内容简介

　　本书以个人理性与集体理性必然存在冲突的切入视角，试图分析属于第三产业中的公共服务与准公共服务的体制和政策选择问题。全书从经济学分析方法如何引入公共经济领域入手，以体制和政策是引导个人理性集合为集体理性的桥梁和途径的观点，对公共服务、准公共服务、城市公用事业、地方公共服务、社区公共服务和国际经济关系中的秩序和规则确立等进行体制分析和体制选择，最后从公共政策方面提出自己的一些政策建议和体制安排思路。

　　　　　　(作者是经济学博士，华南师范大学经管学院副教授、副院长
　　　　　　　　　　中山大学中国第三产业研究中心特约研究员)

博士论文提要

体制分析与体制选择
--对中国第三产业中的公共服务与准公共服务研究

博士生：江　波　副教授
指导教师：李江帆 教授
博士论文通过时间：2001.12

　　相比较私人经济活动而言，公共经济是一个较为特殊的领域，存在许多和以往我们从标准经济学知识中所不同的利益关系和运行体制。同时，公共经济生活又是我们这个现代社会须臾不可缺少，并且随着经济发展和经济体制市场化程度不断深入，显得日益重要的经济生活的一部分。
西方国家的工业化和市场化的程度都在中国之上，当前社会经济服务化趋势也十分显著，因此对这个问题的研究的理论准备工作中，我们常常是先从西方的学者那里寻找已经做出的研究成果，依托这些源自市场经济体制下的经济发达国家先行的理论和体制选择经验，去探索中国在经济发展中、在体制变迁中公共经济生活，尤其是公共服务的体制效率、体制变革和体制的重新选择方面问题，试图用经济学的基本分析方法，对这个相对特殊的经济领域的体制问题做一些经济学分析。

　　本文用个人理性与集体理性的冲突为切入点，目的是想首先理清公共经济领域与私人经济的基本差异所在，并依据经济学的一般分析理念，用理性分析贯彻公共服务的体制分析，从而使经济学方法可以在这个一般认为不适合作经济学分析的领域找到落脚点。公共经济生活尽管和经济学通常研究的私人经济领域有相当大的不同，效用非排他性和取得方式的非竞争性，使以往人们在利用市场经济体制分配资源时，所惯用的价格机制、供求机制的作用都发生了一些变化，甚至出现机制失灵。但经济学家和对社会经济体制的选择的人们，并没有因为市场机制无法直接进入公共服务，便放弃对市场这个曾经在私人经济领域非常有效的资源分配方式，而是对其加以各种改造，特别是同政府这个行政性的资源分配的公共主体行为相结合，组合出许多新的体制安排的方案来。作如此精心的体制研究和资源配置机制的变化的目的，和人们在私人经济生活中的行为理性一样，提高经济资源的利用效率，有所不同的只是考虑问题的范围扩大了，同时选择的主体不再是个人，而是一定范围内的公众或他们的代表。选择的理念也必须是依据了一定的程序，由公共选择来做出的。

　　文章的主体部分为7章，三个板块。1、2、3章为第一个板块，为纯公共服务的体制研究；4、5、6章为第二个板块，为准公共服务的体制研究；7章为第三个板块，为地方公共服务的体制研究。

　　纯公共服务体制研究，是按照从一般理论到中国的纯公共服务体制瓶颈分析的顺序展开的。1章为本板块的纯公共服务体制研究，同时也为整个论文对公共服务的体制问题探索，提供理论思路和分析方法上的准备。接着2、3章对两类纯公共服务：强制消费的制度性公共服务和节约成本考虑的公共服务作体制上的经济学分析。中国在市场运行规则、交易秩序维护和环境保护方面存在公共服务稀缺，更在公共行政管理、国家安全、基础性科教卫生服务方面亟待体制创新，一个有效率的体制不仅是中国纯公共服务按公共需求来供给的保障，还是改善这个领域资源配置效率的重要途径。

