Tăng cường quản lý nhà nước đối với đầu tư xây dựng cơ bản bằng vốn ngân sách nhà nước trên địa bàn tỉnh nghệ an

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TRUONG DAI
KINH* TE QUOC DAN
■ HOC
■
------ sosoOcsos------

NGUYEN TRUNG HIEU
DAI HOC K.T.Q.D
TT. THONG TIN THCVIEN

PHONG LUAN AN-TOLIEU
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TANG CITONG QUAN LY NHA NlfflC DOI VUI DAU TU
XAY DUNG CU BAN BANG VON NGAN SACH NHA NlTGC

TREN DIA BAN TINH NGHE AN

Chuyen nganh: Kinh te chinh tri

LUAN VAN THAC SI KINH TE
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Ngu’d'i hud'ng dan khoa hoc:
PGS.TS.TRAN VIET TIEN

TH.
K

____ A.

HA SOI. 2013
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Ldl CAM DOAN

Toi xin cam doan day la cong trinh nghien cuu doc lap
cua toi. Cac so lieu trong luan van la trung thirc. Ket qua

nghien cuu trong luan van la trung thuc va chua duoc cong bo
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trong bat ky cong trinh nghien cuu nao khac.

Tac gid luan van

~

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Nguyen Trung Hieu


LOI CAM ON

Trong suot qua trinh hoc tap va hoan thanh luan van nay, toi da nhan
duqc su huong dan, giup do nhiet tinh cua cac Thay, Co giao, gia dinh, ban
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be, dong nghiep. Voi tam long tran trong va biet on sau sac, toi xin bay to su
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cam on chan thanh den Ban Giam hieu, Khoa Ly luan chinh tri, Vien Dao tao
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sau dai hoc - Truong Dai hoc Kinh te quoc dan. Dac biet xin chan thanh cam
on PGS.TS Tran Viet Tien da truc tiep huong dan, giup do toi trong qua trinh

nghien cuu va hoan thanh luan van.
Tac gia luan van

Nguyen Trung Hieu


MUC
LUC
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Ldl CAM DOAN. . .........................

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DANH MUC TU VIET TAT.......................................................................,vii
DANH MUC CAC BANG, BIEU............................................................... viii

TOM TAT LUAN VAN.................................................................................. i

MO DAU.......................................................................................................... 1
Chuong 1 NHUNG VAN DE LY LUAN VA KINH NGHIEM THUC
TIEN VE QUAN LY NHA M(')C DOI VOI DAU TU XAY DUNG CO

BAN BANG VON NGAN SACH NHA NUOC........................................... 8
yr

a

1.1. Dau tu xay dung cu ban bang von ngan sach nha nudc: Quan niem, vai

tro va dac diem.......................................................................................................... 8

1.1.1. Quan niem.........................................................................................................8
yr

y

r

. 1.1.2. Vai tro cUa dUu tu xay dung co ban bang von ngan sach nha nucc doi
?

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.

vci phCt trien kinh te, xa hoi...................................................................................... 9
y

7

yr

1.1.3. Dac dkimddutuxXy dimg cobbn bbng vVn nggn sschnha nuUc...............12
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y

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1.2. Mot so van de cu ban ve quan ly Nha nudc doi vdi dau tu xay dung cu
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15

ban bang von ngan sach nha nude
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y

1.2.1. Quan mem, pham vi, doi tuong quan ly Nha nucc dni vci dUu tu xyy dung
co ban bang vnn ngan sCch nha niucc..................................................................... 15
y

y

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1.2.2. Noi dung quan ly Nha nucc doi vci dUu tu xyy dung co ban bang vnn
ngan sCch nha nucc.................................................................................................. 18
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y

