【作者】 吴卫红；

【导师】 张大红；

【作者基本信息】 北京林业大学 ， 农林经济管理， 2008， 博士

【摘要】 本文以政府投资营造林项目作为研究对象,对其投资全过程的监管体系进行了研究,主要做了以下几方面的工作。(1)阐明了政府投资营造林项目监管的理论框架。政府投资营造林项目监管的主要理论有委托代理、政府失灵和监管理论。正是因为存在多重委托代理关系,委托人和被委托人所追求的目标的差异决定了“监督政府”和“政府监督”是构建政府投资营造林项目监管体系的关键,决定了社会公众作为委托人的监督权利和政府作为委托人对营造林项目相关单位的监管。“政府失灵”理论启示,有必要通过监管根除寻租和腐败,实现政府投资效益的最大化。监管理论指明本文研究的监管体系所涉及的具体范围。(2)对国内外营造林项目的监管进行梳理,指明监管方向。本文对建国以来我国的营造林发展历程进行梳理,指出各阶段营造林项目监管过程中存在的问题,并经过分析得出我国营造林项目投资效率比较低的结论,从问题和效率的角度指出加强政府投资营造林项目监管的必要性。对国外营造林项目宏观、微观监管方法进行了分析整理,为建立我国营造林项目的科学监管体系提供经验借鉴。(3)设计了政府投资营造林项目全过程监管指标体系。本文针对政府投资营造林项目的投资前期、投资期和投资后期的全过程设计了状态层、描述层和操作层共41个指标。其中,投资前期设计了6个描述层指标,11个操作层指标;投资期设计了7个描述层指标,25个操作层指标;投资后期设计了3个描述层指标和6个操作层指标。利用层次分析法根据专家问卷的结果确定各状态层、描述层指标的权重,设计了各指标的评分标准,根据权重和标准分别明确了投资前期、投资期和投资后期以及整个项目全过程的监管指数,以对具体项目的运作情况进行评价。根据这套指标体系可以对政府投资营造林项目实现动态、全方位的监管。(4)构建了政府投资营造林项目全过程监管模式。论文在遵循《国务院关于投资体制改革的决定》的指导原则下,分析现有监管模式存在的问题,构建了政府投资营造林项目投资前期、投资期、投资后期和全过程的监管模式。所构建的监管模式有几个特点:借鉴国外经验,建立政府投资项目的专门监管机构,对国家出资项目实现独立监管;对政府投资项目建设管理实行全过程、全方位的监管,构建的监管模式涵盖项目的全过程,同时在监管体系中加入社会公众、媒体的监督,实现全方位监管;在监管模式中,强调利用中介机构的力量实现高效率、专业化监管;强调责任追究原则,在监管模式中对相关责任人要交纪检、监察部门或司法机关处理。在全过程监管模式中强调职责分工要明确,对国家相关部门和林业部门等的职责进行界定,以提高监管效率。指出为实现监管目的,需要的相应支持手段。包括要制定一套项目监管的法规制度;要设立相关的监测系统,对项目建设过程进行实时监控和评价;对项目参建单位及其人员的业绩、信誉等实行动态评分管理制度等。(5)对政府投资营造林项目的监管指标进行案例分析。论文以北京市门头沟区2006年京津风沙源治理工程中的营造林项目为例,对本文设计的营造林项目投资期的监管指标进行应用。更多还原

【Abstract】 Based on government investment afforestation projects as the research object, the entire course of their investment regulation system was studied, mainly on the following aspects of work.(1)Illumination of the theory frame of the regulation of government investment in afforestation projects.The primary theory of government investment in afforestation projects is including principal-agent, government failure, and regulation theory. Just because that there are multi-ply principal-agent relationship, the different goal between of trustee and assignee decide that“supervise government”and“government regulation”is the key of the construction of the regulation system of government investment in afforestation projects, decide the superintendence of the public and the regulation of the government as the trustee.“Government failure”theory tells us that it is necessary to deracinate rent-seeking and corruption through supervision to realize the maximum utility of the government investment. Regulation theory demonstrates the bound of this paper.(2) Introduce of the regulation of afforestation projects inside and outside of the country to demonstrate the regulation way.This paper introduced the developing course of afforestation projects in our country since 1949, demonstrating many problems in the regulation course, then conclude that the investment efficiency is inferior, and demonstrated the necessity of government investment in afforestation projects regulation from the angle of issues and efficiency. This paper also analyzed the development, the microcosmic and macrocosmic means of afforestation projects regulation in foreign country, offering experience for the construction of scientific afforestation projects regulation system in our country.(3)Design the supervision and guideline system for the entire process of the government investment of the afforestation projects.The thesis has designed 41 guidelines in total for the entire government investment in the earlier stage, in the scheduled time and in the later stage of the afforestation projects. Among them, 6 describing guidelines and 11 operating guidelines have been designed in the first stage; 7 describing guidelines and 25 operating guidelines have been designed in the second stage; 3 describing guidelines and 6 operating guidelines have been designed in the last stage. Taking advantages of step analysis in the light of expert questionnaire’s results to make sure the importance of every state stage and describing guidelines and to design the grading standards of every guideline, from which, delimiting the index for the three investing stages and the whole process of the project respectively. According to the guideline system, it is possible to oversee the government investment of the afforestation projects in every developments and aspects.(4) Construction the supervise pattern for the entire process of the governmental investment of the afforestation projects.Guiding by "State Council’s decision about reform of the investment system", the thesis has analyzed the problems of the existed supervise pattern and has structured the supervise pattern for the governmental investment of the afforestation projects in the earlier stage, in the scheduled time, in the later stage and the entire process. The supervise pattern has several characteristics: making reference of other countries’ experiences, specialized institutions should be established to provide professionalized inspection; All-direction inspection to the governmental investing projects should be achieved, which requires the supervise pattern is implemented in every developments and aspects as well as the public of society and the medium supervision participate in it. Highly efficient and professional inspection which is provided by the intermediary organs should be emphasized in the system. The responsibility investigates principles should be emphasized. The person who is in charge of the project should be sent to the discipline inspection institution, supervision institution or judicial authority when it is necessary. Regulatory approach in the whole process of division of responsibilities must be clear that the relevant state departments and the forestry sector, such as defining the duties and responsibilities to improve regulatory efficiency. This paper pointed out that to achieve regulatory purposes, the corresponding support is necessary: including developing a set of regulatory laws and regulations; establishment of related monitoring and evaluation (assessment) system, which gives the construction of the project for real-time process monitoring and evaluation; participation units of the project and staff performance, and reputation and dynamic score management systems and so on.(5) Case analyze of government investment afforestation project regulation indicators.Taking the Mentougou District the afforestation project in the 2006 Beijing and Tianjin sandstorm source treatment project as an example, it applied the regulation indicators of afforestation project investment period established by this paper.更多还原