本文選題：政策性金融機(jī)構(gòu) + 績(jī)效評(píng)價(jià)　； 參考：《遼寧大學(xué)》2017年博士論文

【摘要】：十八屆五中全會(huì)指出,中國(guó)需要發(fā)展更高層次的開(kāi)放型經(jīng)濟(jì),積極參與全球經(jīng)濟(jì)治理和公共產(chǎn)品供給,提高我國(guó)在全球經(jīng)濟(jì)治理中的制度性話語(yǔ)權(quán)。政策性金融作為我國(guó)公共產(chǎn)品供給的助推器,填充了商業(yè)融資與財(cái)政支出的“中間地帶”,彌補(bǔ)了政府與市場(chǎng)之間的空白,有助于提高現(xiàn)階段金融服務(wù)于實(shí)體經(jīng)濟(jì)的耦合度和實(shí)現(xiàn)新常態(tài)下經(jīng)濟(jì)結(jié)構(gòu)調(diào)整的優(yōu)化轉(zhuǎn)型。李克強(qiáng)總理在2015年的政府報(bào)告中也再次強(qiáng)調(diào)發(fā)揮好政策性金融在增加公共產(chǎn)品供給的導(dǎo)向作用。政策性金融機(jī)構(gòu)作為商業(yè)性金融機(jī)構(gòu)的重要和有益的補(bǔ)充,對(duì)于支持國(guó)家經(jīng)濟(jì)建設(shè)、社會(huì)事業(yè)發(fā)展和實(shí)現(xiàn)國(guó)民經(jīng)濟(jì)的穩(wěn)步增長(zhǎng)發(fā)揮著不可替代的作用。目前,我國(guó)政策性金融正面臨著改革的“窗口期”,對(duì)其政策目標(biāo)實(shí)現(xiàn)度的衡量便成為社會(huì)各界所關(guān)注的焦點(diǎn)。其所屬機(jī)構(gòu)的綜合績(jī)效評(píng)價(jià)也恰恰成為該政策目標(biāo)實(shí)現(xiàn)度的最直接體現(xiàn)。政策性金融機(jī)構(gòu)的績(jī)效評(píng)價(jià)是指以政策性金融制度宗旨和業(yè)務(wù)性質(zhì)為依據(jù),按照一定的標(biāo)準(zhǔn)或指標(biāo),采用定量和定性相結(jié)合的方法,對(duì)所屬機(jī)構(gòu)經(jīng)營(yíng)目標(biāo)的實(shí)現(xiàn)度進(jìn)行綜合的評(píng)價(jià)管理,實(shí)現(xiàn)其內(nèi)部運(yùn)行的有序動(dòng)態(tài)調(diào)整,促進(jìn)政策性經(jīng)營(yíng)效率和效能的提高,保證政策性經(jīng)營(yíng)活動(dòng)的有效開(kāi)展,優(yōu)化社會(huì)公共資源的合理性配置,以此來(lái)確保國(guó)家政策意圖的完成。顯然,如何構(gòu)建科學(xué)合理的政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)體系成為目前最亟需解決的首要問(wèn)題,若該問(wèn)題能夠得到妥當(dāng)?shù)慕鉀Q,將進(jìn)一步促進(jìn)其政策性職能的發(fā)揮和目標(biāo)的實(shí)現(xiàn),為有效的評(píng)價(jià)我國(guó)政策性金融可持續(xù)發(fā)展能力提供重要的理論和現(xiàn)實(shí)依據(jù)。同時(shí),也進(jìn)一步豐富了我國(guó)金融發(fā)展理論,使我國(guó)金融發(fā)展體系更加健全,從而促進(jìn)我國(guó)金融發(fā)展水平邁向一個(gè)新的臺(tái)階�；诖吮尘跋�,本文以三個(gè)系統(tǒng)(經(jīng)濟(jì)、社會(huì)和生態(tài))和兩個(gè)維度(經(jīng)營(yíng)績(jī)效和公共績(jī)效)為其績(jī)效評(píng)價(jià)基準(zhǔn)框架,通過(guò)定量和定性相結(jié)合的方法來(lái)構(gòu)建一套適合我國(guó)政策性金融機(jī)構(gòu)可持續(xù)發(fā)展的績(jī)效評(píng)價(jià)體系,并通過(guò)該體系對(duì)其政策性金融機(jī)構(gòu)的綜合經(jīng)營(yíng)狀況進(jìn)行科學(xué)而有效的績(jī)效評(píng)價(jià),以此來(lái)提高其政策目標(biāo)的實(shí)現(xiàn)度,實(shí)現(xiàn)政策性金融服務(wù)實(shí)體經(jīng)濟(jì)能力的提升。第一章是緒論部分。主要介紹了研究的背景、意義及國(guó)內(nèi)外研究動(dòng)態(tài),并以此為基礎(chǔ)提出本文所要展開(kāi)的研究問(wèn)題。進(jìn)一步從研究思路、方法、主要內(nèi)容、結(jié)構(gòu)框架等方面對(duì)其研究問(wèn)題做一個(gè)總體的安排規(guī)劃,并闡述了本文的創(chuàng)新以及存在的不足之處。第二章是政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)的范疇及理論基礎(chǔ)部分。主要介紹政策性金融機(jī)構(gòu)和績(jī)效評(píng)價(jià)的相關(guān)概念范疇,并以此來(lái)界定政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)內(nèi)涵及相關(guān)的特點(diǎn)。進(jìn)一步通過(guò)對(duì)相關(guān)理論的梳理與總結(jié),分別從市場(chǎng)失靈與國(guó)家干預(yù)、準(zhǔn)公共產(chǎn)品、委托代理、公共選擇、管理控制系統(tǒng)、政策評(píng)估等角度奠定了本文研究的理論基礎(chǔ)。第三章是我國(guó)政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)的現(xiàn)狀及問(wèn)題分析部分�；趯�(duì)我國(guó)政策性金融機(jī)構(gòu)(3家政策性銀行和1家政策性保險(xiǎn)公司)的總體概況回顧和經(jīng)營(yíng)績(jī)效分析,對(duì)該機(jī)構(gòu)績(jī)效評(píng)價(jià)的現(xiàn)狀及存在的相關(guān)問(wèn)題進(jìn)行了進(jìn)一步闡述,并針對(duì)存在的問(wèn)題作以具體的成因分析。第四章是政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)體系的構(gòu)建部分。主要以三個(gè)系統(tǒng)(經(jīng)濟(jì)、社會(huì)和生態(tài))和兩個(gè)維度(經(jīng)營(yíng)績(jī)效和公共績(jī)效)為基準(zhǔn)框架進(jìn)行具體的指標(biāo)體系構(gòu)建,通過(guò)基本理論、已有研究和國(guó)際借鑒對(duì)政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)進(jìn)行初步的預(yù)選。歷經(jīng)兩輪專(zhuān)家調(diào)查意見(jiàn)的反饋結(jié)果,結(jié)合專(zhuān)家建議和變異系數(shù)檢驗(yàn)對(duì)其初選指標(biāo)進(jìn)行了嚴(yán)格的篩選,并進(jìn)行了相應(yīng)的刪除、修改和添加等,最終確定了修正后的績(jī)效評(píng)價(jià)指標(biāo)體系。同時(shí),對(duì)績(jī)效評(píng)價(jià)指標(biāo)體系的構(gòu)建和評(píng)價(jià)標(biāo)準(zhǔn)也作了進(jìn)一步的說(shuō)明。第五章是政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)體系的權(quán)重設(shè)計(jì)部分。