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水利资金配置理论与实证研究 【作者】王伟 【导师】冉光和

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4pj;j9YE4\,D2Gm,X0作者王伟导师冉光和
#wce0y#}0【作者基本信息】西南农业大学,农业经济管理学,2002年,博士

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【中文摘要】 本论文是关于水利资金配置问题的研究。该项研究的基本思路是:在借鉴前人的理论研究成果和紧密结合水利物品的经济属性基础之上,创造性地提出水利资金配置的理论框架或理论体系,并就其理论体系对照于1949年以来我国水利资金配置的实践,包括水利资金配置的总量变化、结构分布、增长趋势、投融资政策等做出实证分析,以揭示出我国水利资金配置存在的基本问题及其根源。在此基础上,深入研究水利资金配置的宏观监控规律并提出水利资金配置的政策措施。该项研究有三大目标:一是在理论篇通过借鉴和吸收前人的研究成果创建适合于市场经济运行环境的水利资金配置理论体系或框架;二是通过实证篇考察我国水利资金配置的历史实践,总结水利资金配置的运行规律并考究其存在的根本问题,以印证并检验所创建的理论体系;三是通过政策篇探索水利资金配置的宏观监控规律并提出政策措施。研究结果及政策运用如下: 1、水利资金的配置决定于水利物品设施的经济属性,水利物品有公共物品和私人物品之分,公共水利物品应由政府供给并决定其资金的配置,私人水利物品和准公共水利物品应由市场全部或部分地供给并决定相应的资金配置,政府只需给予适当的财政补贴、资金支持。政策优惠以及...更多为之创造良好的投资环境。水利基础设施即水利物品大多属于公共物品范畴,水利物品的经济属性基本渊源于公共物品理论,它决定了水利资金配置的具体方式和配置机制,是水利资金配置体制或机制的理论根据。水利物品的经济分析是水利资金配置理论构建的逻辑起点,由于水利物晶大多属公共物品,决定了其投资成本与规模和外部正效应排斥了市场配置的可能性,必须由政府全部介入,但水利私人物品和准公共水利物品完全可由市场全部或部分供给,政府只需要采取有效的激励措施,包括给予适当的财政补贴、政策扶持、环境条件,这一方面即可以充分利用市场效率为社会提供各种用途的水利基础设施,促进社会经济的可持续发展,又可以减轻政府的财政负担,为政府节约更多的资金用于社会经济发展的其它资金需求。 2、水利资金配置的理论框架是本论文创造性研究的核心,水利资金配置的一般规定性、水利资金配置基本要素、水利资金配置体制与机制、水利资金配置效率与方法及其全程控制等是水利资金配置理论框架的基本内容。马克思的资本运行理论揭示了资本运动、增殖和循环的内在机制、水利资金的运行轨迹同样遵循这一机制。水利资金合理配置必须追逐经济效益、社会效益和生态效益的最优化,以满足社会经济发展对水利物品的多方面需要,因而应坚持社会、经济和生态效益原则,进行权衡比较,决定配置规模和配置结构。水利资金配置的基本要素包括时间、空间(地域)、项目(不同用途)、数量四个方面的内容,它们共同反映了一定时期一定条件下水利资金的配置状态和分布结构,是均衡配置水利资金的基础。水利资金的均衡配置既体现在空间(地域)分布上,又体现在不同项目不同用途上。在不同的时间使用相同的资金其价值是不同的,水利资金配置既要选择恰当的时间,又要考虑资金的时间价值,同时,还必须考虑水利资金的使用规模与结构。水利资金的配置经历了两种体制变迁,不同的体制下水利资金运行机制不同,计划体制下水利资金来源呈现“二元结构”,配置机制僵化,除了水利公共品外,准公共水利物品和私人水利物品无法满足人们的巨大需求,市场体制下如果政府介入过少,水利公共品和准公共水利物品的一部分将供给不足,并且容易导致自然垄断的外部不经济性.因而,合理的水利资金配置体制应是计划与市场的有机耦合.水利资金配置的效益要求提高水利资金配置的效率,根本途径是采用正确有效的配置方法,衡量配置效率最重要的指标是项目成功度.此外,还可以利用其他指标体系进行衡量.西方经济学中资源配置的技术经济方法同样适用于水利资金配置的技术性问题,建立水利资金配置的方法理论需要从中吸取理论营养.一般说来,水利资金配置的方法有概预算配置法、线性规划法、增量费用效益比法和多因素综合评价分析法等。不同的方法其配置的背景不同.马克思资本运行理论的运用是揭示水利资金运行规律、研究水利资金配置全程控制的基础和前提.水利资金配置需要采取“全程控制”措施,防止资金的漏损和流失.全程控制是跟踪水利资金运行全程,采用经济的、技术的、法律的和行政的手段对每一个阶段的成本、运行质量、效率和效果进行监控,以达到水利资金运行的安全和最大限度的增值的目标. 3、水利投融资政策是影响一国水利资金筹集、配置和3ffe等的关键因素,决定着水利资金配置的规模、投向和运行机制的灵活性.水利投融资政策包括水利投资政策、水利融资政策和投资补偿政策三部分,通过美国、日本、澳大利亚、印度等国家与我国水利投融资政策的比较,发现存在的共性是,政府充当水利投资的主要角色,各国均注重水利项目的区分和各级政 季府间事权与投资比例分摊,广辟多元化融资渠道,注重水利项目的可持续发展等;差异在于,各国的水利投融资政策体现的投资重点不同,资金使用效率或方  还原