　　准公共服务的体制研究，也是按照从一般理论到中国的两类准公共服务体制变革的分析顺序展开。4章将准公共服务产业体制的理论作一个条理化的思路清理，为后面中国问题的现实分析提供理论分析的思想资源和体制安排的国际通用做法。5章则对三个准公共服务产业的体制变迁的矛盾冲突、体制创新面临的障碍进行了分析；6章对城市公用事业----这个十分敏感而又占用大量地方公共财政支出的领域，用体制上的放松管制来提高资源配置效率的现实途径作了一定程度的探讨。这一板块的一个体制变迁的主流趋势是适当引入竞争机制，放松管制，这或许说明中国的准公共服务产业在体制选择上和世界差异也逐渐缩小。

　　地方公共服务的体制研究，虽然在文章的体例上是单独一章，但因为理论思想资源和分析方法和前面的部分是一致的，在现实公共经济生活中的重要性也一点不低，约占预算内财政支出的60-70%是属于地方公共服务成本支出，说明地方公共服务是人们消费公共服务的重要方面。这和平时人们一讲到公共服务，总是联想起中央政府的服务的认识多少有一些差异，也正反映了中国在公共服务的理性认识上还存在不少盲点，需要我们在这方面的研究提供知识进展。
文章通过以上结构的展开，对已有的公共经济理论和中国公共服务与准公共服务体制作了一定程度的分析和论述，由此形成了以下学术观点和有关认识：

　　第一，一种集体的理性既源于社会中的每一个成员的个人理性，又不是个人理性的自然集成。个人理性所表现出来的个人利益最大化行为倾向，不会在没有外力引导或体制约束下，自动集合成在公共领域的公共利益最大化理性。所以，体制的设定就显得非常重要，它是供给集体理性的约束条件，从而也是公共经济生活能够有序运行，资源在这个领域也能寻求配置效率的改善的保障和途径。

　　第二，中国不仅缺少一些公共服务产品，像市场秩序的维护服务或基础性的科技、教育服务，更缺少的是一种能够有效供给这些服务的体制安排。而公共服务的有效体制稀缺的后面，还隐含着一个更基础性的思想资源的稀缺，没有一个适应现代市场经济体制的现代公共经济理念的广泛存在。所以，表面上看是稀缺服务产品，体制的问题是易于被有一定理性的人们发现的。但体制问题难以解决的根本所在，还是缺少形成有效体制的一系列条件和资源，而能够用公共选择这样一些现代经济学理念建立起来的思想认识资源是十分稀缺的。
第三，纯公共服务可以分为两类：强制消费的制度性公共服务和节约成本考虑的公共服务。虽然这样的分类不十分严谨，按经济学的成本分析来看，制度也是一种节约交易费用的体制安排。但我感觉到这样分类有助于理清纯公共服务的体制特性，说明为什么同样在公共服务的成本分摊时，有些公共服务易于出现逃避成本分摊的机会主义行为，有些（例如国防服务）又相对愿意分摊成本。这其中有个人理性与集体理性冲突的程度差异，一些对某些个人利益必须有所约束的公共服务（如市场交易秩序维护服务和环境保护服务），反映一部分个人理性与集体理性冲突程度较大，对这些个人不是节约成本，而是减少收益。像国防服务几乎对所有人都可以说是节约成本的体制安排。

　　第四，准公共服务因其自然垄断性而被政府管制，在中国越来越体现为被保护起来的一种体制低效率安排。无论在被称作准公共服务产业的交通运输、电信或非义务教育部门，还是在被称作公用事业的管道煤气、自来水和城市公共交通服务领域，放松管制，引入适当竞争的变体变迁，就是改善以往被体制安排不当的资源低效率的考虑。这自然是这些部门体制改革的应有之意，但更进一步我们还应看到，体制的渐变和准公共服务产业的成长有一定关系，中国准公共服务产业的逐步成长正是相应的体制变化的重要原因。基于这种认识，在中国加入WTO后的准公共服务产业开放程度也应与产业成长水平相适应。

