【作者】 徐龙；

【导师】 夏自谦；

【作者基本信息】 北京林业大学 ， 农林经济管理， 2010， 博士

【摘要】 由于林业生态工程的公共物品特征,国家投资一直是其建设的主导形式。其中,投资管理体制是影响林业生态工程建设的关键与核心。长期以来,由于受计划经济体制的束缚和影响,我国林业生态工程投资管理体制滞后于国家投资管理体制改革的步伐,影响和制约了林业生态建设。因此,探索建立符合林业生态工程特点、科学合理的投资管理体制,已成为理论和实践的迫切需求。本文的研究就是在这一背景下展开的,并得出了以下研究结论：第一,对林业投资管理体制演变过程的研究表明：随着林业分类经营模式的改革,商品林投资主体已经形成多元化格局,其经营模式也不同程度的引入了市场竞争机制,但林业生态工程的投资管理体制依然在一定程度上沿用传统的“基数法”管理模式,较之计划经济时期没有明显的改变。只是在管理权限上强化了国家综合部门计划资金管理职能,弱化了部门管理职能,明显表现出“一放一收”的特征。第二,对林业生态工程投资管理特征研究表明：相对其他工程而言,林业生态工程具有自然属性、社会属性和经济属性特征。其中,自然属性将导致投资管理的不可控性加大；社会属性将导致诸如生产生活方式、宗教信仰等因素对投资效果的潜在威胁更加明显；而经济属性中的公共物品特征将导致投资管理中可供选择的激励和约束等市场工具明显缺乏。第三,显然对林业生态工程投资管理体制的演变过程和其投资管理特征的研究,还不足以构成构建合理投资管理体制的有效依据。为此本文以三北防护林为重点,对目前中国“五大”林业生态重点工程的投资管理体制的现状进行了深入的分析研究和全面评价。这一研究表明：在投资结构方面,投资主体多元化趋势有所加强,但政府主导投资的状况并没有明显改变；在投资总体规模上,林业生态工程呈现快速、持续上升趋势,但单位投资增长并不明显；在投资管理上,虽然明确责任到省,但由于宏观管理体制的原因,林业生态工程的责任主体实际处于虚置状态；在投资规划与决策方面,尚未建立起十分有效地科学规划与决策机制。第四,划分了林业生态工程投资建设阶段。结合林业生态工程实践,研究确定了林业生态工程投资建设五个阶段,分别是：投资前期准备阶段、投资实施阶段、竣工验收阶段、竣工后管护阶段与后评估阶段,明确了不同投资建设阶段的特点与任务。第五,构建了林业生态工程投资管理体制。建立了林业生态工程长效投入保障机制,主要包括建立林业生态工程稳定的投资渠道、将林业生态工程投资纳入公共财政范畴、鼓励引导社会资金进行林业生态工程建设等；提出了林业生态工程投资管理体制组织管理结构模式,研究确立了中央和省级林业生态工程投资管理中心的组织管理系统应按矩阵式设置；提出了林业生态工程项目管理的法人负责制、招投标制、监理制构建的框架与建议等。第六,提出了林业生态工程投资管理内部控制机制的构建。研究确定了林业生态工程投资管理内部控制的主体是建设单位、政府与社会,客体是经济业务与投资管理活动；提出了投资前期准备阶段、投资实施阶段、竣工决算阶段投资内部控制的重点架构；提出了林业生态工程投资建设五个阶段与内部控制体系八要素可以构成一个包括四十个点的矩阵等。更多还原

【Abstract】 Due to public goods characteristics of the forestry ecological engineerings, state investment has been the dominant form of its recommendations. Among them, the investment management system is the key core of impacting the constructing of forest ecological engineerings. For a long time, because of the shackle and influence of the planned economic system, investment management system of forestry ecological engineerings lags behind the pace of national investment management system, impacts and constraints construction of forestry ecological. Therefore, to explore the establishment of forestry projects in line with the characteristics of forestry ecological engineerings,scientific and reasonable investment management system has become the urgent needs of the theory and practice. This study was carried out in this context, and reached the following conclusions:Firstly, the study of evolvement process of forestry investment management system shows that: With the reform of forest classification business model, investment entities of goods has diversified into multi-polarized frame, its business model has introduced market competition mechanism to some extent, but investment management system of forestry ecological engineerings is still used the traditional management style of "base to follow the example" to some extent, It has not changed significantly than the planned economy era. It has only strengthened provincial administration in the administrative rights, weakened the county administration and evidented the feature of the " maximize vs. minimize ".Secondly, the studies of investment management of forestry ecological engineering suggest that: compared to other projects, forestry ecological engineering has the natural attributes, social attributes and ecological attributes. The natural attributes will result in controllability of investment management increasing, social attributes will lead to such as the production life, religion and other factors to the potential threat o f investment effect more obvious, and public goods characteristics of economic attributes will lead to the apparent lack of incentive and restraint market instruments which can be alternatived in investment management.Thirdly, obviously,the research of evolution of investment management of management system of forestry ecological engineering and features of investment management do not constitute valid basises of building reasonable the investment management system.This article focus on Three-North Shelterbelt and make a comprehensive assessment for the current China implemented investment management system of’six" forestry engineerings. This study shows that:The diversification trend of the investment structure and subject have been strengthened, but the status of government-led investment has not significantly changed; in the overall scale of investment,ecological forest engineering show rapid, sustained upward trend, but the growth of unit investment is not obvious; in investment management, although it has a clear responsibility to the provinces, the main responsibility for forest ecological engineerings in virtual reality home state because of the reasons for macro-management system; in Investment planning and decision-making, it has not yet established a very effective planning and decision-making mechanism.Fourthly, This study divided investment and construction stage of forestry ecological engineerings. Combination with the practice of forestry ecological engineerings, the study identified the five phases of investment and construction of forest ecological projects, namely, investment preparation stage, the investment implementation phase, the final acceptance stage, management and protection stage of after the completion and after the assessment phase, and definituded different characteristics and tasks in the different investment and construction phase.Fifthly, This study constructs implementation system of investment management system of forestry ecological engineering. The long-term investment protection mechanism of forestry ecological engineering:establish a stable investment channel of forestry ecological engineering, take forestry ecological engineering investment into the public finance area, and encourage and guide social capital for the construction of forest ecological engineerings etc.; propose organization and management structure model of the investment management system of forestry ecological engineering,the study establish that the central, provincial, city and county organization management system of investment management Center of forestry ecological engineerings should be set as Matrix; propose the framework and suggestions of corporate responsibility, bidding system, supervision system construction of project management of forestry ecological engineerings.Sixthly, this paper proposes reasonable inner control of forest ecoengineering and raise theory on main parts and objects of investment. Particularly, investment main parts are construction, government and society; objects are economic activities and management; next, it also come up with main organization which includes preparatory phase, implement phase, completed phase. In addition, author presents 40-point arrays which adds 5-phase theory to 8-factor.更多还原