1.2.3. Nhung nhnn to nnh hudng den quan ly Nha nucc dni vci dUu tu xay
y

r

dung co ban bang vnn ngan sCch nha nucc............................................................ 30
yr

y

r

yr

1.2.4. Su cUn thiet quan ly Nha nucc dni vci dUu tu xay dung co ban bang vnn

ngan sCch nha nude................................................................................................ 33
y

y

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y

1.3. Kinh nghiem ve quan ly Nha nudc doi vdi dau tu xay dung cu ban bang
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von ngan sach nha nudc d mot so nui................................................................. 37
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1.3.1. Kinn nnhiem qqaa ly bNd nuuc doi vvc ct^U^tu^xxa dunn cobaa cua

Trung Qunc............................................................................................................. 37


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1.3.2. Kinh nghiem cua thanh pho Da Nang................................................... 40
A

1.3.3. Kinh nghiem cua tinh Dong Nai............................................................ 41
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1.3.4. Mot so bai hoc kinh nghiem dp dung cho tinh Nghe An......................... 42

Chtro’ng 2_THU*C TRANG QUAN LY NHA NU()C DOI VCH DAU TU

XAY DUNG CO BAN BANG VON NGAN SACH NHA NIOC TREN
DI A BAN TINH NGHE AN......................................................................... 45
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A

2.1. Tong quan ve dau tur xay dung co ban bang von ngan sach nha nude tren

dia ban tinh Nghe An............................................................................................. 45
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2.1.1. Dac diem ve dieu kien tu nhien............................................................. 45
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2.1.2. Tinh hinh kinh te tinh Nghe An.............................................................. 46

2.1.3. Tinh hinh quy hoach xay dung............................................................. 49
2.1.4. Dau tuxay dung co ban bang von ngan sach nha nude tren dia ban tinh
Nghe An.......................................................................................................... 52
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2.2. Hien trang ve quan ly Nha nude doi vdi dau tu xay dung co ban bang von

ngan sach nha nude tren dia ban tinh Nghe An.................................................. 54
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2.2.1. Thue trang quy trinh quan ly dau tuxay dung co ban bang von ngan

sach nha nude tren dia ban tinh Nghe An.......................................................54
2.2.2. Thue trangphuongphap quan ly dau tuxay dung co ban bang von
ngan sach nha nude tren dia ban Tinh........................................................... 59
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2.2.3. Thue trang cong cu quan ly dau tuxay dung co ban bang von ngan

sach nha nude tren dia ban Tinh..................................................................... 62

2.2.4. Ve thanh tra, kiem tra, xu ly vipham trong cong tac dau tuxay dung co

ban bang vdn ngan sach nha nude tren dia ban Tinh.....................................69
2.2.4.1. He thdng thanh tra cac cap................................................................ 69
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2.3. Danh gia ve quan ly Nha nude doi vdi dau tu xay dung cu ban bang vdn

ngan sach nha nude tren dia ban tinh Nghe An.................................................. 71

2.3.1. Nhung thanh tuu.................................................................................. 71
2.3.2. Nhung han che...................................................................................... 74


Chuong 3 PHUONG HUONG VA GIAI PHAP TANG CUONG QUAN
LY NHA NUOC DOI Vdl DAU TU XDCB BANG VON NSNN TREN
DIA BAN TiNH NGHE AN........................................................................ 79
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3.1. Phuong hudng tang cuong quan ly Nha nude doi vdi dau tu xay dung co
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ban bang von ngan sach nha nude tren dia ban tinh Nghe An.......................... 79
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yr

3.1.1. Nhung can cu de xuat phuong hudng tang cuong quan ly Nha nudc doi
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ven dau tu xay dung co ban bang von ngan sach nha nudc tren dia ban tinh
Nghe An.................................................................................................................... 79
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3.1.2. Dinh hudng tang cuong quan ly Nha nudc doi vdi dau tu xay dung co
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ban bang von ngan sach nha nudc tren dia ban tinh Nghe An................................ 86
3.2. Giai phap tang cucOig quan ly Nha nude doi vdi dau tu xay diuig co ban
bang von ngan sach nha nudc tren dia ban tinh Nghe An................................. 89

3.2.1. Hoan thien luat phap, chinh sach, cac quy dinh ve dau tu xay dung co
ban bang von ngan sach nha nudc...........................................................