　　第五，地方公共服务在很大程度上，表现为地方利益至上的倾向，有中国地方政府将地方利益置于全国利益之上的局部理性损害公共理性问题，中国目前的中央与地方关系有些无序状态的表现，也有中国从一个中央集权体制中演变过来，还未能在体制安排的实践上，更未能在理论认识的思想理念层面上，将地方公共事务看成是一个地域应有的利益看守的认识不足，对地方公共事务的公共选择权利关注不够，造成地方政府用非规范手段补偿利益损失的做法泛滥。

　　公共选择理念的本质意义是，一个非个人主体的事务或利益，应由这个事务或利益的边界限定的范围内公共表决。这里并不排除中央政府之外的非个人主体事务或利益适用公共选择的理念，需要排除的只是一个局部事务或利益的决策与利益追求，损害整体利益或其他区域性利益的行为，因为公共选择理念不否定帕累托最优境界的追求。因此为一个地域性公共事务的需求与供给考虑的地方公共服务体制，应在利益边界上和中央政府承担的公共服务服务有所划定，应该说，在不侵害全国性公共服务利益边界的前提下，对地方公共服务利益的看守和最大化追求，是符合现代经济学理念的。中国正在依据这个理念调整中央和地方在公共服务体制中的关系，并且在财税制度上已经迈出了关键性的一步，采用分税制。但行政上中央政府对地方政府的约束依然过度，地方政府在行政体制依然是中央政府的下级组织的体制，还不是很符合现代经济学的理念，并和市场经济的运行会发生冲突。中国在公共选择意识方面的缺乏，更在深层次上约束政府服务效率的提高。

　　第六，公共经济领域的资源占用不断增长，公共产品与服务的种类和覆盖范围不断扩大的趋势，正是人类合作行为的一种扩展的体现。这种合作是经济资源配置效率增进的重要途径，因合作的而引发的公共服务增长和因合作而产生对合作秩序的公共服务需求增长，使公共服务越来越成为一个重要的领域，需要我们对其中的资源配置体制给予更大程度的关注。除去因合作扩大而引起的流通领域的准公共服务或因人口增长引起的准公共服务增长外，相当多公共服务供给由于是一种人类合作秩序的规则，合作扩大，合作的规则也随之变化与扩展。从这个角度理解WTO组织，并理解因加入WTO后中国在规则性公共服务方面的变迁，是符合现代经济学理念的。

关键词：公共服务、准公共服务、体制分析、体制选择

　

Abstract

Focusing on the confliction between personal rationality and public rationality, this dissertation clarifies firstly the basic difference between public economical domain and private one. Then with the general economical analyzing tools we successfully analyze public service system based on rationality principal which is always thought as unsuitable for economics.

The dissertation is composed of seven chapters dealing with three major topics. The first part including chapter 1, chapter 2, and chapter3 is concerning with pure public service system; chapter 4, chapter 5 and chapter 6 belong to second part which investigate into quasi-public service system; the third part-chapter 7-has a research on local public service system.

To analyze the pure public service system, our methodology is beginning with general theory and then put forward step by step until the most concrete problem of Chinese institutional bottleneck in the providing of pure public services. In chapter 1 we give a basic analysis on pure public service system which set up the theoretical framework and methodology for further research in the other chapters of this part in the thesis. In chapter 2 and chapter 3 we investigate two types of pure public service systems respectively. They are peremptorily consumed institutional public services and cost-saving public services. In China, regulations controlling market running, maintaining transaction order and protecting of environment are the resources with scarcity. In addition, China is eager for institutional innovations on administration management, country security and foundational services of SES (Science, education and Sanitation). A efficient system is not only the guarantee for the supply of pure public services which are according to the public demands for those services, but also an important routine to improve the efficiency of the system in resources distribution.

We follow the same line to analyze the quasi-public services system in part two. In chapter 4 we outline the present theories on quasi-public service industries which provide us the framework for analyzing China's reality. The globally chosen institutional arrangements for providing of quasi-public services commented in this chapter also give the guideline for China's reform. Chapter 5 sees the analysis on the various conflictions and hinders in the process of institutional transformation and innovations. We explore the possibility to improve the resource-distribution efficiency with deregulations in civic utilities-a sensitive research area but occupied large portions of local public expenditure. In this aspect，the main trend for institutional transformation is to induce competition and deregulations properly. Therefore, in choosing suitable institutional arrangements for providing quasi-public services, China is not too much apart from the global trend.

