从分配迈向治理——均衡性转移支付与基本公共服务均等化感知

基于公式化分配的均衡性转移支付,不断推进各地基本公共服务供给能力均等化,但还不能保障居民感知层面的均等,均衡性转移支付需要迈向提升人民群众获得感的制度化治理.本文从充分性和平衡性两个视角刻画基本公共服务均等化感知,构建均衡性转移支付实现基本公共服务均等化的治理逻辑,主要围绕"转移支付→支出行为→均等化感知"主线,重点考察公众参与、社会监督和绩效激励产生的调节效应.研究发现:(1)均衡性转移支付增强了居民充分性感知,但对平衡性感知的影响不显著;(2)民生服务支出有利于提升居民充分性感知,交通运输支出有利于提升居民平衡性感知,但均衡性转移支付对这两类支出占比提升存在显著抑制;(3)适度的公众参与能够改善均衡性转移支付对基本公共服务均等化感知的积极影响,但社会监督和绩效激励两类调节效应并不显著.结果 表明:均衡性转移支付提升居民对基本公共服务均等化的感知水平,引导地方政府公共服务支出行为是关键,激发公众参与、强化社会监督和完善绩效激励是重点.     

考虑地区间环保投入策略互动的高质量发展研究

在考虑地区环保投入具有策略互动特征的基础上,模型分析了禀赋和财政能力差异对地方政府政策目标的影响,并讨论了平衡地区资源禀赋的生态转移支付政策对地区间环保联合产出水平的影响。研究结果表明：地区间环保投入策略互动特征的引入,使得环保联合产出最大化对应于适度的地方政府资源禀赋差异程度,差异程度过大或者过于平均,都不利于激发地方政府活力,为高质量的经济持续发展提供稳定条件。此外,专项转移支付政策相比于总量转移支付政策,能够更有效地激励地方政府在生态环境方面投入努力;而减少专项转移支付在实践中的信息对称要求,建立市场化运作资金池的横向转移支付制度安排是进一步加大地区环保投入水平的可行政策。从协调地区经济发展差异、确保环保投入发挥成效,测度地区生态外溢效应、优化专项转移支付政策,建立市场化运作资金池、提升横向转移支付占比等方面,提出提升我国环保投入资金使用效率的对策建议。     

我国转移支付制度存在的问题及对策

我国财政转移支付制度是处理中央政府和地方政府间关系的重要制度,对实现公共服务均等化、促进社会和谐发展起到至关重要的作用。但是我国现行转移支付制度是与财政体制改革交织在一起的,它既要努力实现财政均等化,又要照顾在原体制下地方政府的既得利益,这两者之间是矛盾的。这也就决定了现行转移支付制度必然存在不合理的地方,必须进一步改革和完善。     

渐进预算与机会主义——转移支付分配模式的实证研究

我国转移支付分配呈现何种模式?本文通过纳入预算软约束代理(工具)变量的协整模型研究了转移支付分配的渐进预算观点和机会主义影响。实证结果表明:(1)目前我国转移支付分配总体表现为基数加上与地方财政收支挂钩的边际性增长的渐进预算模式;(2)政府间转移支付对地方自主筹资产生负面激励和支出扩张效应;(3)相比较于筹资负面激励,转移支付预算软约束的支出扩张所受到的限制更少;(4)机会主义影响尚无法取代渐进预算进程,但是,转移支付造成的约束软化作为一个显著短期扰动构成了渐进式分配的增量要素。在突破现阶段政策均衡和间断性平衡的改革中,应重视政策与预算决策机制的调整以及针对转移支付预算软约束问题的机制设计。     

我国财政转移支付制度的再审视

财政转移支付制度是处理中央政府和地方政府间关系、实现公共服务均等化、促进社会和谐的重要制度安排。合理的财政转移支付制度对促进落后区域经济发展,缩小与发达区域的经济发展差距具有十分重要的作用。     

环境分权、地方政府竞争对绿色技术创新影响的“本地—邻地”效应

随着绿色发展成为五大发展理念之一,各地政府推进绿色技术创新成为降低环境污染和提高增长质量的主要途径。为了考察地方政府环境分权和竞争对绿色技术创新影响的“本地—邻地”效应,本文利用非期望产出EBM模型测度绿色技术创新程度,并将绿色技术创新指数引入动态空间杜宾模型。最后,结合2003-2017年中国省级面板数据进行实证分析。研究发现：(1)绿色技术创新具有显著的路径依赖、空间集聚以及邻近地区的策略竞争效应;(2)环境分权对本地和邻地绿色技术创新的影响呈“U型”变动特征,且现阶段并未跨越分权驱动创新的临界点;(3)环境分权与地方政府竞争的交互效应整体为负,环境行政分权、环境监察分权和环境监测分权等不同类型环境分权采取的策略并不相同;(4)区域环境分权产生的绿色技术创新激励效应存在异质性,中西部地区环境分权对绿色技术创新的激励效果更强。     

