政府绩效管理与寻租遏制的关系研究
详细信息    本馆镜像全文|  推荐本文 |  |   获取CNKI官网全文
摘要
寻租一直是影响公共管理绩效的关键性因素。公共权力是一种资源,权力资源的配置对于公共管理绩效具有关键性的影响作用。本质上来说,公共权力执行者也是受利益驱动的“理性人”,当通过寻租行为所获得收益远远大于监督和惩罚的成本时,“理性”的公共权力执行者将可能通过寻租行为追求个人利益最大化。同时,由于公共权力执行者具有配置权力资源的自由裁量权,这就使得缺乏监管的公共权力很容易产生寻租问题,从而降低政府绩效的管理水平。因此,本文旨在通过对寻租问题的深入分析,研究提高政府绩效管理水平的方法和路径。
     笔者认为,寻租问题的关键是如何根据可观测到的信息(政府行政作为、公众利益方面的收益等)来奖惩公共权力执行者,以激励其采取对公众最有利的行动。为此,论文借助信息经济学中的委托一代理理论,分析公共权力执行者与公众之间的利益博弈关系,从中探讨影响公共权力寻租行为的关键因素,为遏制寻租行为的产生寻找理论依据。论文从如何获取与运用绩效评价信息、如何实现绩效评估的规范化、常规化以及如何优化政府绩效评估的运行机制等三个方面,通过政府绩效管理有关机制的创新对寻租行为展开研究,并提供对策建议。
     政府权力寻租,无论是在政府还是在学术界都是个被关注的热点问题。学者们通过大量的理论研究及实践上的创新,从不同的角度探究着治理政府权力寻租行为的有效途径,也收获了不少有有价值的研究成果。本文从政府绩效评估(具有评价与监督职能的信息机制)这一管理工具的角度审视权力寻租的表现,针对如何规制权力寻租行为提出了一些政策性建议,并试图在以下三方面有所新意:一是在政府公共受托责任理论的基础上,揭示了政府绩效评估和权力寻租的关系;二是运用定量与定性相结合的研究方法,即信息经济学中的委托——代理理论,分析公共权力代理人与公众之间的利益博弈关系,并从中探讨影响公共权力寻租行为的关键因素,为遏制寻租行为的产生提供理论依据和对策建议;三是基于政府绩效评估视角分析研究权力寻租问题,从实践上探究政府绩效评估中相关机制的设计和解决权力寻租问题途径。
     解决政府的权力寻租等腐败问题是一项纷繁复杂的系统工程,也是个世界性难题。由于发展中国家的民主进程缓慢,民主政治建设还不够成熟,在法制不健全、道德约束乏力的状况下,政府权力运行所留存的寻租空间很大,这在发展达国家也同样存在。因而,无论在深度上还是在广度上都给我们留下了广阔的研究空间。
Impact of rent-seeking has been the key factor in the performance of public administration. The allocation of public power resources has a crucial function in public administration. Essentially, the public authority performer is also a "rational man" driven by profit, when the rent-seeking profit is far greater than the cost of supervision and punishment, the "rational" public power will maximize the pursuit of personal interests by means of implementing rent-seeking behavior. Meanwhile, the public authority have the power of resources reallocation, this makes the public power prefers to lead to rent-seeking issues when lack of supervision, thereby reducing the level of government performance management. Therefore, this article aims to do in-depth analysis of rent-seeking behavours, to improve the methods and paths of government performance management
     In my standpoint, the key of preventing rent-seeking is how to reward and punish public power executives according to observable information (government administrative act, income of public interest aspect and etc) to motivate them to take the most favorable action to the public. With the help of information economics, this paper apply principal-agent theory To solve this problem. This paper analyzes the game relationship between public power executive and public to investigate the key factors of public power rent-seeking activity, which provides theoretical basis and countermeasures to restrict rent-seeking activity. This paper makes the study of rent-seeking activity through Government Performance Management Innovation and from three aspects of how to obtain and use performance evaluation information, how to achieve the standardization and normalization of performance evaluation, and how to optimize the assessment of government performance, and provide suggestions.
