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基于新型城镇化质量的财政转移支付研究
中文摘要

20世纪70年代末以来我国城镇化开始进入加速发展时期,然而在传统的粗放型发展模式下,实现城镇经济繁荣的同时,区域经济发展失衡、社会公共服务缺位、生态环境污染加剧等一系列问题也日益严峻,近年来关于城镇化质量提升的问题受到社会各界的广泛关注。政府部门是我国城镇化建设的规划者和推动者,在我国经济分权体制下,地方政府缺乏税收自主权,同时承担着大量的事权支出责任,由此产生的财力缺口影响着地方政府职能的充分发挥。财政转移支付是弥补分权体制缺陷的重要途径,中央政府通过财政转移支付可以加强宏观调控,平衡地区间财力差异,优化资源配置,激励和引导地方政府行为符合人民利益,实现公共服务均等化,从而推动着城镇化质量的提升。因此,财政转移支付对于城镇化发展的各个方面都产生着重要的影响。基于这样的思考,本文从相关理论出发,进行了实证研究,摘要如下: 第一,本文从城镇化和转移支付相关理论入手,分析了影响城镇化质量的相关因素,提炼出衡量城镇化质量的经济、社会公共服务、生态环境三个关键维度,进而理论分析了在财政分权体制下我国转移支付、地方政府支出行为与城镇化质量之间的关系,构建出转移支付影响城镇化质量的作用机理。分析发现,在中国财政分权体制下,转移支付通过地方政府的财政支出行为从经济质量发展、社会公共服务事业发展和生态环境优化三个路径影响着城镇化质量的提升,并且三者之间并不是孤立的,它们存在着相互联系、相互影响的关系。 第二,本文利用四川省2005-2014年县级面板数据实证检验和分析了财政转移支付对县域经济质量发展的影响,通过研究城镇化进程中转移支付和人口城镇化率对县域人均GDP和非农产业比重的影响发现,政府间财政转移支付和人口城镇化水平的提高,不仅能够促进县域经济增长,也能够提高县域非农产业比重,优化产业结构,并且其影响效应在不同区域间存在明显差异。 第三,本文利用四川省2007~2014年县级面板数据,实证检验了城镇化进程中财政转移支付对社会公共服务供给的影响,区分了“民生性”、“经济性”和“一般性”公共服务,并通过研究转移支付和人口城镇化率对“民生性”和“经济性”公共服务的影响效应发现,一般性转移支付和专项转移支付都显著促进了“经济性”和“民生性”公共服务的供给,但两类转移支付对“民生性”公共服务供给的影响相对缺乏弹性,人口城镇化率显著促进了“民生性”公共服务的供给,但对“经济性”公共服务供给没有产生影响,并且在不同地区间影响效应存在显著差异。 第四,本文实证检验了城镇化进程中转移支付对生态环境的影响,通过对四川省2007~2014年县级面板数据实证检验发现,一般性转移支付对县域环境保护投资没有产生显著影响,专项转移支付虽然显著促进了县域环境保护投资增加,但其影响效应主要来自丘陵地区,人口城镇化率的提高显著促进了县域环境保护投资,但不同地区间存在很大差异。 第五,本文利用2007~2014年四川省县级面板数据系统检验了城镇化进程中经济增长、社会公共服务供给和生态环境保护城镇化质量三个维度之间的交互影响效应,以及转移支付在整体系统中对三个维度产生的影响。实证分析发现,经济增长、社会公共服务与生态环境三个维度之间相互联系,存在一定的交互影响效应,财政转移支付对县域经济增长、公共服务供给和生态环境保护均产了一定促进作用,人口城镇化率仅对生态环境保护投资产生了一定促进作用,对经济增长和社会公共服务均未产生显著影响以。在整体系统中,不同地区之间,三个维度间的交互影响效应以及转移支付对三个维度的影响效应也存在很大差异。 第六,基于实证研究的结果,本文进一步从新型城镇化质量的角度对我国现行财政转移支付制度的改革和完善提出相应的政策建议,主要包括四个方面:即财政分权的深化、一般性转移支付的规范、专项转移支付完善和转移支付的激励与考核。 关键词:城镇化质量;财政转移支付;经济发展;公共服务;生态环境