90

3.2.2. Hoan thien quy trinh quan ly dau tu xay dung co ban bang von ngan
sach nha nudc......................................................................................................... 92

3.2.3. Hoan thien phuong thuc quan ly doi vdi dau tu xay dung co ban bang
von ngan sach nha nudc.........................................................................................97
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3.2.4. Hoan thien, thuc hien dung quy hoach va nang cao chat luong cong tac
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khao sat, thiet ke cong trinh.....................................................................................99
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3.2.5. Nang cao nang luc bo may va chat luong doi ngu can bo quan ly nha
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yr

y

nudc doi vdi. dau tu xay dung co ban bang von ngan sach nha nudc.................. 101
3.2.6. Tang cuong co so vat chat trong quan ly doi vdi dau tu xay dung co ban

bang von ngan sach nha nudc tren dia ban Tinh..........................................

103

3.2.7. Tang cuong thanh tra, kiem tra, xu ly vipham dau tu xay dung co ban
y

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bang von ngan sach nha nudc tren dia ban Tinh................................................... 103

KET LUAN.................................................................................................. 106
DANH MUC TAI LIEU THAM KHAO................................................. 109
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DANH MUC TL VIET TAT
XDCB

Xay dung co ban

NSNN

Ngan sach Nha nudc

QLNN

Quan ly Nha nudc

QLDA

Quan ly du an

BOT

Viet tat cua cum tu tieng Anh: Built-Operation-Transfer: Xay

dung -Van hanh - Chuyen giao
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BT

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Viet tat cua cum tu tieng Anh: Built-Transfer: Xay dung Chuyen giao

PPP

Viet tat cua cum tu tieng Anh Public - Private - Partnership:

Hop tac Cong - Tu

OECD

Tieng Anh: Organisation for Economic Co-operation and

Development: TO chuc Hop tac va Phat trien kinh te

GPMB

FDI
KSTK

GDP

Giai phong mat bang
/
yr
tieng Anh: Foreign Direct Investment: Dau tu truc tiep nudc ngoai

Khao sat thiet ke
e'
7
•>
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Tieng Anh: Gross Domestic Product: Tong san pham quoc noi


DANH MUC CAC BANG, BIEU

Bieu 1.1. Ton that trong dau tir xay dung co* ban...................................... 30
Bang 2.1. Tong gia tri san pham trong tinh.................................................. 46

Bieu 2.1. Co cau tong san pham tren dia ban tinh........................................ 47
Bieu 2.2. Bieu do gia tri tong san pham trong tinh....................................... 48
Bieu 2.3. Bieu do tong gia tri san pham theo gia so sanh nam 2010......... 49

Bang 2.2. Nguon von chi cho dau tu XDCB tu 2008 den 2012..................... 50
Bang 2.3. Quy hoach xay dung giao thong tinh Nghe An den 2020............ 51
Bang 2.4. Tinh hinh chi dau tu XDCB bang vdn NSNN............................... 54
Bang 2.5. Tinh hinh bo tri vdn dau tu XDCB tur NSNN............................. 66
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Bang 2.6. Tinh hinh quyet toan vdn dau tu tren dia ban tinh......................... 68
Bang 2.7. So lieu ve sai pham phat hien qua thanh tra....................................69

Bang 2.8. Dau tu XDCB vdi tang trudng kinh te............................................ 71

Phu luc 1. Bieu do quy trinh quan ly dau tu XDCB bang vdn NSNN...... 108


JJ

TRUONG DAI HOC KINH TE QUOC DAN
------ gcsoOcaca------

NGUYEN TRUNG HIEU

TANG ClflJNG QUAN LY NHA NUtfC DOI VOl DAU TIT
W

V

m

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XAY DUNG CO BAN BANG VON NGAN SACH NHA NlAJC

TREN DIA BAN TINH NGHE AN
Chuyen nganh: Kinh te chinh tri

TOM TAT LUAN VAN

Ngifffi hiring dan khoa hoc:
PGS.TS.TRAn VIET TIEN

HA NO• I,7 2013

3

J'


TOM TAT LUAN VAN
Hoat dong dau tu XDCB la mot hoat dong dau tu thiet yeu vi no tao ra
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tu lieu san xuat co ban cho nen kinh te xa hoi, dong vai tro lam nen cho moi
a

a

hoat dong doi song cung nhu san xuat kinh doanh. Hoat dong xay dung cong

trinh doi hoi thdi gian dai, vdn Ion, rat de xay ra tinh trang quan ly yeu kern,
hien tupng tham d, tham nhung, that thoat trong dau tu XDCB la rat ldn.

