财政市场、土地资本化与异质性城市化

在以政府为主导的城市化进程中,土地财政成为了地方政府“经营城市”的重要手段。我国土地财政规模大、比例高,其形成不仅源于地方政府财权、事权不对等和地区之间、官员之间的竞争,究其质里,则是政府实现财政市场目标的行为投射。地方政府融资平台也基于相同的逻辑生成,帮助实现了土地财政的本质——资本化,弥补了地方政府的财政缺额。但是,土地的资本化提高了城市化成本,衍生出异质性,形成了空间与人口的矛盾,积累了凝结在城市中的金融、社会和道德风险,亟需引起重视。     

Comparing accountability relationships between governments and non‐state actors in Canadian and European international development policy

This article examines the alignment of different governance arrangements and alternative accountability mechanisms in international development policy making in Canada and the European Union (EU), with a particular focus on relationships between governments and non‐governmental organizations. The Canadian case illustrates an entrepreneurial mode of governance that aligns with fiscal auditing and performance management mechanisms, while the networked governance model of the EU relies more heavily on accountability instruments of public reporting and deliberation. The article concludes that the European accountability regime likely provides policy makers with more opportunities for social policy learning but would be difficult to implement in Canada given the underlying action logic of the federal government.     

Birds of a feather? The role of partisanship in the 2003 Ontario government transition

The question posed in this article focuses on whether partisanship affects government transitions. The way governments assume power in Canada is an intriguing part of politics, but we have only a limited knowledge of transition mechanics. There has been no investigation into whether transitions have an inter‐governmental dimension, for instance, nor have transitions been studied with the government's partisan complexion in mind. This article addresses this gap in the literature by examining the 2003 Ontario Liberal transition through inter‐governmental and political lenses. Using indicators to assess the role and impact of partisanship, the Ontario case suggests that partisan complexions matter in how the transition process is planned and executed. The provincial team will seek advice on the matter from their federal cousins, for example, and will recruit experienced political staffers from Parliament Hill to be part of the new sub‐national government. Shared partisanship may also predict whether harmonious relations with Ottawa will prevail during the first several months in power. The article concludes by asserting that in provinces where political party organizations formally overlap or are informally intertwined across the federal divide, partisanship can play a role in determining how a new government prepares and implements its transition process.     

财政分权、地方财政赤字与土地财政

基于地方财政赤字的视角,研究财政分权与地方政府土地财政策略的内在作用逻辑,通过理论分析发现:地方财政赤字激励了地方政府在利益觉醒后利用预算制度缺口,用"扭曲之手"来攫取预算外财政收益,进而驱动地方政府实施积极的土地财政策略来实现财政增收的政策目标。省际面板数据的实证结果进一步验证了财政分权、地方财政赤字对土地财政的正向驱动作用。土地财政的治理从深化分税制改革、改善地方财政收入结构、变革土地财政形成机制、完善行政绩效考核体制、加强预算监管等方面入手。     

中央集权驱动、地方分级响应与政府间合作的机理:基于京津冀的实证阐释

区域性棘手问题和相互依赖的增加凸显政府间合作治理的现实需要。不过,行政分权、财政分权和晋升锦标赛体制意味着地方自主性增长与区域协同发展之间的紧张。深入行政体系内部挖掘区域政府间合作的真实过程和内在机理成为亟待解决的问题。中央政治权威旨在打破地方保护主义的体制藩篱;地方高层通过“政治表态”积极回应中央的战略部署;地方中层因不变的压力型体制和目标责任制依旧关注地方利益和部门利益;地方基层在目标责任体系中存在支撑能力不足问题。结果,地方政府和政府部门主要根据成本收益分级分部门响应。为提升政府间合作的有效性,相关的改革选项包括根据城市功能定位建立差异化的政绩考核和区域财税激励兼容机制,明确将区域协同发展的职责赋予特定政府层级,建立多样性的非正式制度以积累政府间合作的信任资本,充分发挥市场机制和社会力量的作用。     