在第四章已確定的修正后政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)體系的基礎(chǔ)上,進(jìn)一步采用層次分析法對(duì)其評(píng)價(jià)指標(biāo)的權(quán)重進(jìn)行相應(yīng)設(shè)置,以此來(lái)完善該績(jī)效評(píng)價(jià)指標(biāo)體系。并對(duì)專(zhuān)家咨詢(xún)的意見(jiàn)進(jìn)行可靠性檢驗(yàn),以保證專(zhuān)家給出判斷的權(quán)威性和一致性。第六章是政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)體系的應(yīng)用部分。在第五章已確定的政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)體系權(quán)重設(shè)計(jì)完成的基礎(chǔ)上,進(jìn)一步采用模糊綜合評(píng)判法對(duì)中國(guó)農(nóng)業(yè)發(fā)展銀行的L省級(jí)分行和H省級(jí)分行兩家政策性金融機(jī)構(gòu)進(jìn)行綜合的績(jī)效評(píng)價(jià),并對(duì)其實(shí)證結(jié)果作以具體的比較分析。第七章是研究結(jié)論與啟示部分。通過(guò)對(duì)前文政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)的構(gòu)建、權(quán)重設(shè)計(jì)和應(yīng)用得出相應(yīng)結(jié)論進(jìn)行了匯總,進(jìn)一步給出相應(yīng)的政策建議,并基于文中存在的研究不足指出未來(lái)繼續(xù)努力創(chuàng)作的方向。本文的創(chuàng)新之處主要體現(xiàn)以下幾個(gè)方面:第一,縱觀國(guó)內(nèi)外文獻(xiàn)梳理與回顧,不難發(fā)現(xiàn)有關(guān)專(zhuān)門(mén)系統(tǒng)地研究政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)問(wèn)題的成果是較為鮮見(jiàn)的,本文嘗試彌補(bǔ)這個(gè)空白,基于已有的績(jī)效評(píng)價(jià)分析理論框架,從三個(gè)系統(tǒng)(經(jīng)濟(jì)、社會(huì)和生態(tài))和兩個(gè)維度(經(jīng)營(yíng)績(jī)效和公共績(jī)效)來(lái)構(gòu)建我國(guó)政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)體系。第二,本文通過(guò)兩輪專(zhuān)家調(diào)查意見(jiàn)的反饋結(jié)果,采用專(zhuān)家建議和變異系數(shù)檢驗(yàn)相結(jié)合的方法對(duì)其初選政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)進(jìn)行了相應(yīng)的修正,最終確定出了較為科學(xué)合理的績(jī)效評(píng)價(jià)指標(biāo)體系,使其更具有信服力和權(quán)威性。第三,基于已確定的政策性金融機(jī)構(gòu)績(jī)效評(píng)價(jià)指標(biāo)體系,進(jìn)一步通過(guò)層次分析法對(duì)其進(jìn)行了權(quán)重設(shè)計(jì),并在此基礎(chǔ)上,采用模糊評(píng)判法對(duì)績(jī)效評(píng)價(jià)體系的應(yīng)用進(jìn)行了相應(yīng)的實(shí)證檢驗(yàn),以此來(lái)論證所構(gòu)建績(jī)效評(píng)價(jià)體系的合理性和科學(xué)性所在。
[Abstract]:In the fifth Plenary Session of the 18th CPC Central Committee, it was pointed out that China needs to develop a higher level of open economy, actively participate in global economic governance and supply of public products, and improve the institutional discourse power of our country in the global economic governance. As the booster of the supply of public goods in China, policy finance fills the middle zone of commercial financing and fiscal expenditure. "It makes up for the gap between the government and the market, and helps to improve the current financial services in the real economy and the realization of the restructuring of the economic structure under the new normal. In the 2015 government report, Premier Li Keqiang again emphasized the role of policy oriented finance in increasing the supply of public goods. As an important and beneficial supplement to the commercial financial institutions, financial institutions play an irreplaceable role in supporting national economic construction, social undertakings and the steady growth of the national economy. At present, China's policy finance is facing the "window period" of the reform, and the measurement of its policy goals has become a society. The comprehensive performance evaluation of its affiliated institutions is the most direct embodiment of the realization of the policy goal. The performance evaluation of the policy based financial institutions refers to the method of combining the quantitative and qualitative methods based on the purpose and business nature of the policy based financial system and according to a certain standard or index. A comprehensive evaluation and management of the realization of