【作者】 叶艳；

【导师】 魏陆；

【作者基本信息】 上海交通大学 ， 公共管理（MPA）（专业学位）， 2019， 硕士

【摘要】 近些年我国经济呈现高质量发展趋势,其中固定资产投资对于经济拉动作用不可小觑,但在推动经济发展的同时,在政府投资建设项目领域出现的超概问题屡禁不止,成为全球面对的共同课题。以往对于政府投资超概治理的研究多停留于技术层面或者造价控制层面,从公共管理角度切入的较少。基于这一现状,本文将结合造价管理和公共管理两大学科的相关理论,通过翻阅文献资料、案例实证以及面对面访谈法等多种方式,深入分析政府投资建设项目超概问题,发现问题根源,从而提出切实可行的超概治理对策。主要研究内容如下:首先阐述研究背景,政府投资建设项目频繁出现的超合同价、超建安费用以及最终决算总价超出概算总投资等现象已成为全球共同面对的棘手问题。超概问题加大了财力投入,降低了财政资金使用效益,对政府形象造成了极大的负面影响,因此研究解决政府投资建设项目超概问题具有很强的现实意义。其次进行理论分析,阐述政府投资建设项目的界定和超概的概念、类型,按阶段分为项目前期超概、项目实施超概和项目结算超概,按主体分为业主方引发的超概、设计方引发的超概、施工方引发的超概、工程监理方引发的超概、财务监理方引发的超概等。同时,运用委托代理理论和寻租理论分析政府投资建设项目中存在的委托代理关系和寻租行为,为超概治理研究奠定一定的理论基础。再次,通过深层次研究,以徐汇区政府投资建设项目超概治理实证案例分析为切入点,结合访谈结果,分别从业主方、设计方、施工方、工程监理方以及财务监理方等主体探究产生超概问题的原因,主要为立项深度不够、设计缺陷、施工图审查不严、造价管理人员素养参差不齐等问题。因此,要解决这些问题,应从政府角度入手加强对我国政府投资建设项目超概治理。综合我国超概治理方面的研究成果,结合从国际政府投资建设项目超概治理中获得的启发和我国国情,提出解决政府投资建设项目超概问题的对策:一是构建完善的法律制度体系,为超概治理奠定法律基础;二是优化政府投资建设项目管理模式,及时控制政府投资建设项目的投资风险,保证财政性资金的安全使用;三是强化政府投资建设项目审批程序,降低因管理层面审批不严等导致的超概可能。更多还原

【Abstract】 In recent years,China’s economy is growing at a high quality.Among them,fixed asset investment plays a significant role in driving the economy,but at the same time of promoting economic development,the problem of out-of-control investment in the field of government-invested construction projects have not stopped,becoming a common topic facing the world.In the past,the research on out-of-control investment in the field of government-invested construction projects mostly stayed at the technical level or cost control level,and less from the perspective of public management.Based on this situation,this article will combine the cost management and public management discipline related theory.Through reading literature,case studies and face-to-face interviews and other research methods to analyze the problem of out-of-control investment in the field of government-invested construction projects deply,find the root cause,and then puts forward the feasible management countermeasures.The main research contents are as follows.First of all,the research background should be explained.The phenomenon of "three overestimates" of government investment and construction projects exceeding estimates,budgets exceeding estimates and final accounts exceeding budgets occurs frequently,which has become a thorny problem faced by the whole world.The problem of out-of-control investment increases the financial investment,reduces the use efficiency of financial funds,and has a great negative impact on the government image.Therefore,it is of great practical significance to study and solve the problem of out-of-control investment in the field of government-invested construction projects.The next step is to carry on the theoretical analysis,which will elaborate the definition and types of government-invested construction projects and over budget.It can be divided by stages into pre-project overestimate,project implementation overestimate and project settlement overestimate.According to the main body,it can be divided into owner-induced overestimate,designer-induced overestimate,constructor-induced overestimate,project supervisor-induced overestimate,and caused by financial supervisor-induced overestimate,etc.At the same time,using the theory of entrustment of an agent and rent-seeking theory to analyze the relationship of the principal and agent and rent-seeking behavior involved in construction projects invested by governments.It sets up a theoretical foundation for the study on the control of beyond budgeting.Moreover,by deep research,the practical case of overestimation governance of Xuhui District Government’s investment and construction projects can be taken as the breakthrough point,combining with the interview results.We explored and found out the causes of the problems of the main bodies,such as the owner,the designer,the constructor,the project supervisor and the financial supervisor respectively.The main reasons are insufficient deep of a project,design defects,inadequate examination of construction drawings,uneven quality of cost management personnel and so on.Therefore,in order to solve these problems,we should start from the government’s point of view to strengthen the governance of construction projects invested by governments.On the basis of the research results,learning lessons from the experience of international government-invested construction projects,and combining the situation of our country,the countermeasures to solve the problem of the out of control of government-invested construction projects are put forward: First,construct a perfect legal system which provides legal support for the management of overestimation in the field of government-invested construction projects.Secondly,optimize the management mode of government-funded construction projects,timely control the investment risks of government-funded construction project,and ensure the safe use of financial funds.Thirdly,strengthen the examination and approval process of government-funded construction projects,and reduce the possibility caused by loose approval at the management level.更多还原