我国城市水务基础设施投融资问题研究
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摘要
投融资体制是影响城市水务基础设施产业运行效率的关键因素之一，建立完善的投融资体制成为城市水务基础设施产业生存发展的必然要求。我国水务产业客观的发展前景随着水行业市场化改革的深入而逐渐显露出来，而我国城市水务基础设施投融资体制明显严重不适应水务领域的发展。现实环境逼迫我们要抓住机遇，迎接挑战，探索水务等基础设施和基础产业的发展振兴之路，对阻碍基础领域发展的因素如政府过度干预、市场管制、大量垄断和行政性分割等，大胆进行改革，理顺投融资体制。
本文的研究正是基于认识到投融资体制问题对我国城市水务基础设施产业运营的重要影响，试图分析研究市场经济发达国家在城市水务基础设施投融资管理和运行机制方面的一般规律，从中找出我国城市水务基础设施投融资体制改革的方向和途径。本文重点介绍了法国、英国和马来西亚等国城市水务基础设施投融资体制的发展轨迹和管理做法，总结出体制转轨国家改革成功的经验及投融资体制的一般模式。既而进行国内外分析对比，得出我国城市水务基础设施产业发展过程中投融资体制存在的主要缺陷，并以我国社会主义市场经济理论为指导，运用理论联系实际的思想方法，结合国情探索我国城市水务基础设施产业投融资体制的可行方向和实施途径，即建立市场化城市水务基础设施投融资体制。同时就如何建立市场化城市水务基础设施投资体制和融资体制展开论述。本文最后结合深圳特区水务基础设施投融资策略进行了案例分析。
Investment and finance system is one of the key points which have remarkable effects on the water infrastructure industry. In order to develop the water infrastructure industry, it’s necessary to consummate investment and finance system. The remarkable prospect of Chinese water infrastructure industry has emerged with the “market-oriented” reform of water industry. Meanwhile, the investment and finance system of Chinese water industry obviously cannot keep up with the rapid development of water market. The situation forces us to meet the challenge and at the same time grasp the opportunities. We should seek after the best way to flourish the water infrastructure industry and reform the barriers such as government excessive interference and administrative monopoly. It has become a popular hot issue in water industry circles throughout the world and in China to enhance the research of investment and finance system.
This thesis is born from realizing the important role of the investment and finance system it plays in the development of water infrastructure industry, and focused on finding out the directions and approaches to reform the investment and finance system of Chinese water infrastructure industry through the study of the management and operating mechanism which developed countries with market economy have in the same region. This thesis mainly introduces the development processes and administrative methods of the investment and finance system of water infrastructure industry in France, U.K. and Malaysia, and thus summarizes the successful reform experience and general styles of the investment and finance system. This thesis presents the main problems and difficulties in the investment and finance system of Chinese water infrastructure industry by contrasting the difference between China and other countries. The thesis uses a Marxist dialectical materialist viewpoint under the guidance of Chinese socialistic market economy theories. The research it uses as reference is infrastructure-operating theory and practices of countries that have mature developed water industry. The thesis is in accordance with water industry operation rules. The focus is on feasible orientation and implemental measure---establishing the market-oriented investment and finance system. The end chapter of the thesis is case-study of the ways of the investment and finance system in Shenzhen SEZ water industry.