英文摘要

The urbanization in China has stepped into the accelerated development since the end of 1970s. However, under the traditional extensive development pattern, a series of problems are getting more severe along with the economic prosperity of cities and towns, which include unbalanced regional economic development, absent social public service, and aggravated ecological environmental pollution. For these reasons, the issue about enhancing urbanization quality is receiving more attention from all sectors of society. Despite that, government is the planner and impeller of Chinese urbanization, under the economic decentralization system, local government lacks tax autonomy while bearing plentiful responsibilities of routine power expenditures, so the gap of financial resources generated accordingly influences the full exertion of local governmental functions. Financial transfer payment is the significant approach for compensating defects of decentralization system, through which the central government can reinforce macroeconomic management, balance regional difference of financial resources, optimize resource allocation, stimulate and guide local governmental behaviors to follow people's interests and realize equalization of public service, so as to promote the quality of urbanization. Therefore, financial transfer payment greatly influences all aspects of urbanization development. Based on such thinking, this paper implements empirical research by starting with relevant theories and the details are as follows: Firstly, from the perspective of theories related to urbanization and transfer payment, it analyzes the factors influencing urbanization quality and extracts the three critical dimensions for measuring urbanization quality, which are economy, social public service and ecological environment. After that, it analyzes the relations among Chinese transfer payment, local governmental expenditure behavior and urbanization quality under the decentralization system, and constructs the influential mechanism of transfer payment on urbanization quality. The analysis shows that, under Chinese decentralization system, transfer payment influences the promotion of urbanization quality in three approaches through local governmental fiscal expenditure, which are economic quality development, social public service progress and ecological environmental optimization. Meanwhile, instead of being isolated, these three are interrelated and mutually influenced. Secondly, by means of the empirical test of Sichuan county level panel data during 2005~2014, this paper analyzes the influence of financial transfer payment on county economic quality growth. Through researching the influence of transfer payment and population urbanization rate during urbanization on country per capita GDP as well as non-agricultural industries, it is found that, the enhancement of inter-governmental financial transfer payment and population urbanization not only facilitates economic growth in county, but also improves the proportion of non-agricultural industries in county and optimize industrial structure. In addition, its influential effects are obviously distinct in different regions. Thirdly, according to the Sichuan county level panel data during 2005~2014, this paper empirically verifies the influence of financial transfer payment during urbanization on supply of social public service so as to distinguish the "livelihood", "economic" and "general" public service. Besides, the research on influential effects of transfer payment and population urbanization on "economic" and "general" public service indicates that, both general and special transfer payment prominently promote the supply of "economic" and "general" public service, while their influence on supply of "livelihood" public service lacks elasticity; population urbanization rate obviously promotes the supply of "livelihood" public service, but it almost has no influence on the supply of "economic" public service. Moreover, the influential effects are obviously distinct in different regions. Fourthly, this paper empirically tests the influence of transfer payment during urbanization on ecological environment. The empirical verification of Sichuan county level panel data during 2005~2014 discovers that, general transfer payment has no obvious influence on county environmental protection investment; although special payment prominently facilitates the increase of county environmental protection investment, its influential effect mainly originates from hill regions. The enhancement of population urbanization rate obviously drives county environmental protection investment, but there are great differences in different regions. Fifthly, through Sichuan county level panel data during 2005~2014, this paper systematically tests the interactive influential effects of three dimensions of economic growth, supply of social public service and ecological environmental protection during urbanization; it also verifies influence of transfer payment on three dimensions in the whole system. The empirical analysis shows that, there is certain interactive influential effect among the relations of economic growth, supply of social public service and ecological environmental protection, where financial transfer payment promotes economic growth, supply of social public service and ecological environmental protection; population urbanization rate only facilitates ecological environmental protection to some extent without prominent influence on economic growth or social public service. In the whole system, the interactive influential effects among different regions as well as three dimensions, and the influence of transfer payment on three dimensions is also very distinctive. Sixthly, based on the results of empirical research, this paper proposes the policy suggestions for reforming and perfecting existing Chinese financial transfer payment system from the viewpoints of new-type urbanization quality, including deepening of financial decentralization, standardization of general transfer payment, perfection of special transfer payment, and incentive as well as assessment of transfer payment. Keywords: urbanization quality; fiscal transfer payment; economic development; public service; ecological environment

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