Advising for impact: lessons from the Rae review on the use of special‐purpose advisory commissions

Abstract: Ontario's recent Postsecondary Review, led by former premier Bob Rae, was dramatically more successful than previous reviews by special‐purpose advisory commissions on postsecondary education conducted in Ontario. The authors argue that the success of special‐purpose advisory commissions ‐ defined as the extent to which a commission's recommendations are implemented in a timely way ‐ is dependent on environmental variables (such as the economy, fiscal situation and political cycle), process variables (such as reporting relationships, characteristics of the commissioners and stakeholder strategies) and the political acuity with which the commission develops recommendations that can command broad public support. The Rae review benefited from political conditions that favoured stronger investments in postsecondary education, despite a difficult fiscal situation. The report also benefited from a stakeholder community that was able to put aside most internal differences for the sake of a perceived common good. Within this environment, the review created a highly focused process that involved extensive consultation, the support of expert panel members and frequent interaction with decision‐makers. The review developed recommendations that were sensitive to long‐standing patterns of public opinion, articulated new public goals, recognized the important role to be played by each major stakeholder and proposed a new institution to entrench positive change in the long term. This experience offers lessons for governments, stakeholders and future commissions on how to manage special‐purpose advisory commissions in a way that maximizes their policy impact. Sommaire: La récente étude de l'éducation post‐secondaire en l'Ontario, menée par l'ancien premier ministre provincial Bob Rae, a remporté beaucoup plus de succès que les études antérieures entreprises en Ontario par des commissions consultatives spécialisées en éducation post‐secondaire. Les auteurs prétendent que le succès des commissions consultatives spécialisées ‐ défini par la mesure dans laquelle les recommandations d'une commission sont mises en œuvre de façon adéquate ‐ dépend de paramètres environnementaux (tels que l'économie, la situation financière et le cycle politique), de paramèrres de traitement (tels que les rapports hiérarchiques, les caractéristiques des commissaires et les stratégies des intervenants) et de l'acuité politique avec laquelle la commission élabore des recommandations qui peuvent susciter une forte adhésion du public. l'étude Rae a bénéficié d'un contexte politique favorable à de solides investissements dans l'éducation post‐secondaire, malgré une situation financière difficile. Le rapport a également tiré parti d'une communauté d'intervenants qui ont pu mettre de côté la plupart de leurs différences internes au profit de l'intérêt commun. Dans ce contexte, l'étude a donné lieu à un processus hautement focalisé qui a comporté de nombreuses consultations, l'appui des membres d'une commission d'experts, et de fréquentes interactions avec les décisionnaires. l'étude a mis au point des recommandations sensibles aux tendances ancrées dans l'opinion publique, a formulé de nouveaux objectifs publics, a reconnu l'importance du rôle à jouer par les principaux intervenants et a proposé qu'une nouvelle institution garantisse des changements positifs à long terme. Cette expérience offre des leçons aux gouvernements, aux intervenants et aux futures commissions sur la manière de gérer les commissions consultatives spécialisées afin de maximiser l'impact de leurs politiques.     

政府间财政平衡体系与府际关系的调整——以统一后的德国为例

自1990年10月3日两德统一后,德国向东部地区提供的天文数字般的转移支付被视为人类历史上以金钱实现政治目的的经典范例。德国政府间财政平衡体系遵循财权事权相统一、创造与保障联邦国土内生活水平的一致性及均衡不同地域经济实力两大原则,并由纵向与横向两大维度构成。自统一以来,在政府间财政平衡体系的作用下,其府际关系呈现出联邦政府趋于强势、西东各州矛盾重重、均衡性(对称性)被打破等新动向。     

The emergence of public‐private partnerships (P3s) in Alberta: Lessons from the Anthony Henday highway

This article traces the emergence of public‐private partnerships (P3) in Alberta from 2003‐2016, using a case study of Edmonton's Anthony Henday highway projects. We describe how P3s emerged following dissatisfaction with the conventional delivery model, specifically with late project delivery and over‐budget performance, and the need to attract private financing arising from Alberta's fiscal deterioration beginning in 2001. We also highlight how political, policy, and organizational support were critical enablers of the emergence, acceptance and normalization of Alberta's P3 model.     