转移支付与政府扩张:基于“价格效应”的研究

分税制改革以来,金额巨大的财政转移支付是否是地方政府支出规模持续扩张的重要推手,国内研究对此缺乏深入的理论分析。国外经典文献提出了"财政幻觉"等4种假说,来解释转移支付对政府规模的影响,但这些理论解释是否适用于中国,有待检验。通过引入"价格效应"——转移支付导致公共服务的价格下降,本文从微观视角揭示了一般性转移支付产生"粘蝇纸效应"的独特机制,即"价格效应"是转移支付促使地方政府支出较快增长的关键因素,这印证了税收成本假说。基于2000~2007年中国县级层面数据的实证分析以及多个维度的稳健性检验,证实了上述发现。本文的研究结论为我国建设地方税系和完善转移支付制度,提供了政策启示。     

京津冀协同发展视阈下横向财政转移支付制度构建

地方政府财政间的竞争在协同发展的引导下最终走向财政协作,协同发展理当成为地方政府间财政关系的基本态势。应在鼓励和保护地方政府间开展有序财政竞争的同时,构建科学的横向财政转移支付制度,以保障经济区域的协同发展。基于此,笔者在既有研究的基础上,对京津冀政府间构建横向财政转移支付制度进行了可行性分析。     

利益激励视角下地方政府行为偏好与环境规制效应分析

行为偏好直接反映了地方政府的利益诉求,对环境规制效应存在着显著影响。地方政府行为偏好的产生以信息不对称和目标函数差异为重要条件,同时受到晋升激励机制的导向影响。由于地方政府行为偏好与环境规制效应显著正相关,因而应从中央政府激励与监督地方政府、地方政府激励与监督环境规制部门双重路径增强环境规制效果。在这个过程中,需要中央政府和地方政府整合民众与企业诉求,制定科学合理的环境规制利益激励与监督引导机制,促进生态与经济和谐发展。     

地方政府生态责任的缺失与重构——以连云港市为例

如今,生态环境日益恶化,成为影响人们日常生活与社会发展的巨大阻碍。作为公民代理人的地方政府理应承担起生态环境保护与治理的责任,以促进经济社会的可持续发展。然而,由于地方政府生态责任意识淡薄、生态职能履行偏失以及生态保护的法律制度不完善,导致地方政府生态责任的缺失。地方政府畸形的发展观与政绩观、生态责任履行监督机制不健全和生态责任问责机制不完善是其中的主要原因。为此,应强化地方政府生态责任理念、平衡地方政府职能关系、完善地方政府生态保护法律制度、建构地方政府生态责任追究机制,以改善我国地方政府生态责任的履行。     

Ecocultural Attributes: Evaluating Ecological Degradation in Terms of Ecological Goods and Services Versus Subsistence and Tribal Values

It is becoming increasingly clear that scientists, managers, lawyers, public policymakers, and the public must decide how to value what is provided by, and is a consequence of, natural resources. While “Western” scientists have clear definitions for the goods and services that ecosystems provide, we contend that these categories do not encompass the full totality of the values provided by natural resources. Partly the confusion results from a limited view of natural resources derived from the need to monetize the value of ecosystems and their component parts. Partly it derives from the “Western” way of separating natural resources from cultural resources or values, and partly it derives from the false dichotomy of assuming that ecosystems are natural, and anything constructed by man is not natural. In this article, we explore the previous assumptions, and suggest that because cultural resources often derive from, and indeed require, intact and unspoiled natural ecosystems or settings, that these values are rightly part of natural resources. The distinction is not trivial because of the current emphasis on cleaning up chemically and radiologically contaminated sites, on restoration of damaged ecosystems, on natural resource damage assessments, and on long‐term stewardship goals. All of these processes depend upon defining natural resources appropriately. Several laws, regulations, and protocols depend upon natural resource trustees to protect natural resources on trust lands, which could lead to the circular definition that natural resources are those resources that the trustees feel they are responsible for. Where subsistence or tribal peoples are involved, the definition of natural resources should be broadened to include those ecocultural attributes that are dependent upon, and have incorporated, natural resources. For example, a traditional hunting and fishing ground is less valued by subsistence peoples if it is despoiled by contamination or physical ecosystem degradation; an Indian sacred ground is tarnished if the surrounding natural environment is degraded; a traditional homeland is less valued if the land itself is contaminated. Our argument is that intact natural resources are essential elements of many cultural resources, and this aspect requires and demands adequate consideration (and may therefore require compensation).     

