【作者】 陈鹏辉；

【导师】 田秋生；

【作者基本信息】 华南理工大学 ， 金融工程与经济发展， 2014， 博士

【摘要】 中国是一个公共资源大国。公共资源出让收益分配长期以收益分享为主导，结果导致了公共资源出让收益分配中长期存在收益分享比例过高、留存比例过大、共享比例过小的不合理状况。中共十八大和十八届三中全会均明确强调推进公共资源出让收益分配改革，实现公共资源出让收益分配合理化。因而，公共资源出让收益分配改革成为目前我国收入分配改革的一项重要任务。本文的选题和研究所基于的正是这一背景。论文首先深刻阐述公共资源的本质属性、类型划分及边界动态性，揭示管制放松背景下公共资源权利多元化出让的趋势，并且探讨公共资源出让收益分配的特殊性及其所应遵循的原则。论文通过对现有各种分配方式及分配机制的配对筛选，从理论上构建“按需求共享与按贡献分享并存”的公共资源出让收益二元分配模式。并且，论文运用数理方法，构建了激励相容的公共资源出让收益分享模型和公共资源出让收益最优留存模型，推导出了公共资源出让收益的合理共享比例，使得“按需求共享与按贡献分享并存”二元分配模式科学化。此外，论文还以中央国有企业上缴红利为例，利用面板向量自回归模型进行实证检验，进一步证明公共资源出让收益二元分配模式的合理性和有效性。论文认为，公共资源不同权利出让收益的分配格局以及在分配中需要考虑因素是有所不同的。为此，公共资源临时权利出让收益要同时注重功能性分配和规模性分配；公共资源长期权利出让收益只需注重规模性分配；公共资源永久权利出让收益在不考虑下次公共资源永久权利出让之下，只需注重规模性分配；公共资源部分永久权利出让收益分配，因其已经由原来纯公共资源转化为准公共资源，故只能注重功能性分配。基于此，论文还在公共资源出让收益二元分配模式框架下，设计出公共资源临时权利出让收益、公共资源长期权利出让收益、公共资源永久权利出让收益、公共资源部分永久权利出让收益的二元分配机制，使得公共资源不同权利出让收益分配更加合理化。最后，论文还探讨了改革现行公共资源出让收益分配体制，由现行以分享为主导的分配模式走向以共享为主导的分配模式的思路与路径。更多还原

【Abstract】 China is a great power of public resource．The current distribution of public resourcesgranting earnings is dominated by earnings participation for a long time, which leads to theunreasonable situation that the proportion of earnings participation and retained earnings istoo high, as well as the proportion of earnings sharing is too low in the distribution of publicresources granting earnings. Both of the18th National Congress of the CPC and the ThirdPlenum of18th CPC Central Committee definitely emphasized promoting the reform ofpublic resources granting earnings distribution, and rationalizing the distribution of publicresources granting earnings．Therefore, the reform of public resources granting earningsdistribution is an important task of the reform of income distribution in our country atpresent．This paper’s topic and research is just based on this background．The paper deeply expounds the essential attribute, type classification and dynamicboundary of public resources at first, reveals the trend of diversified granting of publicresources rights under the deregulation background. The paper also explores the particularityand principle to follow of public resources granting earnings.The paper matches and screens the existing distribution mode and distributionmechanism, to constructs the binary distribution mode that "the coexistence with sharingaccording to demand and participation according to contribution" of public resources grantingearnings theoretically. Moreover, The paper uses the mathematical method to construct theincentive compatibility’ participation model and the optimal retained earnings model forpublic resources granting earnings, derived the reasonable share proportion of publicresources granting earnings, which make the binary distribution mode that "the coexistencewith sharing according to demand and participation according to contribution" morescientific．In addition, the paper also takes the turning in dividend in central state-ownedenterprises as example, uses the panel vector autoregressive model to conduct empirical test,to prove the rationality and validity of the binary distribution mode of public resourcesgranting earnings.The paper argues that the distribution pattern of different kind of public resources rights’granting earnings and the factors needing to consider in the distribution is different. Therefore,the public resources temporary rights’ granting earnings need to pay attention to both offunctional distribution and size distribution. The public resources long-term rights’ granting earnings only need to pay attention to the size distribution. The public resources permanentrights’granting earnings only need to pay attention to the size distribution without consideringthe next public resources permanent rights to granting. The public resources partial permanentrights’ granting earnings only need to pay attention to the functional distribution, because ithas transformed the pure public resources into the quasi-public resources．Based on these, thepaper also designed the binary distribution mechanism of public resources temporary rights’granting earnings, public resources long-term rights’ granting earnings, public resourcespermanent rights’ granting earnings and public resources partial permanent rights’ grantingearnings under the framework of binary distribution mode, which make the distribution ofdifferent kind of public resources rights’granting earnings is more reasonable．Finally, the paper also discussed the reform of the existing distribution system of publicresources granting earnings, with the ideas and paths of transferring from the currentdistribution pattern which is dominated by earnings participation to the distribution patternwhich is dominated by earnings share．更多还原