财政制度变革与社会经济发展

财政规定认可了不同主体的基本地位和基本权利,决定了不同主体的“生活机会”。它是权力资源在政治领域和经济领域之间进行配置,以及在不同主体之间——包括中央政府和地方政府之间进行配置的结果。财政制度是一国最基本的制度安排,不同的财政制度决定了不同的社会经济发展状况。     

论我国核心预算机构之构建

整个预算过程中,在行政机关内部确立核心的预算机构,对预算编制和预算执行具有重要意义。应当重视非行政机关预算案的编制问题,应将财政体制改革提升到政治体制改革的高度,整合财政部和国家发改委的职能,确立起核心预算机构,实现预算过程与政策过程的统一,保证预算权力运转的统一性、权威性,推动预算法治的实现。     

“Man plans,God laughs”: Canada's national strategy for protecting critical infrastructure

Critical Infrastructure Protection seeks to enhance the physical and cyber‐security of key public and private assets and mitigate the effects of natural disasters, industrial accidents and terrorist attacks. In 2009, several Canadian governments published the National Strategy and Action Plan for Critical Infrastructure (NS&AP), a framework for governments and the owners and operators of critical infrastructure – largely in the private sector – to collaborate on the security and increased resiliency of Canada's critical assets. Drawing on the social science risk literature, audits, and a three‐year research and education project, this article argues that the strategy of relationship building, collaborative risk management and information sharing is under‐developed and limited by market competition, incompatible institutional cultures, and legal, logistical and political constraints. The NS&AP should better delineate risks and identify how governments can work with industry, and acknowledge the paradox between trust and transparency, the role of small‐ and medium‐sized enterprise, and how risk management processes can vary.     

Rethinking policy capacity in Canada: The role of parties and election platforms in government policy‐making

Abstract: There is an ongoing debate in western industrialized democracies about the genesis of government policy capacity. This article examines this under‐explored issue by looking at the election campaign commitments made by political parties. The author reviews the election policy manifestos of the parties that governed in Canada from 1984 to 2008, some of the proposed policy changes advanced during election campaigns, and the actions taken by governing parties to fulfil those commitments. This research demonstrates that parties were relatively unconstrained in advancing detailed election platforms to the electorate and that they were able to fulfil, or partially fulfil, those commitments at fairly significant levels – particularly incumbent governments, who could draw on their governing experience and the policy advice given by the public service. The author contends that governing parties in Canada possess a high degree of policy‐making capacity and that they have the ability both to advance and implement fairly detailed plans for governing. These findings confirm that political parties are an important source of policy‐making capacity and that such capacity is enhanced by public‐service input.     

教育财政支出占GDP4％目标的实现与选择性政策执行——基于江西省县域面板数据的分析

现有的政策执行机制和地方财力是否能够确保1993年就已提出的“国家财政性教育投入占GDP4％”目标在2012年得到实现？江西省1997--2006年教育支出比重的变化显示,地方自有财力的增长并没有相应地提高教育的支出比重。中央的财政政策偏好对地方的财政支出结构有非常重要的影响。中国政策过程中的政治集权和干部管理上的组织控制,使得中央政府可以有效地影响地方政府的支出偏好,如果将教育投入比重达到GDP4％列为地方官员的政绩进行考核,并加大对欠发达地区教育的转移支付力度,就可以从改变官员的支出偏好和提供财力支持上保证这一目标的实现。     