农业生态补偿的理论与方法——基于生态系统与生态价值一致性补偿标准模型

农业生态补偿有两类涵义:一类是"对农业生态的补偿",即对农业生态系统的补偿;另一类是"对农业的生态补偿",即对农业生态价值的补偿。与此相对应,国内外关于农业生态补偿标准的研究也有两类:从生态保护成本和从生态服务价值两个不同角度测算生态补偿标准。成本与价值是投入产出有机整体的两个方面,然而遗憾的是,现行的两类补偿标准研究大多是相互独立的,甚至是割裂的。本文吸取和借鉴两类补偿标准研究的合理内涵,克服其各自的片面性,构建一个"生态系统与生态价值一致性补偿标准模型",将两类补偿标准研究的思路统一在一个分析框架中。对该模型的应用与分析,验证了其对于修正两类补偿标准研究的片面性、为实际工作部门提供正确的决策依据所具有的理论与实践价值。构建模型的原理和方法可以进一步延展至不同条件下的农业生态补偿标准研究。为了解决某些情况下出现的相对冗余的资源创造生态价值的能力被忽略的问题,本文借助线性规划敏感性分析工具,对模型初始最优解进行修正,得到能够满足生态系统与生态价值一致性的补偿标准,进一步完善了本文所构建的农业生态补偿标准研究的理论与方法体系。     

Ecological stewardship in Japanese firms

As pressure develops for foreign multinationals to follow the lead of U.S. companies by providing greater accountability on environmental performance and the development of environmental management systems; author Jacob Park brings CES readers a rare insight into the nature of Japanese environmental strategy. With examples from NEC's “green innovation” plan, Mr. Park reveals the strategic initiatives Japanese companies institute to address their own unique set of internal and external pressures.     

Characterizing Perception of Ecological Risk

Relatively little attention has been paid to the role of human perception and judgment in ecological risk management. This paper attempts to characterize perceived ecological risk, using the psychometric paradigm developed in the domain of human health risk perception. The research began by eliciting a set of scale characteristics and risk items (e.g., technologies, actions, events, beliefs) from focus group participants. Participants in the main study were 68 university students who completed a survey instrument that elicited ratings for each of 65 items on 30 characteristic scales and one scale regarding general risk to natural environments. The results are presented in terms of mean responses over individuals for each scale and item combination. Factor analyses show that five factors characterize the judgment data. These have been termed: impact on species, human benefits, impact on humans, avoidability, and knowledge of impacts. The factor results correspond with initial expectations and provide a plausible characterization of judgments regarding ecological risk. Some comparisons of mean responses for selected individual items are also presented.     

Personal Values, Beliefs, and Ecological Risk Perception

A mail survey on ecological risk perception was administered in the summer of 2002 to a randomized sample of the lay public and to selected risk professionals at the U.S. Environmental Protection Agency (US EPA). The ranking of 24 ecological risk items, from global climate change to commercial fishing, reveals that the lay public is more concerned about low-probability, high-consequence risks whereas the risk professionals are more concerned about risks that pose long-term, ecosystem-level impacts. To test the explanatory power of the value-belief-norm (VBN) theory for risk perception, respondents were questioned about their personal values, spiritual beliefs, and worldviews. The most consistent predictors of the risk rankings are belief in the new ecological paradigm (NEP) and Schwartz's altruism. The NEP and Schwartz's altruism explain from 19% to 46% of the variance in the risk rankings. Religious beliefs account for less than 6% of the variance and do not show a consistent pattern in predicting risk perception although religious fundamentalists are generally less concerned about the risk items. While not exerting as strong an impact, social-structural variables do have some influence on risk perception. Ethnicities show no effect on the risk scales but the more educated and financially well-off are less concerned about the risk items. Political leanings have no direct influence on risk rankings, but indirectly affect rankings through the NEP. These results reveal that the VBN theory is a plausible explanation for the differences measured in the respondents' perception of ecological risk.     