     Rent-seeking by the authority of government, is a hot issue both in government and academia. Scholars according to a lot of theories and practice innovation, from different perspectives, to explore the effective way to manage governmental authority rent-seeking behavior, also gain a lot of beneficial effects. This paper uses government performance evaluation (the information system with the evaluation and supervision functions) as a management tool to survey the performance of rent-seeking, providing some political suggestions about how to regulate power rent-seeking behavior and make innovative study in the following three aspects:First, a theoretical innovation. On the basis of the theory of public entrusted responsibility, this paper reveals the connection of government performance assessment and power rent-seeking to achieve a theoretical innovation. Second is the methodological innovation. This paper uses a combination of quantitative and qualitative research methods, which is the theory of principal-agent theory in information economics, to analyze the game relationship between public power executive and public to investigate the key factors of public power rent-seeking activity, which provides theoretical basis and countermeasures to contain rent-seeking behavior. Third is the innovation of the practice. Based on Government Performance Evaluation aspect to analyze the power rent-seeking issues, from practice to explore the related mechanisms innovation in Government Performance Evaluation and find ways to solve power rent-seeking behavior.
     To solve the problem of corruption like power seek-renting is a complex system engineering, which is also a global problem. As the slow process of developing democracy, democratic politics is not mature enough, the space for Government to run rent-seeking is very big under the circumstances of imperfect legal system and weak moral constraint, which is also exist in developed country. Thus, both in depth and breadth this provides us wide research space.
引文
①马骏.西方公共行政学理论前沿[M].北京:中国社会科学出版社,2003:128.
    ①周云飞.中国地方政府绩效评价的基础问题研究[D].兰州大学,2009:14-15.
    ②两会时评:让权力在阳光下运行(2010.3.10)http://cpc.people.com.cn/GB/64093/64099/11108798.html
    ①彭国甫.中国政府绩效评估的现状与展望[J].中国行政管理,2006,(11):18-20
    ① Rosita S. Chen,1975. Social and Financial Stewardship. Accounting Review July:pp533-543.
    ② Jabbra, J.G. and O.P. Dwivedi,1989. Introduction:Public Service Responsibility and Accountability. In:J.G. and O.P. Dwivedi (editors). Public Service Accountability:A Comparative Perspective. West Hartford:Kumarian Press, pp3-27.
    (?) 固丹尼斯·缪斯.张军译.公共选择[M].上海:上海三联书店,1993:26.
    ①周云飞.中国地方政府绩效评价的基础问题研究[D].兰州大学,2009:14-15.
    ② Atkinson, A. A. and J. Q. McCrindall,1997. Performance Measurement in Government. CMA Magazine 71(3): 20-23.
    ②倪星,余凯.试论中国政府绩效评估制度的创新[J].政治学研究,2004,(3):11-15.
    ①林巍,郑尊信.‘信息非对称下行政体系中职位竞争与权力寻租[J].统计与信息论坛,2006,21(3):48.
    ② Epstein, P.D.,1988. Using Performance Measurement in Local Government:A guide to Improving Decisions Performance, and Accountability. New York:Nation Civic League Press.
    ①吴敬琏.“寻租”理论与我国经济中的某些消极现象[J].经济社会体制比较,1988,(5).
    [1]Ammons, D. N.,1995.Performance Measurement in Local Government. In Ammons, D. N.,Accountability for Performance:Measurement and Monitoring in Local Government.Washington DC:International City/County Management Association.
    [2]Ammons, D. N.,2007. Performance Measurement:A Tool for Accountability and Performance Improvement. UNC-Chapel Hill School of Government.
    [3]Atkinson, A. A. and J. Q. McCrindall,1997. Performance Measurement in Government. CMA Magazine 71(3):20-23.
    [4]Bestandsaufnahme and Perspektiven des Haushalt-und Finanzmanagement Baden Baden:Nomos Veriag:183-193.
