国家能力与中国特色转移支付制度创新

State Capacity and the Innovation of Transfer Payment System with Chinese Characteristics

中国"上下相维"的政府治理结构使得国家具有很强的组织动员能力,这种能力推动了中国转移支付制度的创新,使其突破财力不足和效率损失两大制约,已具有很强的理论创新元素:一般性转移支付的逆向激励问题可以通过政绩考核制度得到部分纠正,使其有可能在平衡区域发展中提高整体经济效率;专项转移支付属于"积极均衡策略",可部分纠正地方政府偏好错位问题;对口支援和干部派遣是两类特殊转移支付,它与国家能力的建设相互促进。"上下相维"的政府治理结构对转移支付制度也产生不利影响,它使得财政资金配置易偏向显示性公共产品或发出显示性信号一方。增加"分类转移支付"统计分类并扩大规模,可兼顾发挥地方积极性与限定公共支出方向的一对矛盾。

China’s "intergovernmental power sharing system" enables the state to have strong capacities of organization and mobilization, which has promoted the innovation of China’s transfer payment system, allowing it to break through the constrains of fiscal resources insufficiency and efficiency loss. The innovation of the transfer payment system under the governance structure with Chinese characteristics has prominent theoretical innovative elements: The perverse inventive problem of general transfer payment can be partially corrected through the political performance appraisal system, making it possible to improve the overall economic efficiency in balancing regional development;special transfer payment is a "positive equilibrium strategy" and can partially correct the misalignment of local government preferences;"targeted assistance" and "officials dispatch" are two types of special transfer payment, which mutually promote the building of state capacity. The "intergovernmental power sharing system" also has an adverse effect on transfer payment, which weights the allocation of fiscal funds toward productive public goods to show political achievements, or government that send political achievements signals. Adding "block grant" and expanding its scale can solve the contradiction between mobilizing the initiative of local governments and controlling the direction of fiscal expenditure.