共同繁荣建立协同机制,保障乡村发展权益。     

THE GOVERNANCE CHALLENGES OF SOCIAL ENTERPRISES: EVIDENCE FROM A UK EMPIRICAL STUDY

ABSTRACT:  The social enterprise sector in the UK is going through a period of rapid growth, and is being seen by government as another important vehicle for delivering public services. As a result the issue of public trust in social enterprise is of growing importance. While there is a growing literature on the governance of voluntary and non-profit organizations, with some exceptions (e.g. co-operatives) there has been little research on the governance challenges and support needs of social enterprises. The research reported here aimed to help fill that gap. Based on interviews and focus groups with governance advisers, board members and chief executives it explores the typical governance challenges faced by social enterprises. Based on the research the paper develops a new, empirically-grounded typology of social enterprises based on their origins and development path, and presents findings about some of the governance challenges that are common across the sector and some that are more distinctive to the different types of social enterprise.     

跨国并购中的知识治理模式选择：双元创新视角

就创新资源寻求型跨国并购而言,知识治理在激励目标方知识员工中发挥重要作用,促成其自愿留任、服务于企业创新战略,但理论研究尚缺乏对如何进行知识治理的解释。基于知识治理研究框架,选择4个具有代表性的成功案例,对跨国并购中双元创新和知识治理过程进行总结、提炼。研究发现,双元创新方式影响知识治理模式选择,企业在并购整合中采取开发性和探索性创新并重以及侧重二者其一的3种双元创新方式,并形成对应的混合型、威权型和合作型3种知识治理模式。双元创新方式对知识治理模式的影响路径为双元创新方式决定知识治理目标,而治理目标决定治理机制组合;影响机理为正式、非正式治理机制分别与开发性和探索性创新特征更为匹配,因此并重或侧重型双元创新须选择与之对应的机制组合。     

Elections and economic policy in developing countries

This paper explores the impact of elections on economic policies and governance in developing countries. We distinguish between a structural effect, which increases accountability, and a cyclical effect which may be disruptive. Since the effects are offsetting, neither can be analysed in isolation. We implement an econometric analysis on more than 80 developing countries using positive changes in the Country Policy and Institutional Assessment of the World Bank and the International Country Risk Guide as signalling improvements in economic policy and governance. We find that both structural and cyclical effects matter. The cyclical effect suggests that mid-term is the best moment for policy change. We investigate the structural effect by comparing different frequencies of elections. Except at the extremes, a higher frequency of elections improves both policy and governance net of any cyclical effect. The important exception to this benign net effect is if the electoral process is badly conducted. Badly conducted elections have no structural efficacy for policy improvement. A reasonable interpretation of our results is that honest elections increase accountability and thereby discipline governments to improve economic policy and governance, but that if candidates can win by fraud this chain is broken.
— Lisa Chauvet and Paul Collier     

村民自治、农村税费改革与农村公共投资

促进社会主义新农村建设的核心内容中包括农村民主建设和改善农村公共服务。本文通过对具有全国代表性调查数据的分析，通过研究村主任直接选举和农村税费改革对公共投资的影响后发现，村主任直接选举可以有效促进对农村公共投资的增加，但农村税费改革则在减轻了农民负担的同时对农村公共投资产生短期负面影响。研究建议上级政府应该进一步加大对农村的公共投资力度，同时进一步加强和完善农村村民自治和民主管理。     

The Effects of Fiscal Consolidation and Welfare Composition of Spending on Electoral Outcomes: Evidence from US Gubernatorial Elections between 1978 and 2006

This study attempts to make a contribution to the field of spending aspects of fiscal policy and their impacts on electoral outcome. Due to varying degrees of financial responsibilities and commitments to provide public goods and services, US state governments serve as a perfectly natural laboratory to test the electoral significance of fiscal policies. We adopt a probit model, with several specifications, to determine significant impacts of fiscal consolidation and increases in welfare spending on US gubernatorial elections from 1978 to 2006. The analyses show that voters are more concerned about the increase in debt than current budget deficits. An increase in welfare spending is negatively associated with reelection. Moreover, the impact of taxation on gubernatorial elections turns out to be insignificant. In particular, findings suggest that the political business cycle model does not hold true in US gubernatorial elections. Expansionary fiscal policy right before the election may not have crucial impacts on the chances of an incumbent winning the election.     