    [5]Bhagwati. J.,1982. Directly Unproduction Profit-seeking Activities, Journal of Political Economy.90.
    [6]Cameron, W.,2004. Public Accountability:Effectiveness, Equity, Ethics. Australian Journal of Public Administration 63(4):59-67.
    [7]Campbell, M. D.,1997. Outcome and Performance Measurement Systems:An Overview. http://www.alliance.napawash.org/ALLIANCE/Picases.nsf/
    [8]Curristine, T.,2005. Government Performance:Lessons and Challenges. OECD Journal on Budgeting 5(1):127-151
    [9]D. Colander, Editor, "Neoclassical Political Economy——The Analysis of Rent——Seeking and DUP Activities",1984
    [10]Day, P and R. Klein,1987. Accountabilities:Public Services. London:Tavistock Publications.Bovens, M.,2005. From Financial Accounting to Public Accountability. In:Hill, H. (ed.) 2005.
    [11]Epstein, P.D.,1988. Using Performance Measurement in Local Government:A guide to Improving Decisions Performance, and Accountability. New York:Nation Civic League Press.
    [12]Gray, A.& W. Jenkins,1986. Accountable Management in British Central Government:Some Reflections on the Financial Management Initiative. Financial Accountability and Management 2(3):171-186.
    [13]Jabbra, J.G and O.P. Dwivedi,1989. Introduction:Public Service Responsibility and Accountability. In:J.G and O.P. Dwivedi (editors). Public Service Accountability:A Comparative Perspective. West Hartford:Kumarian Press, pp3-27.
    [14]Lazear, E, and Rosen, S. Rank-rder Tournaments as Optimum Labor Contracts, Journal of Political Economy,1981,(54)
    [15]Mixon, F. G Jr.1995. To the capitol, driver:Limousine services as a rent seeking device in sate capital 25 cities. Rivista Internazionale di Scienze Ecnomlche e Commercials 42:663-670.
    [16]Rosita S. Chen,1975. Social and Financial Stewardship. Accounting Review July: pp533-543.
    [17]Rossi, P H. and H. E. Freeman,1989. Evalution:a System Approach. Newbury Park, CA. Sage Publications.
    [18]Segsworth, B.,2003. Accountability, Evaluation and Performance Monitoring:A Comparative Perspective. Working Paper. Laurentian University.
    [19]Sinclair, A.,1995.The Chameleon of Accountability:Forms and Discourses. Accounting, Organizations and Society 20(2/3):219-237.
    [20]Sollars D. L.1996. Rent seeking in state capitals,1950-1990.Unpublished manuscript, Auburn University at Montgomery.
    [21]Stewart, J. D.,1984.The Role of Information in Public Accountability. In:Hopwood, A.& C. R. Tomkins (eds.), Issues in Public Sector Accounting. Oxford:Philip Allan, pp.13-34.
    [22]Stowe, A.,1992. Auditing Performance Measurement Reporting. The Government Accountants.Journal 41(4):23-36
    [23]Tullock, G..1980. Efficient rent seeking. In J. M. Buchanan, R.D. Tollison and G. Tullock (Eds.), Toward a theory of the rent seeking socity 97-112. College Station: Texas A&M Press.
    [24]Tullock, G..1993. Rent Seeking. Hants, England:Edward Elgar Publishing Limited.
    [25]Tullock, G..1989. The economi cs of specs al privillege and rent seeking. Boston: Kluwer Academic Publishers.
    [26]陈艳全.绩效评估之于电子政务信息资源建设[J].档案学通讯,2004,(3):27-30.
    [27]丹尼斯·缪斯.张军译.公共选择[M].上海:上海三联书店,1993:26.
    [28]傅江景.权力结构、集团规模与集体寻租[J].经济科学,2004,(4):18-26.
    [29]戈登·塔洛克.寻租——对寻租的经济学分析[M].成都:西南财经大学出版社,1999,(5).