本文的研究正是基于认识到投融资体制问题对我国城市水务基础设施产业运营的重要影响，试图分析研究市场经济发达国家在城市水务基础设施投融资管理和运行机制方面的一般规律，从中找出我国城市水务基础设施投融资体制改革的方向和途径。本文重点介绍了法国、英国和马来西亚等国城市水务基础设施投融资体制的发展轨迹和管理做法，总结出体制转轨国家改革成功的经验及投融资体制的一般模式。既而进行国内外分析对比，得出我国城市水务基础设施产业发展过程中投融资体制存在的主要缺陷，并以我国社会主义市场经济理论为指导，运用理论联系实际的思想方法，结合国情探索我国城市水务基础设施产业投融资体制的可行方向和实施途径，即建立市场化城市水务基础设施投融资体制。同时就如何建立市场化城市水务基础设施投资体制和融资体制展开论述。本文最后结合深圳特区水务基础设施投融资策略进行了案例分析。
Investment and finance system is one of the key points which have remarkable effects on the water infrastructure industry. In order to develop the water infrastructure industry, it’s necessary to consummate investment and finance system. The remarkable prospect of Chinese water infrastructure industry has emerged with the “market-oriented” reform of water industry. Meanwhile, the investment and finance system of Chinese water industry obviously cannot keep up with the rapid development of water market. The situation forces us to meet the challenge and at the same time grasp the opportunities. We should seek after the best way to flourish the water infrastructure industry and reform the barriers such as government excessive interference and administrative monopoly. It has become a popular hot issue in water industry circles throughout the world and in China to enhance the research of investment and finance system.
This thesis is born from realizing the important role of the investment and finance system it plays in the development of water infrastructure industry, and focused on finding out the directions and approaches to reform the investment and finance system of Chinese water infrastructure industry through the study of the management and operating mechanism which developed countries with market economy have in the same region. This thesis mainly introduces the development processes and administrative methods of the investment and finance system of water infrastructure industry in France, U.K. and Malaysia, and thus summarizes the successful reform experience and general styles of the investment and finance system. This thesis presents the main problems and difficulties in the investment and finance system of Chinese water infrastructure industry by contrasting the difference between China and other countries. The thesis uses a Marxist dialectical materialist viewpoint under the guidance of Chinese socialistic market economy theories. The research it uses as reference is infrastructure-operating theory and practices of countries that have mature developed water industry. The thesis is in accordance with water industry operation rules. The focus is on feasible orientation and implemental measure---establishing the market-oriented investment and finance system. The end chapter of the thesis is case-study of the ways of the investment and finance system in Shenzhen SEZ water industry.
