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论文编号：	2648
作者编号：	043136
上传时间：	2010/6/21 11:36:34
中文题目：	公平与效率均衡的财政投资项目社会影响评价模型与方法研究
英文题目：	Research on Model and Methods of Financial Investments Social Impact Assessment Based on Balance between Fairness and Efficiency
指导老师：	戚安邦
中文关键字：	公平与效率均衡 财政投资项目 社会影响评价 指标体系 评价方法
英文关键字：	balance between fairness and efficiency financial investment projects social impact assessment indictor system assessment method
中文摘要：	财政投资项目是国家财政政策的主要载体，对各国来讲，财政政策的两大目标是公平和效率问题，这也是财政投资项目的两大目标。但是在当前财政投资项目评价中，存在重经济评价、轻社会影响评价的问题，忽视财政投资项目公平与效率目标均衡可行性的评价，影响了国家政策目标的实现。因此，有必要从财政政策的公平和效率两大目标出发，对财政投资项目社会影响评价进行深入研究并建立合理的评价体系。这正是本文研究的出发点和目的。 本文通过对国内外项目社会影响评价的研究文献和实践经验分析发现，现有财政投资项目社会影响评价体系还存在不足之处：侧重于静态的项目社会影响评价，忽视了项目与地区的匹配问题；没有建立评价模型，缺乏相应理论基础的支撑；评价指标体系偏重于经济评价或社会评价，缺乏从公平与效率均衡视角建立社会、经济和自然的一体化评价指标体系；侧重于定性描述方法和复杂定量方法的研究，忽视了评价方法的可操作性和应用性，缺乏对评价结果的分析。 为此，本文在收集与分析107个相关案例资料，对36位社会影响评价专家进行访谈的基础上，采用比较研究方法、归纳推理方法、专家评议法和案例研究方法等多种研究方法，对公平与效率均衡的财政投资项目社会影响评价的模型、评价指标体系、评价方法进行了深入研究，对项目评价理论、财政投资项目投资决策等理论进行了有益的完善和拓展，系统地构建了财政投资项目社会影响评价的理论体系。通过研究得出了以下结论： 财政投资项目社会影响评价就是评价项目在社会、经济和自然方面对公平与效率均衡的影响，是涵盖项目经济评价、社会评价、环境评价的广义社会影响评价。这种评价需要从公平与效率均衡的视角建立社会、经济、自然一体的评价指标体系，本文的创新点主要有以下四方面： 1．研究提出了公平与效率均衡的财政投资项目社会影响评价内涵与特征 本文在深入分析公平与效率均衡的财政投资项目社会影响评价独特性的基础上，提出了财政投资项目社会影响的分地区动态评价的内涵与特征。认为财政投资项目的社会影响评价要与项目所在地区的发展阶段以及公平与效率均衡的实际状况相匹配，即在项目决策中，不仅考虑项目社会影响评价的结果，而且要考虑该结果与项目所在地区的时空条件是否相匹配。 2．研究建立了公平与效率均衡的财政投资项目社会影响评价模型 本文在深入分析现有财政投资项目社会影响评价研究的基础上，以西方经济学、福利经济学的相关理论和项目评价的相关原理为基础，建立了公平与效率均衡的财政投资项目社会影响评价的模型。该模型提出了社会-经济-自然系统的公平与效率的均衡，为公平与效率均衡的财政投资项目社会影响评价体系的构建奠定了理论基础。 3．研究构建了公平与效率均衡的财政投资项目社会影响评价的指标体系 本文以公平与效率均衡的财政投资项目社会影响评价模型为基础，运用案例研究法和专家评议法，确定了公平与效率均衡的评价指标及其权重，构建了公平与效率均衡的财政投资项目社会影响评价指标体系。该指标体系由6个一级指标和36个二级指标构成，涵盖了财政投资项目社会影响的主要因素。 4．研究提出了公平与效率均衡的财政投资项目社会影响评价方法 本文在对公平与效率均衡的财政投资项目社会影响评价内涵与特征进行分析的基础上，设计了公平与效率均衡的财政投资项目社会影响评价的技术方法、结果表达方法和决策方法。该方法体系可以科学、系统地评价财政投资项目的社会影响，清晰地显示财政投资项目在公平和效率方面的影响，并通过评价结果与项目所在地区公平与效率状况的匹配来做出决策，丰富了现有社会影响评价的研究成果。
英文摘要：	The financial investment project is the main carrier of the national finance of a country, the two main goals of the financial policies are fairness and efficiency,and so of the financial investment projects. However,now the financial investment project evaluations emphasis on the economic evaluation, contempt social impact assessment, ignore project feasibility evaluation that bases on the balance between, then hinder the realization of national policy objectives. Therefore, it is necessary to start the research from the two major goals of the national policies —the fairness and efficiency and establish reasonable social impact assessment system of financial investment projects. This is the starting point and purpose of this dissertation. Discovered by studies about social impact assessment at home and abroad, existing social impact assessment system of financial investment projects is deficient: focusing on static project social impact assessments, and the project decisions ignore the match between the project and the area; being lack of theoretical support as the foundation, and the theoretical model as the theoretical basis of evaluation system isn’t established; focusing on economic evaluation or social impact assessment,and the evaluation indicator system is lack of the evaluation indicators system of economic, social and natural integration based on balance between fairness and efficiency; the method of financial investment projects focuses on the study of qualitative description and complex quantitative methods,and it ignores the operability and application of the evaluation, and is lack of the analysis of the results of the evaluation. Therefore, on the basis of collection and analysis of 107 related cases and interview with 36 evaluation experts, adopting many researchmethods including comparative research method,inductive reasoning, experts appraisal method,case study method and so on, this dissertation carries out in-depth study of theoretical model, indicator system and method of social impact assessment of the financial investment projects based on the balance between fairness and efficiency, usefully