    [30]胡鞍钢.中国:挑战腐败[M].杭州:浙江人民出版社,2001.
    [31]兰州大学中国地方政府绩效评价中心课题组.兰州试验:第三方政府绩效评价新探索[J].上海城市管理职业技术学院学报,2005,(3):22-25.
    [32]两会时评:让权力在阳光下运行(2010.3.10)http://cpc.people.com.cn/ GB/64093/64099/11108798.html.
    [33]林巍,郑尊信.信息非对称下行政体系中职位竞争与权力寻租[J].统计与信息论坛,2006,21(3):48.
    [34]刘笑霞.公共受托责任、财政透明度与政府财务报告[D].厦门大学会计系硕士学位论文.2005年4月
    [35]刘旭涛.政府绩效管理:制度、战略与方法[M].北京:机械工业出版社,2003
    [36]马骏.西方公共行政学理论前沿[M].北京:中国社会科学出版社,2003:128.
    [37]马骏.新绩效预算[J].中央财经大学学报,2004,(8):1-6.
    [38]倪星,余凯.试论中国政府绩效评估制度的创新[J].政治学研究,2004,(3):11-15.
    [39]彭国甫.地方政府绩效评估程序的制度安排[J].求索,2004,(10):63-65.
    [40]彭国甫.中国政府绩效评估的现状与展望[J].中国行政管理,2006,(11):18-20.
    [41]钱颖一.克鲁格模型与寻租理论[J].经济社会体制比较,1988,(5).
    [42]秦荣生.公共受托经济责任理论与我国政府审计改革[J].审计研究,2004,(6):16-20.
    [43]饶常林.论我国政府信息公开制度的完善——由非典危机引发的思考[J].沙洋师范高等专科学校学报,204,(2):74-77.
    [44]塔洛克.关税、垄断与偷窃的福利成本[J].西部经济杂志,1967,(6).
    [45]唐铁汉.加强政府绩效管理深化行政管理体制改革[J].中国行政管理,2006,(3):6-10.
    [46]万安培.租金规模的动态考察[J].经济研究,1998,(2):14-31.
    [47]王爱冬.政府绩效评估主体多元化及其在中国的构建[J].河北学刊,2006,(6):67-70.
    [48]吴建南,阎波.政府绩效:理论诊释、实践分析与行动策略[J].西安交通大学学报(社会科学版),2004,(3):31-40.
    [49]吴敬琏.“寻租”理论与我国经济中的某些消极现象[J].经济社会体制比较,1988,(5).
    [50]吴量福.运作、决策、信息与应急管理[M].天津:天津人民出版社,2004.
    [51]叶静,刘婧.政府干预中权利寻租行为分析及其治理[J].行政与法,2004,(3):18-23.
    [52]雍继敏,陈潮升.加强地方政府行政监督研究[J].行政与法,2004,(11):7-9.
    [53]詹姆斯·布坎南.寻求租金和寻求利润[J].经济社会体制比较,1988,(6).
    [54]张创新,芦刚.地方政府绩效评估信息失真的成因及其治理[J].中州学刊,2006,(6):41-43.
    [55]张今声.政府行为与效能——政府改革的深层次透视[M].北京:中国计划出版社,2001
    [56]中国行政管理学会课题组.政府部门绩效评估研究报告[J].中国行政管理,2006,(5):11-16.
    [57]中国行政管理学会联合课题组.政府机关工作效率标准研究报告[J].新华文摘,2003,(1):3.
    [58]周伟.中国公共信息公开法律制度的特点、问题与发展[J].行政法学研究,2002,(4):27-34.
    [59]周云飞.中国地方政府绩效评价的基础问题研究[D].兰州大学硕士学位论文,2009:14-15.
    [60]朱国玮,汪浩.政府绩效信息的获取、使用与公开制度研究[J].情报科学,2005,23,(4):621-625.
    [61]卓越.公共部门绩效评估初探[J].中国行政管理,2003,(2):7-12.