Region‐building: Western Canadian joint cabinet meetings in the 2000s

Abstract: Joint cabinet meetings are increasingly used for inter‐governmental dialogue, at both international and sub‐state levels. Provincial governments in western Canada, in particular, have employed the joint cabinet meeting format, and, between 2003 and 2009, nine such joint cabinet meetings were held. The resulting inter‐provincial collaboration at these meetings produced over thirty inter‐provincial agreements. Using the details of these particular joint cabinet meetings as a case study, this article considers three questions: First, why do governments hold joint cabinet meetings? Second, are joint cabinet meetings effective mechanisms for inter‐governmental policy‐making? And, third, particular to the Canadian context, what are the implications of joint cabinet meetings for federalism and democracy? The author argues that joint cabinet meetings are designed to build relationships and trust between governments and to allow a “whole‐of‐government” approach for inter‐governmental policy‐making. The joint cabinet meeting model appears to facilitate expedient inter‐governmental policy‐making, but the effectiveness of the resulting policies depends on the political will of the participating governments. Furthermore, in the Canadian context, joint cabinet meetings have the potential of reinforcing regionalism and the undemocratic tendencies associated with executive federalism.     

应对突发事件，建设责任政府——海城豆奶中毒事件的启示

绝大多数政府在任期内都可能遭遇突发事件,从而形成对政府管理理念、应变能力、权力立场、公信程度、甚至是管理制度的挑战。以此案为例,揭示了一个地方政府在突发事件中暴露的行政职能失当、行政伦理失范、行政理念模糊、行政责任缺失和应急管理机制欠缺等问题。吸取教训的出路在于一改衙门政府为责任政府。具体的改革着力点,在制度层面,当务之急是建立获得公民认可、具有公共财政、管理公共事务、实施依法行政、奉行公共参与、满足公共利益、承担公共责任、接受公共监督的真正的公共行政;在技术层面则需要建立应对突发事件和危机的制度与机制。     

Solid‐waste contracting‐out,competition, and bidding practices among Canadian local governments

Abstract: Canadian local governments continue to rely on private contractors to produce services for their residents. A key expectation for those who contract out services is that unit costs will be lower than the costs incurred if public crews and equipment produced the same service. A principal reason for expecting lower costs is the assumption that private contractors are exposed to competition that induces companies to operate with mixes of capital, labour and technologies that are more efficient. This article compares public and contracted private production of residential solid‐waste collection in 327 local governments across Canada. Three complementary hypotheses that are grounded in the theory and research on local public economies are tested. The findings generally support contracting‐out as a way to reduce unit costs, although substantial public‐private differences occur only in communities less than 10,000 population. Further, where communities have divided up their residential solid‐waste collection between public and private producers, overall costs are lower than national averages, and contracted companies are substantially less costly than their public counterparts in the same local governments. Finally, in communities that have contracted out this service, the competitiveness of the bidding practices affects unit costs. Local governments that bid the service competitively enjoy a cost saving compared to those that renew their contract with the existing company.     

Fiscal rules in the Canadian provinces: Abject failure or qualified success?

Most Canadian provinces have introduced legislation to require politicians of all ideological stripes to meet annual balanced budget (BB) targets. Critics of this type of legislation argue that it is unnecessary, confining, and subject to manipulation. We examine provincial balanced budget legislation before and after the Great Recession and argue that the response of provinces needs to be evaluated taking into account the multiple objectives of fiscal policy and the behavioural changes that the rules introduce, including creative non‐compliance. Rules should be evaluated on their ability to contribute to good fiscal governance rather than on their stringency.     

Federal policy ideas and involvement in Canadian urban transit, 2002‐2017

Although provincial and local governments bear primary responsibility for urban transit projects and operations in Canada, the Government of Canada engages intermittently in this policy field, mainly through research and short‐term funding programs. This article analyzes federal policy concerning urban transit over the period 2002‐2017, with a substantive focus on policy ideas—the cognitive and normative concepts that provide direction for, and shape the perceived legitimacy of, policy choices. Through a thematic content analysis of policy documents, this article explicates the paradigms, programmatic foci, frames and public sentiments that have underpinned federal urban transit policy over this 15‐year period.     