引文
[1]建设部，《国外城市基础设施投融资比较研究报告》，内部资料，2001
[2]李荣融，《外国投融资体制研究》，北京：中国计划出版社，2000
[3]唐建新、杨军，《基础设施与经济发展》，武汉：武汉大学出版社，2003
[4]杨鲁豫，“法国城市水业经营管理”，《中国水业论文集》，2002
[5]李俊元，《投融资体制比较》，北京：机械工业出版社，2003
[6]朱会冲、张燎，《基础设施项目投融资理论与实务》，上海：复旦大学出版社，2002
[7]姚文彧、郑海良，“中国水务市场的现状与发展趋势”，《中国给水排水》，2002, (1)
[8]秦虹，“论市政公用设施服务的市场化供给”，《公用事业民营化高级论坛论文集》，2003
[9]雒亚龙，“中国的公用事业民营化浪潮”，《公用事业民营化高级论坛论文集》，2003
[10]水利部水资源司，“中国的水务管理”，中国水势网，2003-11-03
[11]王俊豪，《英国政府管理体制改革研究》，上海：上海三联书店出版，1998
[12]魏杰，“变国企产权一元化为多元化”，香港大公报，2000-12-6
[13]刘世庆，“加入WTO与城市供水产业竞争化改革”，学说连线网，2002-11-24
[14]赵齐宏，“供水产业的改革与私营化——马来西亚的实践和经验”，中国水星网，2000-07-03
[15]卢汉林，《国际投融资》，武汉：武汉大学出版社，1998
[16]迟福林，《走入21世纪的中国基础设施领域改革》，北京：中国经济出版社，2000
[17]秦虹，“中国市政公用设施投融资现状与改革方向”，中国城市建设信息网，2003
[18]汪文祥，《西部开发重大基础设施投融资方式研究》，北京：中国计划出版社，2002
[19]钱伟荣，《国有企业产权改革研究》，北京：经济管理出版社，2003
[20]建设部，“民间资本如何参与城市基础设施建设”，工程造价信息网，2003-6-24
[21]王大用，“民营企业参与城市基础设施投资及相应的融资方式”，《全国城市
污水处理设施建设经验与技术研讨交流会》，2002-12-19
[22]王金存，“从国有企业发展的世界趋势看我国国有企业深化改革的途径”，《供水企业改革决策者参考资料汇编》，2000
[23]国际水协（IWSA）、刘晓玲译，“关于私营公司参与供水管理和经营的国际报告（1999年布宜诺斯艾利斯）”，《供水企业改革决策者参考资料汇编》，2000
[24]郑海良，“略论21世纪中国供水企业的市场化模式”，《中国给水排水》，2000
[25]华成，“我国城市水业的市场化模式”，中国水利网，2004-2-27
[26]万军，“英国的水价管理”，《人民长江》，2001-6-18
[27]矫勇、陈明忠、石波、孙平生，“英国法国水资源管理制度的考察”，《中国水利》，2001,(3)
[28]陈建明，“法国水价制度研究”，中国农村水电及电气化信息网，2002-10-30
[29]国家信息中心，《中国供排水行业分析报告》，内部资料，2003
[30]付涛，“城市水业的产权问题和产业化”，《清华水业蓝皮书》，2004
[31]傅涛、陈吉宁、常杪，“城市水业投融资机制与资本战略”，《清华水业蓝皮书》，2004
[32]清华水业政策研究组，“城市水业的认识误区与政府角色”，《清华水业蓝皮书》，2004
[33]宋序彤，“中国城市供水排水发展特征及未来发展有关问题”,《21世纪中国城市水管理国际研讨会》，1999-9-1
[34]辛成安、张剑，“供水企业国有资本拓展水务市场的探讨”,《深圳水务》，2003，(6)
[35]张军，“供水企业投资风险初探”，《中国水业论文集》，2002
[36]施熙灿，“国外（地区）水价研究”，中国水利科技网，2002-4-21
[37] Florence Bonnet，“Topical Issues in French Public-Private Partnership”，《“21世纪国际城市污水处理及资源化发展战略研讨会与展览会”会议论文》，2001
[38] International Finance Corporation, Financing Private Infrastructure, The World Bank, Washington, D.C., 1995
[39]Dieter Helm, Tim Jenkinson, The Assessment: Introducing Competition into Regulated Industry, Oxford Review of Economic Policy, 1997(13):1-14
[40]James C. Van Horne, John M. Wachowicz, Jr. Fundamentals of Financial Management (Tenth Edition), Prentice-Hall International, Inc. 1999
[41]Philip Kolter, Marketing Management (Ninth Edition), Prentice-Hall International, Inc.2000
[42]Arturo Israel, Issues for Infrastructure Management in the 1990s, The World Bank, W ashington, D.C., 1992