improves and expands the theory of project evaluation and decision-making of the financial investment projects, and systematically establishes the theoretical system of social impact assessment of the financial investment projects. the study draws the following conclusions: The social impact assessment of the financial investment projects in the economic, social and natural aspects is that of balance between fairness and efficiency, and it is the broad social impact assessment covering project economic evaluation, social assessment, environmental assessment. This assessment needs to establish indicator system of economic, social and natural integration based on the balance between fairness and efficiency, the innovation of this dissertation is in the following four areas: 1.this dissertation proposes content and features of social impact assessment of the financial investment projects based on balance between fairness and efficiency On the basis of uniqueness analysis in-depth of balance between fairness and efficiency of the financial investment projects, this dissertation puts forward the contents and characteristics of sub-regional dynamic assessment of the social impact assessment of the financial investment projects. This dissertation considers that social impact assessment of financial investment projects should match the development of the areas and the stage of fairness and efficiency, namely the project decision should consider not only the social impact assessment results, but also that of the project matching the conditions of the projects time and space. 2.this dissertation establishes the theoretical model of social impact assessment of the financial investment projects based on the balance between fairness and efficiency On the basis of the analysis in-depth about the existing study of social impact of the financial investment projects and making use of the theory of Western economics, welfare economics and project evaluation relevant principles, this dissertation establishes the theoretical models of social impact assessment of the financial investment projects based on balance between fairness and efficiency. The model proposes the balance between fairness and efficiency of the economic-social-natural integration systems, the balance between fairness and efficiency, and lays a theoretical foundation for social impact assessment of the financial investment projects based on balance between fairness and efficiency. 3.this dissertation establishes indicator system of social impact assessment of the financial investment projects based on balance between fairness and efficiency On the basis of the above theoretical models, this dissertation makes use of case studies and expert appraisal method to determine the indicators and their weights of social impact assessment of the investment projects based on balance between fairness and efficiency, then establishes indicator system of social impact assessment of the financial investment projects based on balance between fairness and efficiency. The indicator system consists of six level indicators and thirty-six secondary indicators, covers the main factors of the social impact of financial investment projects. 4.this dissertation proposes the methodology of social impact assessment of the financial investment projects based on the balance between fairness and efficiency On the basis of the analysis of content and characteristics of social impact assessment of the financial investment projects based on the balance between fairness and efficiency, this dissertation designs method, technical means of representation and decision making method. This methodology can scientifically, systematically assess the social impact of the financial investment projects, clearly show the impact in the fairness and efficiency, and help making decision by matching assessment results to the project area and the situation of fairness and efficiency, so it can enrich the existing social impact assessment studies.
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