Trong quan ly dau tu hien nay, nha nude da thuc hien phan cap cho cac dia
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phuong, dieu nay la mot tat yeu trong phat trien kinh te xa hoi. Viec co giao
AZA
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quyen, phan cap quan ly dau tu XDCB nhung lai chua gan vao do trach

nhiem cu the cua cac chu dau tu trong quan ly da cho thay tinh trang dau tu
tran lan khong tuan thu quy hoach hoac quy hoach kern dan den lang phi, lam

cho vdn dau tu su dung dat hieu qua thap, chua tuan thu nghiem ngat cac quy
A

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trinh quan ly ve dau tu XDCB, cac cong cu quan ly chua dupe su dung mot
each cd hieu qua; cong tac thanh tra, kiem tra xu ly vi pham trong quan ly dau
tu XDCB chua nghiem la nhung nguyen nhan chinh dan den hieu qua dau tu
XDCB bang vdn NSNN chua cao.

Nghe An la tinh cd dien tich ldn nhat nude, dan so dung thu 4 ca nude

nhung con ngheo, nen kinh te con d giai doan dau cua su phat trien. Vi vay
nhu cau dau tu XDCB la rat cao, nhung cong tac quan ly Nha nude chua dat

dupe muc do cd the quan ly tot hoat dong dau tu nay, tu con ngudi cho den
cong tac lap quy hoach, ke hoach, thuc hien dau tu cung nhu viec phat huy

hieu qua dau tu. Do la xuat phat cua nhieu ton tai trong quan ly dau tu XDCB
cua Nghe An hien nay.

Xuat phat tu tarn quan trong cua cong tac quan ly Nha nude doi vdi
hoat dong dau tu XDCB bang vdn NSNN, nham ngan chan hien tupng tham

nhung, lang phi, that thoat, nang cao hieu qua cua hoat dong dau tu XDCB,
gop phan on dinh va phat trien kinh te tren dia ban. Chinh vi vay nen toi da
A

Z

A

chon de tai: ’’Tang cird’ng quan ly Nha nuoc doi vdi dau tu* xay dung co’

/y

■yr

ban bang von ngan sach nha nuoc tren dia ban tinh Nghe An” lam luan
van tot nghiep cao hoc nganh Kinh te .chinh tri - Truong Dai hoc Kinh te quoc
dan Ha Noi.
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Luan van da tap trung nghien cuu nhung van de ly luan lien quan den

quan ly Nha nuoc doi vdi dau tu XDCB bang von NSNN, dac biet di sau
phan tich, danh gia thuc trang quan ly Nha nudc doi vdi dau tu XDCB bang

von NSNN tren dia ban tinh Nghe An de thay rd nhung ket qua dat duoc va

nhung han che trong cong tac quan ly, tu do dinh ra phuong hudng va giai
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phap chu yeu nham tang cudng quan ly Nha nudc doi vdi dau tu XDCB bang

von NSNN trong thdi gian tdi tren dia ban tinh.
Doi tuong va pham vi nghien cuu cua luan van la thuc trang quan ly

Nha nudc doi vdi dau tu XDCB bang von NSNN tren dia ban tinh Nghe An

tu nam 2008‘den nay.