the management goal is carried out to realize the orderly and dynamic adjustment of its internal operation, promote the efficiency and efficiency of the policy management, ensure the effective development of the policy management activities, and optimize the rational allocation of social public resources so as to ensure the completion of the policy intention of the country. The performance evaluation system of the policy oriented financial institutions has become the most urgent problem to be solved at present. If the problem can be solved properly, it will further promote the implementation of its policy function and the realization of its objectives, and provide an important theoretical and practical basis for the effective evaluation of the sustainable development of policy based Finance in China. Further enriches our country's financial development theory, makes our country's financial development system more sound, and thus promotes our financial development level to a new step. Based on this background, this paper is based on three systems (economic, social and ecological) and two dimensions (operating performance and public performance) as the benchmark framework for its performance evaluation, through quantitative and quantitative analysis. The method of qualitative combination is used to construct a set of performance evaluation system suitable for the sustainable development of China's policy financial institutions. Through this system, a scientific and effective performance evaluation is carried out to the comprehensive management of its policy financial institutions, in order to improve the realization of its policy objectives and realize the economic energy of the policy oriented financial services. The first chapter is the introduction. It mainly introduces the background, significance and research trends at home and abroad. On the basis of this, it puts forward the research problems to be carried out in this paper, and makes a general arrangement for the research problems from the research ideas, methods, main content, structure framework and so on, and expounds the creation of this article. The second chapter is the category and the theoretical basis of the performance evaluation of the policy financial institutions. It mainly introduces the concept and category of the policy financial institutions and performance evaluation, and defines the connotation and the related characteristics of the performance evaluation of the policy based financial institutions. In the third chapter, the third chapter is the present situation and the analysis part of the performance evaluation of China's policy based financial institutions. Based on the policy based financial institutions in China (3 policy banks) The general overview and management performance analysis of 1 policy insurance companies are reviewed and the existing problems in the performance evaluation of the institution are further elaborated, and the specific causes are analyzed in view of the existing problems. The fourth chapter is the construction part of the performance evaluation index system of the policy financial institutions. The main part is three departments. The system (economic, social and ecological) and two dimensions (operating performance and public performance) are constructed as the benchmark framework. Through the basic theory, the preliminary selection of the performance evaluation indexes of the policy based financial