We analyze the local public service system in chapter 7. In public economical reality, local public services are also very important. Sixty to seventy percent public expenditure in budget can be attributed to local public services expenditure. It shows that local public services are most important aspect for people consuming public services. This fact is contrasted with conventional wisdom that public services are mainly from central government. There are not few blind-points in people's understanding about public services in China which is exactly why we should do in this thesis to add knowledge on the subject.
Within the above structure, after reviewing systemically current theories on public economics and surveying China's incumbent public and quasi-public service systems we reach to the following viewpoints.

Firstly, collective rationality originates from individual rationality but is not merely the natural combination of every personality. The behavior principal of maximizing benefits resulted from individual rationality can not automatically lead to collective rationality of maximizing public interests without external forces or institutional constrains. In this sense, institutional arrangements become extremely important. Institutions set up the constrains on collective rationality and therefore are the guarantee for public economy running orderly and provide the channel for improving the efficiency of resources-distribution in public area.

Secondly, China is not only short of public service products such as maintaining market order or providing foundational services of SES, but to more important extent is lack of an institutional arrangement which will supply efficiently those service products. Beyond the lack of efficient system there lies a more fundamental scarcity: common sense on the necessity of modern public economy which is a supplement to the modern market economy that China is now establishing. At the first sight it is lack of service products; but at second thought one can easily find out the existing problems in institutions. The true problems are actually rooted in the shortage of a series of preconditions and resources for the formation of an efficient system. On the other hand, knowledge resources about the modern economics regarding of public services such as public choice theory are also short of astonishingly.

Thirdly, we suggest two types of pure public services which can be identified: peremptorily consumed institutional public services and cost-saving public services. However, this classification is not very precise because according to New Institution Economics the setting of an institution is for saving transaction costs. In our opinion, the classification is helpful for us to picture the characters of pure public service system and to explain why opportunity behaviors are easily appeared in some public services but hardly in others (such as national defense services) while the cost for providing the services must be shared. The degree of confliction between individual rationality and collective rationality is different in different public services. In some cases, the public services are indeed constrains imposed on individual interests (for example, maintaining market order and protecting environment). In these situations the degree of confliction is greater and the settlement of institution is not saving costs but reducing revenue for some members in the society.

Fourthly, due to the natural monopoly, quasi-public services are usually regulated by government. In China, however, regulations are becoming an inefficient institutional arrangement like protection in some sense. Whether in quasi-public service industries such as transportations, telecommunication, and non-fundamental education or in utilities as pipe gas, tap water, and civic public transportation, deregulation and inducing competition are considered as proper arrangements to improve the efficiency. They are actually parts of the reform itself. Further more, we notice that the evolution of institutions and the growth of quasi-public service industries are correlated. The growth of quasi-public services is one important cause for the institutional transformation in China.

Fifthly, concerning of local public services, the local interests are always superior to national interests in the eye of local government. Several reasons cause the problem. One reason is the existence of general confliction between local rationality and public rationality which has not been settled with suitable institutional arrangement when China is evolving from centrally planned economy into free market economy. At present, the relation between central government and local government is still in the chaos. More importantly, ideologically, China has not got the theoretical realization that local administration is the gatekeeper of local benefits and the local public choice rights should be endowed to them. It is the lack of local public choice rights that resulted in the abuse of informal measures to compensate the interest loss in local governments.

Sixthly, the growth of resources distributed into the public areas and the expansion of public products and services are the evidences of the spread of Human Being's corporation. The corporation is the important way to improve the efficiency of economic resources distribution. Because of the need for corporation, both the public services and the demand for public services are growing which pushes public services as more and more important economic area needing more attention on its resource-distribution mechanism. Besides that, the supplies of a few public services are the rules governing the orders for corporation themselves. With the spread of corporation, the rules for corporation surely will change accordingly.

Keywords：Public service, Quasi-public Service, Institutional Analysis, Institutional Choice