Trong qua trinh nghien cuu, luan van dua tren phuong phap luan cua
chu nghTa duy vat bien chung ket hop vdi chu nghTa duy vat lich su, cac
phuong phap phan tich, tong hop, phuong phap khao sat thuc te, cd tham

khao y kien cua mot so can bo quan ly lau nam ve dau tu XDCB nham lam ro
cac noi dung nghien cuu.
Luan van da cd nhung dong gop co ban sau:
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Thu nhat, neu duoc ly luan chung boat dong dau tu XDCB va mot so
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van de ve quan ly Nha nudc doi vdi cac du an dau tu XDCB bang nguon von

NSNN

Luan van da he thong nhung khai niem ve dau tu, dau tu XDCB, dau

tu XDCB bang von NSNN, quan ly Nha nudc doi vdi dau tu XDCB bang von

NSNN tren 4 noi dung gom: Quy trinh quan ly; phuong thuc quan ly; cong cu
quan ly va thanh tra, kiem tra, xu ly vi pham trong hoat dong dau tu XDCB
bang von NSNN.

Dau tu la hoat dong su dung cac nguon luc tai chinh, vat chat va tri tue


de san xuat va kinh doanh nham thu ve lgi nhuan va lgi ich kinh te xa hoi
trong mot khoang thdi gian nhat dinh d tuong lai.

Xay dung co ban la nhung hoat dong vdi chuc nang tao ra tai san cd

dinh cho nen kinh te (bao gom hoat dong khao sat, thiet ke, xay dung, lap dat
may moc thiet bi...) thong qua cac hinh thuc xay dung mdi, md rong, hien dai

hoa hoac khdi phuc, sua chua cac tai san cd dinh.

Dau tu xay dung co ban la qua trinh bo von de tien hanh cac hoat dong
xay dung co ban.
Dau tu XDCB bang von NSNN la qua trinh Nha nudc bo von tu ngan

sach (toan bo hoac mot phan gia tri dau tu) de tien hanh cac hoat dong xay
dung co ban nham tao ra tai san cd dinh, xay dung co sd vat chat ky thuat de

nham phat trien kinh te, xa hoi.
De lam rd cac noi dung quan ly Nha nudc ve dau tu XDCB, luan van

da neu dugc vai tro, dac diem cua dau tu XDCB bang von NSNN. Ve vai tro:

dau tu XDCB bang von NSNN tao ra co sd vat chat, tac dong den su tang
trudng va phat trien kinh te, tac dong den su dich chuyen co cau kinh te theo
hudng tien bo; tac dong den su phat trien khoa hoc cong nghe; tac dong den

su on dinh kinh te va tao cong an viec lam cho ngudi lao dong. Ve dac diem,
luan van da phan tich dugc nhung dac diem cua dau tu XDCB noi chung va

dau tu XDCB bang von NSNN noi rieng: dau tu XDCB doi hoi von ldn, dau
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tu trong thdi gian dai; tao ra san pham co dinh va cd gia tri su dung lau dai;
lien quan den nhieu nganh, nghe; dau tu XDCB bang von NSNN cd dac diem

rieng la str dung tien tu NSNN; chu yeu phuc vu lgi ich cong cong.
Luan van da neu dugc quan niem ve quan ly nha nudc doi vdi dau tu

XDCB bang von NSNN: lasu tac dong cd to chuc, co dinh hudng cua Nha
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nudc vao qua trinh dau tu xay dung co ban bang mot he thong dong bo cac
bien phap kinh te, to chuc - ky thuat nham su dung co hieu qua nhat nguon
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von NSNN danh cho xay dung co ban va dam bao chat luong cac cong trinh


IV

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XDCB. Ve pham vi quan ly: Nha nunc quan ly toan bo qua trinh dau tu

XDCB tu viec xac dinh chu trucmg dau tu, lap du an, quyet dinh dau tu, lap
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thiet ke, du toan, lua chon nha thau, thi cong xay dung den khi nghiem thu,
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ban giao va dua cong trinh vao khai thac su dung doi vdi cac du an su dung