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n@bE4[+G$j0【英文摘要】 The study is focused on the allocation theory of water-funds of China and its positive analyses from 1952 to 2000. During this period both planning and market economic system has evolved about 50 years.There are lots of causes for the research, but major ones are as follows: (1) the water-funds allocation mechanism and approaches are determined by the changes of the economic institutions; (2) in the future the contradiction of supply and demand of the water-funds will be outstanding in China, which need more rationally to allocate the water-funds; (3) now there is no a complete theoretical system concerning the allocation of water-funds that can guide its practices so that the current allocation of water-funds has little spontaneity and blindness. It is of significant importance to speed up the theoretical and positive research of water-funds allocation.The basic research approaches of the study are the normative and positive analyses and the logical and historical analyses. The techno...更多logic route of the study is from the theoretical analysis part, die positive analysis part and to policy analysis part What is the line of thought of the study? Based on the theoretical research achievement of the predecessors, we created innovatively a theoretical framework and analyzed the practice of the water-funds allocation in which it contains the changes of the sum of water-funds allocation, its distributing structure, the increasing tendency, the investment and financial policies from the time of our country setting up to nowadays, and then studied the existing problems of the water-funds allocation and the causes in China. We analyzed the principle of macro-adjustment and put forward the appropriate policies of water-funds allocation. The theoretical sources of the study come from the theory of Marxist capital allocation, the theory of public goods, die theory of resource allocation in West Economics. The main findings are as follows:1. The water-fends allocation depends on the economic attributes of water goods and the given economic institations; the bask theoretical framework contains the general prescription, the basic factors, the institutions and mechanism, the efficiency and methods and monitoring of the full process of water-rands allocation. The economic analysis of water-goods is the logicalstarting of the theory of water-funds allocation. The investment costs and external economies of the public water-goods deny the possibility of market allocation and need government intervention. The private and near public water-goods are provided wholly or partly by market under the encouraging measures of the government in order to ease the government revenue burdens. The rational allocation of water-funds means the maximum benefits of the economy, of the society, of the ecology in order to meet the many-faceted demands. The scale and structure of water-funds allocation are determined by the principle of the social, economic, ecological benefits. The basic factors of the water-funds allocation include time, space, project and quantity. They determine the allocating position and distributing structure of water-funds in the given period and conditions. The economic institutions that provide encouraging and restricting mechanisms for the economic system have passed through the historical changes of two economic systems (i.e. the planning system and the market system). The institutions of rational water-funds allocation should be based on the planning-market mixed system. The effective methods of water-funds allocation are the important approach of optimizing the water-funds benefits. The water-funds allocating methods include the way of near-budget allocation, the way of linear programming, the way of the proportion of margin cost and benefit, the way of comprehensive assessment for multi-factors. The mechanisms of the full-process monitoring should be established to prevent water-funds from losing and to realize the basic goals of the operation safety and the maximum value of water-funds.2. The water invest  还原

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【中文关键词】 水利资金; 配置理论; 实证研究水利论文]J\%{a%R#D
【英文关键词】 Water-funds; Allocation theory; Positive research水利论文 Cc N1O5uE

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TAG: 导师 水利 王伟 实证 冉光和
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