Calling all citizens: The challenges of public consultation

Abstract: One way governments have responded to the heightened democratic discontent of recent years is to seek greater input from citizens in the policy‐making process in large‐scale public consultations. This article provides a case study of one such consultation. In the fall of 2002, the City of Saint John, faced with a sizeable budget deficit, sought public input on important fiscal decisions that had to be made before year's end. Citizens could provide their views in a traditional way ‐ by mailing in a questionnaire to city hall ‐ or they could submit their views electronically via the City of Saint John web site. Drawing on a wide variety of data sources, including interviews with city officials and a follow‐up survey of consultation participants, the authors assess the success of this particular exercise in achieving several interrelated objectives: facilitating citizen participation in public affairs, enhancing citizens' sense of their political efficacy, providing public officials with insight into public opinion, and shaping public policy. Taking into account both consultation outcomes and the expectations of citizens and officials, the authors identity key shortfalls of the Saint John consultation, as well as avenues for constructive change in future exercises. Sommaire: L'une des maniéres dont les gouvernements ont réagi au méontentement démocratique exacerbé. qui s'est manifesté ces derniéres années a été d'accroitre la participation des citoyens au processus d'éaboration de politiques en organisant des consultations publiques à grande échelle. Le présent article ést une étude de cas portant sur une de ces consultations. À L'automne de 2002, la ville de Saint‐John, faisant face à un gros déficit budgétairc, a cherchéà obtenir L'avis du public sur d'impor‐tantes décisions financiéres qui devaient être prises avant la fin de L'annee. Les cito‐yens avaient la possibilité de faire connaître leur opinion d'une façon traditionnelle en renvoyant un questionnaire par la poste à L'Hôtel de Ville, ou bien ils pouvaient soumettre leurs commentaires par voie électronique par L'intermédiaire du site Web de la Ville de Saint‐John. À partir d'une grande variété de sources de données, y compris des entrcvues avec des responsables municipaux et un sondage de suivi auprés dcs participants a la consultation, f'étude de cas évalue le succés de cet exer‐cice particulier à atteindre plusieurs objectifs interdépendants:faciliter la participation des citoyens aux affaires publiques, améliorer le sentiment d'efficacité politiquc chez les citoyens, permettre aux fonctionnaires de se faire une meilleure idée de L'opinion publiquc et façonner la politique publique. En tenant compte à la fois des résultats des consultations et des attentes des citoyens et des fonctionnaircs, nous identifions les principales lacunes de la consultation de Saint‐John ainsi que les moyens d'apporter des changements constructifs aux exercices futurs.     

Redistributive federalism: Redistributing wealth and income in the Canadian federation

The Government of Canada has been engaged in a massive redistribution of wealth and income from some provinces – usually British Columbia, Alberta and Ontario – to the other provinces and territories. This redistribution has been accomplished through a number of federal government programs that may have been presented to the public as having nation‐wide applicability and not necessarily designed to meet the needs of any particular province or territory. These federal programs are part of a coherent redistributive whole, but each demonstrates how redistribution has been accomplished. They include transfer programs, such as Equalization and Territorial Formula Financing, that have explicitly addressed the horizontal fiscal imbalance. They also include transfer programs like the Canada Health Transfer, the Canada Social Transfer, labour market training and development, and infrastructure that have implicitly moved federal fiscal resources to various regions of the country. And they include direct federal spending programs like Employment Insurance, immigrant settlement and regional economic development. The extent of this redistribution is discussed, as are the reasons for this redistributive focus and the impact of such large‐scale federal transfers on provincial budgets. Finally, an assessment is made of why the degree of redistribution appears to have been reduced in recent years.