von ngan sach nha nudc, ke ca cac du an duoc hinh thanh co mot phan von

ngan sach nha nudc (ldn hon 30%). Tu do, luan van da di sau phan tich doi

vdi 4 noi dung quan ly Nha nudc ve quan ly dau tu XDCB thong qua cac
cong cu phap luat, co che chinh sach, quy hoach XDCB va to chuc thuc
hien; giam sat viec thuc hien cua cac chu dau tu trong cong tac quan ly dau
v
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tu XDCB bang von NSNN nham mang lai hieu qua cao nhat, bao gom: Quy
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trinh quan ly; phuong thuc quan ly; cong cu quan ly va thanh tra, kiem tra, xu
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ly vi pham trong hoat dong dau tu XDCB bang von NSNN.
z
Luan van da chi ra cac nhan to anh hudng va tieu chi danh gia hieu
a

qua QLNN doi vdi dau tu XDCB bang von NSNN. Nhung nhan to anh

hudng bao gom: luat phap, chinh sach, cac quy dinh ve dau tu XDCB; quy
hoach, ke hoach phat trien kinh te, xa hoi; bo may quan ly va trinh do cua doi

ngu can bo quan ly dau tu xay dung; co sd vat chat, khoa hoc - cong nghe

thong tin.
Tu viec phan tich danh gia nhan to anh hudng den quan ly Nha nudc,

luan van da lam ro su can thiet phai tang cudng QLNN doi vdi dau tu XDCB
bang von NSNN. Trong nen kinh te thi trudng dinh hudng xa hoi chu nghia,

can thiet phai tang cudng QLNN doi vdi dau tu XDCB bang von NSNN, la
do yeu cau cua cong tac phong chong tham nhung, lang phi, that thoat trong

cong tac dau tu xay dung; de dam bao chat luong, hieu qua cua von dau tu; do

cong tac dau tu XDCB bang von NSNN hien nay con nhieu bat cap.

Luan van da khao sat kinh nghiem cua mot so dia phuong trong va
ngoai nudc trong cong tac quan ly dau tu XDCB bang von NSNN, gom kinh

nghiem cua Trung Quoc, thanh pho Da Nang, tinh Dong Nai. Tu do rut ra


kinh nghiem cho tinh Nghe An trong viec tang cuong quan ly Nha nuoc doi

voi dau tu XDCB bang von NSNN theo cac noi dung: ra soat, dieu chinh quy
hoach phu hop voi tinh hinh thuc te tai dia phuong; tang cuong QLNN doi

voi viec phan cap quan ly dau tu XDCB, gan vao do la trach nhiem cho cac

dia phuong, nhat la doi voi UBND cap phuong, xa; dam bao nguyen tac tap

trung dan chu, cong khai minh bach trong cong tac giai phong mat bang; nang
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cao chat luong nguon nhan luc va bo may quan ly Nha nuoc; hoan thien he
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thong van ban phap luat ve dau tu XDCB; tang cuong kiem tra, thanh tra,
giam sat.

Thu hai, luan van da phan tick thuc trang quan ly Nha nudc doi vdi
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dau tu XDCB bang von NSNN tren dia ban tinh Nghe An

Tu dac diem ve tu nhien, kinh te, xa hoi cua tinh Nghe An co anh hudng
den tinh hinh thu hut va thuc hien dau tu XDCB bang von NSNN: dau tu XDCB

bang von NSNN da gop phan quan trong trong cong cuoc xay dung co sd ha

tang, chuyen dich co cau kinh te, thuc day tang trudng kinh te, cai thien va

nang cao doi song vat chat va tinh than cua nhan dan trong toan tinh. Luan

van da neu duoc nhung thuan loi, han che thach thuc trong cong tac quan ly doi
voi dau tu XDCB bang von NSNN tren dia ban tinh Nghe An.