[43]Quiggin, John, Private Sector Involvement in Infrastructure Projects, Australian Economic Review, 0(113), 1996
[2]李荣融，《外国投融资体制研究》，北京：中国计划出版社，2000
[3]唐建新、杨军，《基础设施与经济发展》，武汉：武汉大学出版社，2003
[4]杨鲁豫，“法国城市水业经营管理”，《中国水业论文集》，2002
[5]李俊元，《投融资体制比较》，北京：机械工业出版社，2003
[6]朱会冲、张燎，《基础设施项目投融资理论与实务》，上海：复旦大学出版社，2002
[7]姚文彧、郑海良，“中国水务市场的现状与发展趋势”，《中国给水排水》，2002, (1)
[8]秦虹，“论市政公用设施服务的市场化供给”，《公用事业民营化高级论坛论文集》，2003
[9]雒亚龙，“中国的公用事业民营化浪潮”，《公用事业民营化高级论坛论文集》，2003
[10]水利部水资源司，“中国的水务管理”，中国水势网，2003-11-03
[11]王俊豪，《英国政府管理体制改革研究》，上海：上海三联书店出版，1998
[12]魏杰，“变国企产权一元化为多元化”，香港大公报，2000-12-6
[13]刘世庆，“加入WTO与城市供水产业竞争化改革”，学说连线网，2002-11-24
[14]赵齐宏，“供水产业的改革与私营化——马来西亚的实践和经验”，中国水星网，2000-07-03
[15]卢汉林，《国际投融资》，武汉：武汉大学出版社，1998
[16]迟福林，《走入21世纪的中国基础设施领域改革》，北京：中国经济出版社，2000
[17]秦虹，“中国市政公用设施投融资现状与改革方向”，中国城市建设信息网，2003
[18]汪文祥，《西部开发重大基础设施投融资方式研究》，北京：中国计划出版社，2002
[19]钱伟荣，《国有企业产权改革研究》，北京：经济管理出版社，2003
[20]建设部，“民间资本如何参与城市基础设施建设”，工程造价信息网，2003-6-24
[21]王大用，“民营企业参与城市基础设施投资及相应的融资方式”，《全国城市
污水处理设施建设经验与技术研讨交流会》，2002-12-19
[22]王金存，“从国有企业发展的世界趋势看我国国有企业深化改革的途径”，《供水企业改革决策者参考资料汇编》，2000
[23]国际水协（IWSA）、刘晓玲译，“关于私营公司参与供水管理和经营的国际报告（1999年布宜诺斯艾利斯）”，《供水企业改革决策者参考资料汇编》，2000
[24]郑海良，“略论21世纪中国供水企业的市场化模式”，《中国给水排水》，2000
[25]华成，“我国城市水业的市场化模式”，中国水利网，2004-2-27
[26]万军，“英国的水价管理”，《人民长江》，2001-6-18
[27]矫勇、陈明忠、石波、孙平生，“英国法国水资源管理制度的考察”，《中国水利》，2001,(3)
[28]陈建明，“法国水价制度研究”，中国农村水电及电气化信息网，2002-10-30
[29]国家信息中心，《中国供排水行业分析报告》，内部资料，2003
[30]付涛，“城市水业的产权问题和产业化”，《清华水业蓝皮书》，2004
[31]傅涛、陈吉宁、常杪，“城市水业投融资机制与资本战略”，《清华水业蓝皮书》，2004
[32]清华水业政策研究组，“城市水业的认识误区与政府角色”，《清华水业蓝皮书》，2004
[33]宋序彤，“中国城市供水排水发展特征及未来发展有关问题”,《21世纪中国城市水管理国际研讨会》，1999-9-1
[34]辛成安、张剑，“供水企业国有资本拓展水务市场的探讨”,《深圳水务》，2003，(6)
[35]张军，“供水企业投资风险初探”，《中国水业论文集》，2002
[36]施熙灿，“国外（地区）水价研究”，中国水利科技网，2002-4-21
[37] Florence Bonnet，“Topical Issues in French Public-Private Partnership”，《“21世纪国际城市污水处理及资源化发展战略研讨会与展览会”会议论文》，2001
[38] International Finance Corporation, Financing Private Infrastructure, The World Bank, Washington, D.C., 1995
[39]Dieter Helm, Tim Jenkinson, The Assessment: Introducing Competition into Regulated Industry, Oxford Review of Economic Policy, 1997(13):1-14
[40]James C. Van Horne, John M. Wachowicz, Jr. Fundamentals of Financial Management (Tenth Edition), Prentice-Hall International, Inc. 1999
[41]Philip Kolter, Marketing Management (Ninth Edition), Prentice-Hall International, Inc.2000
[42]Arturo Israel, Issues for Infrastructure Management in the 1990s, The World Bank, W ashington, D.C., 1992
[43]Quiggin, John, Private Sector Involvement in Infrastructure Projects, Australian Economic Review, 0(113), 1996
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