Ecological Information Needs for Environmental Justice

The concept that all peoples should have their voices heard on matters that affect their well‐being is at the core of environmental justice (EJ). The inability of some people of small towns, rural areas, minority, and low‐income communities, to become involved in environmental decisions is sometimes due to a lack of information. We provide a template for the ecological information that is essential to examine environmental risks to EJ populations within average communities, using case studies from South Carolina (Savannah River, a DOE site with minority impacts), Washington (Hanford, a DOE site with Native American impacts), and New Jersey (nonpoint, urbanized community pollution). While the basic ecological and public health information needs for risk evaluations and assessments are well described, less attention has been focused on standardizing information about EJ communities or EJ populations within larger communities. We suggest that information needed about EJ communities and populations includes demographics, consumptive and nonconsumptive uses of their regional environment (for example, maintenance and cosmetic, medicinal/religious/cultural uses), eco‐dependency webs, and eco‐cultural attributes. A purely demographics approach might not even identify EJ populations or neighborhoods, much less their spatial relation to the impact source or to each other. Using information from three case studies, we illustrate that some information is readily available (e.g., consumption rates for standard items such as fish), but there is less information about medicinal, cultural, religious, eco‐cultural dependency webs, and eco‐cultural attributes, all of which depend in some way on intact, functioning, and healthy ecosystems.     

平台型企业社会责任的生态化治理

不断兴起的共享经济与平台经济在为经济发展注入新动能的同时,也引发了种种突出的社会问题,平台情境下社会责任缺失现象与异化行为频频出现,亟需进行有效治理。本文针对平台型企业社会责任现有研究的不足,从平台型企业"作为独立运营主体的社会责任"、"作为商业运作平台的社会责任"和"作为社会资源配置平台的社会责任"3个层次,结合担责的"底线要求"、"合理期望"和"贡献优势"3个层级,系统界定了平台型企业社会责任的内容边界。在此基础上,本文对点对点的原子式社会责任治理、传导式的线性化社会责任治理、联动型的集群式社会责任治理等传统社会责任治理范式进行深入研究,发现它们在平台情境下容易出现治理的错位与失效。基于此,本文提出契合于平台情境的社会责任生态化治理新范式,指出其本质是一种内生型、整体性与可持续的全过程治理范式,核心是分层次治理与跨层次治理,个体、情境和系统的全景式治理,以及跨生态位互治与网络化共治。平台型企业社会责任生态化治理的实现机制包括主要生态位的6项社会责任自组织机制、扩展生态位与主要生态位之间的两项责任共演机制。     

Ecological Risk Assessment,Prediction, and Assessing Risk Predictions

Ecological risk assessment embodied in an adaptive management framework is becoming the global standard approach for formally assessing and managing the ecological risks of technology and development. Ensuring the continual improvement of ecological risk assessment approaches is partly achieved through the dissemination of not only the types of risk assessment approaches used, but also their efficacy. While there is an increasing body of literature describing the results of general comparisons between alternate risk assessment methods and models, there is a paucity of literature that post hoc assesses the performance of specific predictions based on an assessment of risk and the effectiveness of the particular model used to predict the risk. This is especially the case where risk assessments have been used to grant consent or approval for the construction of major infrastructure projects. While postconstruction environmental monitoring is increasingly commonplace, it is not common for a postconstruction assessment of the accuracy and performance of the ecological risk assessment and underpinning model to be undertaken. Without this “assessment of the assessment,” it is difficult for other practitioners to gain insight into the performance of the approach and models used and therefore, as argued here, this limits the rate of improvement of risk assessment approaches.     

Biological Markers of Environmental and Ecological Contamination: An Overview

An approach, using biomarkers (biological responses) for assessing the biological and ecological significance of contaminants present in the environment is described. Living organisms integrate exposure to contaminants in their environment and respond in some measurable and predictable way. Responses are observed at several levels of biological organization from the biomolecular level, where pollutants can cause damage to critical cellular macromolecules and elicit defensive strategies such as detoxication and repair mechanisms, to the organismal level, where severe disturbances are manifested as impairment in growth, reproduction, developmental abnormalities, or decreased survival. Biomarkers can provide not only evidence of exposure to a broad spectrum of anthropogenic chemicals, but also a temporally integrated measure of bioavailable contaminant levels. A suite of biomarkers are evaluated over time to determine the magnitude of the problem and possible consequences. Relationships between biomarker response and adverse ecological effects are determined from estimates of animal health and population structure.