【作者】 汪斌；

【导师】 张阳；

【作者基本信息】 河海大学 ， 技术经济及管理， 2007， 博士

【摘要】 随着市场化改革和政府职能的转变，传统计划经济体制下的水利工程建设管理体系正在发生变化，尤其是具有公益性特征的水利工程建设管理逐步向专业化方向发展。水利工程建设管理专业化改革是国家建设管理体制改革的一部分，为了适应市场体制改革的要求，我国近年来主要针对非经营性的政府投资项目积极推进专业化改革，许多水利工程的公益性特征使专业化建设管理体制改革成为水利行业中十分关注的问题。本论文以项目治理理论为基础对公益性水利工程内、外部治理结构及其优化进行了理论分析，并结合问卷调研进行相关管理体制的调查分析。在此基础上论文对我国公益性水利工程专业化建设管理体制的结构和内容进行的探讨，提出专业化建设管理体制的改革和转型的建议，并运用论文的理论框架对水利部淮河水利委员会专业化建设管理体制改革进行个案分析。 首先，对公益性水利工程专业化建设管理的项目治理内容进行分析。提出了公益性水利工程专业化建设管理的发展方向与项目治理具有内在一致性同时具有其特殊性。项目治理理论体现了公益性水利工程建设的专业性和公益性要求，这是本文研究的理论前提。项目治理理论决定了公益性水利工程治理分为内部治理和外部治理两部分。 其次，论文分析了内部治理主体，包括政府部门、代建单位、使用单位、承包商等，及其各自的职能安排。认为内部治理机制包括激励机制、信号显示机制、风险机制等。从委托代理理论的角度出发重点分析了委托单位、代建单位、使用单位三方治理的契约关系并提出了优化方案。通过调查分析，研究了代建单位的治理机制，提出了影响代建单位发展的主要因素。同时，论文分析了公益性水利工程专业化建设管理的外部治理机制。其中外部治理主体包括社会公众、政府、竞争性市场，结合调查分析，本文提炼了外部治理主体因素，与理论分析基本吻合。分析了这些主体发挥的主要作用，以及发挥作用的主要原因。 再次，论文分析了传统建设管理体制向专业化建设管理体制转型。认为建设管理体制转型的主要原因是为了促进项目治理效率的提高。建设管理体制转型的主要特征有：转型的方向是向市场配置转变，转型的过程是强制性的制度变迁，转型的手段是政府职能的转变。提出了代建单位的转变分两部分，其内需要职能和组织形式的转变；其外需要外部环境的支撑。 最后，论文运用前面构建的公益性水利工程专业化建设管理体制的理论框架，分析了水利部淮河水利委员会的专业化建设管理体制改革和转变。突出分析了淮委在建设局的改革试点以及在专业化建设管理体制改革过程中积累的经验更多还原

【Abstract】 With the market-oriented reform and government functions changing, water resource project management system has been changing under the traditional planned economic system, particularly public-spirited water resource project develops gradually in the direction of specialization. The professional reform of water resource project is one part of our country’s construction management system reforming. In order to meet the demands of the market system, China will mainly promote public-spirited government investment projects professional reform in recent years, professional reform has became very important in water industry because of public-spirited features. This paper studies the internal and external governance structures, also optimization of public-spirited water resource projects based on project governance theory, then making empirical analysis for the management system with a questionnaire. On the basis of them, the paper discuses the structures and contents of our country’s professional building management system. And put forwards the proposals for professional building management system reforming and transiting, finally applies the theoretical framework in HuaiHe River Commission Ministry of water resources specialization reforming.Firstly, the paper analyzes the contents of water project governance of professional building management, considers that the development of water project professional management system is consistent with Project Governance, there are also particularities between them. Project Governance Theory embodies the characteristics of public-spirited and professional features of water resource project, which are theoretical premise of the paper. Water project governance is divided into internal and external governance with the theory.Secondly, the paper analyzes the internal governance of public-spirited water resource project. The internal governance bodies include governments, agent units, using units, Contractors and so on, we study their functions respectively. then the paper studies contractual relationships of tripartite governance (agent unit, government and using unit), and provides optimized programs. The paper considers that internal governance system is composed of incentive mechanism, signals mechanism and risk mechanism. With the empirical study, we analyze the governance mechanism of agent units, come up with major factors affecting the development of agent units. Then, the paper analyzes the external governance mechanism of water resource project professional management, and considers that the external governance bodies are composed of social people, government and competitive market. The paper更多还原