论全面深化财税体制改革背景下事权和支出责任分离

原有分税制改革受各种因素制约,制度框架继承了各级政府间原有的支出事项,与事权的关联考虑不多,缺乏明晰的事权和支出责任规范划分的政治机制,同时政府间财政收入的分配格局并未伴随财政职能的下放而发生根本性变革,产生了政府间事权、支出责任、财权、财力不相适应的矛盾,引致事权重叠交叉、事权与支出责任分离、事权与财权不匹配、事权与财力不确定等问题,带来制度激励偏离公共性和治理失效的风险,亟待全面深化财税体制改革,建立事权和支出责任相适应的制度,以更好发挥中央和地方两个积极性,促进政府治理整体效能最大化。     

中央环保督察与企业过度金融化： 资本逐利抑或环境治理

中央环保督察是近年来我国环保领域采取的重要改革措施,不仅有利于提高环境治理效力,而且也会对微观企业的资源配置决策产生影响。基于2012—2020年我国沪深A股上市工业企业数据,采用多期双重差分法实证检验中央环保督察对企业过度金融化的影响。研究发现,中央环保督察对企业过度金融化具有抑制作用。影响机制检验发现,中央环保督察通过提高企业绿色投资进而会抑制企业过度金融化。异质性分析表明,中央环保督察对企业过度金融化的抑制作用在融资约束程度高、高管无公职经历的企业以及处在公众环境关注度较高地区的企业更强。经济后果检验表明,中央环保督察通过抑制企业过度金融化提升了企业绩效。研究结论探析了宏观环境政策对微观企业资源配置决策的影响及作用机理,对实现环境治理和经济发展的双赢具有一定的现实意义。     

社会资本、民主发展与政府治理——对69个国家的比较研究

社会资本被认为是社会的润滑剂和善治的社会基础。很多文献认为,高水平的社会资本能够提高政府的治理绩效。但是目前国内外的研究均忽略了社会资本发挥作用的制度环境。本文通过对全球69个国家的实证数据进行比较分析后发现,社会资本能否对政府治理产生影响,依赖于一定的制度环境。在民主制度建设不完善、民主发展水平较低的情况下,社会资本对政府治理并不能产生显著的影响;只有在民主发展水平比较高、民主制度比较健全的情况下,社会资本才能显著地促进政府治理绩效的提高。而且,民主制度建设得越完善、越充分,社会资本对治理的正面促进作用就越大。     

THE FUTURE OF PUBLIC ENTERPRISES: PERSPECTIVES FROM THE CANADIAN EXPERIENCE

ABSTRACT: Public enterprises have been an integral part of the involvement of the state in the economy for most of the 20th century. After 1980, privatization has been the dominant trend until the 2008–2010 economic crisis when new nationalizations happened. Ownership is only an element of a complex system of relations between a public enterprise and its institutional environment where the role of the board of directors, the mechanisms of coordination, the role of senior civil servants, etc. come to play. Using the Canadian experience with public enterprises, we suggest in this article that public enterprises could be interesting economic policy instruments in the future as in the past if such an economic policy exists. In other words, privatization did not solve the control issue over many large enterprises. Improved corporate governance should be considered. This article aims at improving the understanding of how by focusing on various aspects of the governance of public enterprises on their potential use and work. In Canada, public enterprises have been used to face the recent global crisis but they also come from a long tradition of intervention in the economy, a tradition closer to the European than the American. After reviewing recent developments in their governance, paths for future research are proposed.     