institutions has been carried out by the previous research and international reference. The feedback results of the two rounds of expert opinion and the expert advice and the recommendations are combined. The coefficient of variation coefficient is strictly screened, and the corresponding deletion, modification and addition are carried out. Finally, the revised performance evaluation index system is determined. At the same time, the construction and evaluation criteria of the performance evaluation index system are further explained. The fifth chapter is the performance evaluation index of the policy financial institutions. The weight design part of the system. On the basis of the revised performance evaluation index system of the revised policy financial institutions in the fourth chapter, the weight of the evaluation index is set up by the analytic hierarchy process, so as to perfect the performance evaluation index system. The sixth chapter is the application part of the performance evaluation index system of the policy financial institutions. On the basis of the completion of the weight design of the performance evaluation index system of the fifth chapter of the policy financial institutions, the L provincial branch and H province of the China Agricultural Development Bank are further adopted. The performance evaluation of two policy financial institutions of the level branch is carried out comprehensively, and the results of the evidence are compared. The seventh chapter is the conclusion and the inspiration part. Through the construction of the performance evaluation index of the previous policy financial institutions, the weight design and the application of the corresponding conclusions are summed up, and the corresponding policies are given. The suggestions are based on the lack of research in the paper and point out the direction of the future work. The innovation of this article mainly embodies the following aspects: first, it is not difficult to find out that the results of the research on the performance evaluation of policy based financial institutions are relatively rare. Try to make up for this gap, based on the existing theoretical framework of performance evaluation and analysis, from three systems (economic, social and ecological) and two dimensions (operating performance and public performance) to construct the performance evaluation system of China's policy based financial institutions. Second, through the feedback results of two rounds of expert opinion, the paper uses expert advice and variation coefficient. The method of inspection is combined to correct the performance evaluation index of its primary policy financial institutions. Finally, a more scientific and reasonable performance evaluation index system is established to make it more convincing and authoritative. Third, based on the established performance evaluation index system of the policy based financial institutions, it is further analyzed by the analytic hierarchy process. On the basis of this, the application of the fuzzy evaluation method to the performance evaluation system is empirically tested, in order to demonstrate the rationality and the scientific nature of the performance evaluation system.
【學(xué)位授予單位】：遼寧大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2017
【分類(lèi)號(hào)】：F832.31;F830.42

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7 朱曉e，

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