Luan van da neu len duoc hien trang QLNN doi voi dau tu XDCB

bang NSNN tren dia ban tinh Nghe An, tu do danh gia nhung thanh tuu, han
che va nguyen nhan cua nhung han che. Cu the:

Ve thanh tuu:
Cong tac quan ly Nha nuoc doi voi dau tu XDCB bang von NSNN tren
dia ban tinh Nghe An trong nhung nam qua da co nhung tien bo, cong tac

quan ly ngay cang co hieu qua, dac biet la trong boi canh can phai that chat

nguon von danh cho dau tu cong theo Nghi quyet 11/NQ-CP ngay 24/02/2011

cua Chinh phu ve nhung giai phap chu yeu tap trung kiem che lam phat, on
dinh kinh te vi mo, bao dam an sinh xa hoi.


vi

Ve thuc hien quy trinh quan ly dau tu xay dung: qua trinh quan ly dau
tu tu viec ra chu truong, den lap du an, trien khai xay dung, quyet toan va
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thanh tra, kiem tra dugc thuc hien thong nhat theo dung quy trinh va cac quy
A

A

dinh cua Nha nudc ve quan ly dau tu XDCB.

Cac phuong thuc quan ly tu hanh chinh, kinh te den giao due dugc ap
dung chat che hon trong cac co quan quan ly ve dau tu xay dung.

Ve cong cu quan ly: xay dung dugc quy hoach chien luge den nam

2020, tung budc thuc hien quy hoach theo dung dinh huong; to chuc sap xep
9

A

A

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lai to chuc bo may ve quan ly dau tu XDCB bang von NSNN theo huong tap

trung, chuyen mon hoa.

Cong tac thanh tra, kiem tra quan ly dau tu XDCB bang von NSNN
tren dia ban toan tinh da lam thay doi nhat dinh nhan thuc ve quy trinh quan

ly dau.tu XDCB bang von NSNN cua cac chu dau tu, phat hien va thu hoi ve

cho Nha nudc hang tram ty dong, kiem diem trach nhiem cua hang tram ca
nhan co khuyet diem, yeu kern trong quan ly va tham muu cong tac quan ly

nha nudc ve dau tu XDCB. Gop phan nang cao hieu qua quan ly nha nudc ve
dau tu XDCB bang von NSNN.

Nhung han che:

Quy trinh quan ly dau tu XDCB bang von NSNN chua dugc xay dung
theo tieu chuan ISO de de thuc hien, cd dinh hudng ngay tu dau. Tu do dan
den quan ly tuy tien, thieu khoa hgc. Day la nguyen nhan chinh dan den that
thoat, lang phi nhung khong dugc kiem soat.
A

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f

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Quy dinh ve quan ly dau tu xay dung cong trinh va dau thau tren dia

ban tinh Nghe An cd mot so diem khong con phu hgp vdi co che quan ly dau
tu tu von NSNN do Trung uong ban hanh nhung chua dugc sua doi, bo sung,

ke ca Van ban chi dao cua UBND tinh va cua cac cap huyen, nganh.
Viec phat trien co sd ha tang thieu quy hoach hoac quy hoach thieu

vung chac; cong tac boi thudng giai phong mat bang, thiet ke, quy hoach chua


dap ung yeu cau. Quy hoach kien true do thi con mot so ton tai; quan ly xay
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a

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r

dung va quy hoach mat bang chua tot, mot so cong trinh xay dung chua dung
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a

quy hoach khong duoc chan chinh kip thdi. Con nhieu cong trinh, du an don

le do lua chon dia diem xay dung khong phu hop, sau khi tien hanh thi cong
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r

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xay dung mod phat hien duoc bat hop ly, phai di doi den dia diem khac, gay

lang phi khong nhd.
Viec ap dung phuong phap quan ly nha nudc ve kinh te trong quan ly

dau tu XDCB tren dia ban tinh Nghe An con yeu, tu nhung noi dung da cd
che tai quy dinh cu the den nhung noi dung chi co quy dinh chung. Cac quyet
dinh hanh chinh yeu cau phai thuc hien nhung khong cd che tai xu ly neu

khong thuc hien hoac thuc hien sai quy dinh dan den lang phi... xu ly cac can
bo cd sai pham con nuong nhe, khong cd tinh ran de.

Van ban quy pham phap luat, co che chinh sach chua theo kip tinh hinh

thuc tien, con nhieu ke ho. Trinh do, nang luc cua can bo thanh tra trong viec
phat hien, xu ly vi pham khong theo kip trinh do lach luat cua cac doi tupng

thanh tra. Cong tac kiem tra, thanh tra con bo qua nhieu sai pham trong quan
A

ly dau tu XDCB, chua phat hien dupe vu viec tham nhung nao trong cong tac
thanh tra, kiem tra ve quan ly dau tu XDCB bang vdn NSNN.

