上海环境卫生基础设施投融资体制改革研究

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作者：李琴 论文级别：硕士 学科专业名称：世界经济 学位年度：2003 导师：夏嘉华 学科代码：020105 学位授予单位：华东师范大学 论文提交日期：2003-10-01

摘要

环境卫生基础设施是城市市政公用设施不可或缺的一部分，它具有城市基础设施的一般特征，又具有设施的系列性、遍布性等特殊性。从经济学属性来看，环卫基础设施属于公共物品，具有社会性、正的外部性、非排他性等特征。因此，环卫基础设施建设的发展很大程度取决于政府的政策导向、资金投入和配套制度。
     本文通过对现有环卫基础设施投融资体制的发展历程、现状以及未来规划的研究，指出上海坏卫设施建设发展已滞后于基础设施建设的发展，存在着环卫设施不足，处理工艺和装备水平落后，处理能力有限等种种不足，不仅造成了严重的环境污染，资源的浪费，还影响到了上海的可持续发展。由于上海现有环卫设施投融资体制存在的投资主体单一，效率低下，体制不完善以及资金来源有限，融资结构失衡等诸多缺陷，使得环卫设施投融资体制不能满足环卫行业的发展要求，不能形成环卫行业的良性循环机制，改革环卫设施投融资体制已是势在必行。
     本文指出，上海环卫设施投融资体制改革的目标就是要建立一个以市场为主导的，政府和非政府机构密切配合的多元化投融资主体和多样化建设运营方式的市场化投融资体制。本文运用相关经济学理论将上海的环卫基础设施项目分为非经营性项目、准经营性项目和经营性项目，指出在环卫基础设施投融资体制改革过程中，明确政府职能定位，建立环卫设施项目分类指导和投资制度，因地制宜地针对不同性质的项目采取相应的具体措施。
     上海要建立环卫设施市场化的投融资体制，就必须引入市场竞争，引导社会资本进入环卫设施投资与管理领域，提高财政资金使用效率，采用市场化的运作方式，盘活存量资产。在项目建设的过程中，根据不同阶段的不同要求，灵活使用各种融资工具。同时，我们还要发展新的投融资模式和工具，运用如专营权融资、市政债券、产业投资基金、融资租赁和集合式信托计划等新模式。
    
    }_海环境lj生菜础设施投融资体制改I口叶究
    摘要
    其中，要大力发展以BOT为代表的专营权融资以及融资租赁、信托计划等符合
    我国国情的投融资模式。
     本文进一步指出，环1兰基础设施投融资体制的改革是一个整体的系统_[程，
    它不仅需要采用新的投融资模式和方法，新的投融资指导思想，还需要系统内
    其他方面的制度改革和制度建设的配合，刁’能达到改革的目的:因此，政府制
    汀相关鼓励政策，进行相关的配套制度改革和制度建设是非常必要的。
The environmental and sanitary infrastructure is an indispensable part of the public facilities of a city. It not only embodies the general features of the public facilities, but it also has such special qualities as being systematic, extensive and so on. And from the economic point of view, the environmental and sanitary infrastructure, as public facilities, is open to the whole society, to every individual of the community, so the development of the construction of such infrastructure, to a great extent, depends on the efforts from governments at different levels: their policies, their investment and the establishment of corresponding systems.
    In this thesis, through the research on the evolution, the current situation and future plan of the current investing and financing system of the environmental and sanitary infrastructure, I'm trying to point out that , the construction of environmental and sanitary infrastructure in Shanghai has already lagged behind the development of the overall construction of the city infrastructure, with such manifestations as insufficient facilites, poor equipment and techniques, low operation capacity, and etc.. The facts mentioned above not only lead to serious environmental pollutions, considerable waste of resources, but also hold back the sustainable development of Shanghai. The problems with the current investing and financing system are the invariability of the investors, low efficiency, imperfect system, limited funding sources, the imbalance of the financing structure, and so on, because of which the investing and financing system can't meet the development of the construction of the evironmental and sanitary
     infrastructure and fails to establish an effective and positive mechanism in this trade. And thus, the reform of the investing and financing system for the construction of the environmental and sanitary infrastructure is a must.
    Also in this thesis I'm trying to state that the aim of the reform of the system is to build up a market oriented system model, with diversified investors and varied operational systems, and in which, market plays the leading role, government and non-government bodies cooperate. With the help of related economic theories, the
    
    
    
    thesis is trying to classify the environmental and sanitary infrastructure construction projects into three kinds: non-commercial projects, quasi-commercial projects and commercial projects. On the basis of the classification, in the process of the reform of the investing and financing system it's advisable to specify the function of the government, to set up the guidance of the project classification and investing system, and to adjust measures to cope with different projects aecoding to their varied conditions.
    To establish a market-oriented investing and financing system in Shanghai, it's essential to open the door for the market competition to attract social funds to invest in the construction and management of the environmental and sanitary system, to enhance the financial efficiency, to adopt a market operational system to use existed assats. And during the construction process of a certain project, various kinds of financing methods can be employed in different stages. Meanwhile, we need to develop new investing and financing models and methods, such as Franchise, Municipal Bonds, Fund, Financing Lease and Aggregated Trust Plan, Among those, we have to mainly develop the investing and financing models compatible with the conditions in our country, like Franchise, Financing Lease and Trust Plan.
    Furthermore, the reform of the investing and financing system in the construction of the environmental sanitary infrastructure is a large-scale systematic project. It not only demands the new investing and financing models and methods, but also needs new guidelines in this field, and what's more, to achieve the ultimate goal, the reform of the old policies and establishment of new policies inside the whole system should also keep up. So, it's essential for the government to set up related encouraging policie

引文

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