从经济学及博弈角度分析环境污染

环境资源是一种公共资源,是典型的公共财产,其特点表现为产权规定不明晰、外部性及资源配置的市场失灵,这些特性导致环境资源的过渡使用、环境污染、生态破坏。从博弈角度分析:环境污染事实上是囚徒困境;污染治理的方法是大型企业采取内部治理,小型企业通过税收政府集中治理。     

Existence of equilibrium and stratification in local and hierarchical Tiebout economies with property taxes and voting

Summary. This paper present the first fully closed general equilibrium model of hierarchical and local public goods economies with the following features: (i) multiple agent types who are endowed with both some amount of private good (income) and a house, who are mobile between houses and jurisdictions, and who vote in local and national elections; (ii) multiple communities that finance a local public good through property taxes which are set in accordance with absolute majority rule; and (iii) a national government that produces a national public good financed through an income tax whose level is determined through majority rule voting. In contrast to previous models, no overly restrictive assumptions on preferences and technologies are required to prove the existence of an equilibrium in the presence of property taxation and voting. Thus, the existence of an equilibrium is proved without any of the major restrictions used in the past, and sufficient conditons for stratification of agents into communities based on their public good preferences and their wealth levels are found. This model lays the groundwork for a positive applied analysis of local public finance and intergovernmental relations. It furthermore builds the foundation for the first parameterized computable general equilibrium model of local public goods and fiscal federalism. Received: February 1, 1996; revised version August 9, 1996     

基于累积前景理论的农村环境治理决策行为演化博弈研究

从政府的角度出发,以排污企业作为研究对象,合理改进累计前景理论的价值函数,建立村民参与监督下政府和排污企业的农村环境治理决策行为演化博弈模型,进而得到使排污企业积极治理农村环境的约束条件。在综合考虑双方前景价值感知的基础上引入环境治理补贴,构建环境补贴对排污企业价值感知与环境治理决策行为的影响模型,最后运用系统动力学分析村民参与下政府和排污企业环境治理前景价值感知与治理决策行为。解决了传统博弈论完全理性假设和均衡分析方法的局限性,考虑政府和排污企业前景价值感知与环境治理补贴下积极参与农村环境治理的行为特征与规律,以及村民参与监督对政府和排污企业环境治理决策行为的影响,为构建我国农村环境多主体治理机制提供决策参考。     

农村公共物品供给机制的现状与对策——基于新公共管理的理论分析

基于新公共管理理论的观点,要求引进第三部门等新的组织要素,建立由政府、企业、社会组成的多元化的农村公共物品供给主体结构,要求综合运用国家机制与政府组织、市场机制与营利组织、社会机构与公共组织三套工具,建立起适应新公共管理理论的农村公共物品的需求表达机制、供给决策机制和供给融资机制。     

改革乡镇财政体制是减轻农民负担的制度保证

税费改革是当前减轻农民负担的重要举措,而建立规范的乡镇财政体制是从根本上解决农民负担过重的重要举策。长期以来,乡镇政府事权与财权严重不对称是导致农民负担过重的根本原因,为此必须深化乡镇财政体制改革,正确界定政府的职能范围,完善乡镇公共财政收入体系,建立规范的上级财政对乡镇财政的转移支付制度。     

基于公共物品理论的农村水环境治理机制研究

在广大农村地区,落后的水环境治理与日益膨胀的污染负荷之间的矛盾使水环境污染问题日益严峻,并且呈现出迅速恶化的趋势。从我国农村水环境污染的现状出发,基于公共物品理论深入分析当前农村水环境治理中存在的治理主体缺失、治理资金投入不足、环保意识薄弱、二元化的环境治理政策等一系列问题,指出市场失灵和政府缺陷是导致农村水环境治理不足的最重要原因,并依此来构建我国农村水环境治理的机制。     

我国农村金融市场的需求状况分析——兼论小额信贷

我国关于社会主义新农村建设的工作不仅是有步骤、有计划、有层次的,而且也是以广大农民根本利益为出发点的,更为重要的是,随着建设小康社会和构建和谐社会的深入开展,党中央的举措体现了"立党为公、执政为民"的思想,充分反应了以人为本、以农民的切实需要为己任的执政理念。文章主要介绍了我国农村金融市场的需求状况,包括农村个体和乡镇企业对农村金融平台的需求,并且提出解决农村金融市场旺盛需求的一种途径就是鼓励农村小额信贷的开展,并探讨了政府对农村小额信贷的支持。