Luan van da phan tich nguyen nhan cua nhung han che, ca nguyen nhan
khach quan va chu quan:

Nguyen nhan khach quan:

Van ban quan ly, dieu hanh dau tu XDCB con nhieu chong cheo, thieu
hudng dan thuc hien, hoac hudng dan cham. Luat dau tu cong vira moi dupe

ban hanh, chua dupe trien khai thuc hien. Anh hudng cua lam phat, lai suat
cho vay, gia ca nguyen vat lieu dau vao dan den nhieu cong trinh phai dieu
chinh, duyet lai thiet ke ky thuat tong du toan theo dieu chinh gia. Co che,

chinh sach khong theo kip thuc tien.

Nguyen nhan chu quan :


viii

Nhan thuc cua cac cap, cac nganh cham doi moi so voi yeu cau dat ra

trong quan ly dau tu XDCB, nhat la yeu cau nang cao chat luong, hieu qua

quan ly von theo tinh than Chi thi 1792/CT-TTg va yeu cau dau tu trong giai
r

o

doan hien nay va nhung nam tiep theo. Cu the:
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r

Chat luong quy hoach mot so du an chua cao, chua bam sat muc tieu

phat trien kinh te- xa hoi, thieu su phan tich, du bao trong tuong lai. Viec long

ghep cac quy hoach giua nganh voi vung lanh tho chua tot, tinh cue bo va xu
hudng khep kin trong quy hoach da dan tdi su chong cheo, trung lap cac du

an dau tu. Cong tac bo sung, dieu chinh quy hoach chua duoc cap nhat
thudng xuyen, kip thdi, dan den quy hoach bi lac hau so vdi thuc tien, khong

dap ung duoc tinh kien ket giua quy hoach vdi ke hoach.
Nang luc cua mot so chu dau tu; co quan tu van chua dap ung duoc yeu

cau nang cao chat luong ho so du an, thiet ke ky thuat va thuc hien quy trinh,
cac quy dinh hien hanh cua Nha nudc ve cong tac chuan bi dau tu.

Chua xay dung duoc quy trinh khung ve quan ly dau tu XDCB de ap
r

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dung rong rai tren dia ban tinh, do do rat nhieu Chu dau tu chua biet hoac
khong biet cac noi dung can quan ly; kiem tra giam sat cong trinh chua

thudng xuyen. Trach nhiem cua mot so chu dau tu con nhieu yeu kern, tu
tudng de dai, chu yeu theo y kien cua nha thau. Nang luc cua Chu dau tu, ban

quan ly du an, co quan tu van, nha thau con han che ...
Tinh than trach nhiem cua cac nganh, cac cap trong viec trien khai thuc
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hien cac Chi thi, Nghi quyet, cac co che chinh sach da duoc ban hanh ve cong
tac quan ly dau tu XDCB chua cao. Tinh trang buong long quan ly, thieu ky

cuong, ky luat trong llnh vuc dau tu dan den nhung sai sot trong quan ly ke
hoach dau tu va qua trinh xay dung the che d tat ca cac khau, tu xac dinh

chu truong, xay dung du an, ra quyet dinh dau tu, thiet ke ky thuat, lap tong
du toan den khau trien khai thuc hien, giam sat thi cong, theo doi cap phat,

thanh quyet toan... Them vao do, tu duy quan ly theo nhiem ky, quyet dinh


dau tu tran lan ma khong tinh den phuong an huy dong von dan den no dong
rat Ion.

Pham chat dao due cua mot bo phan cong chuc can bo quan ly cac du

an dau tu xay dung con kern, lgi dung nhung ke ho cua co che chinh sach, lgi
>

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\

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dung chuc quyen, vi tri cong tac de true lgi bat chinh; su that thoat von dau tu
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con nhieu, gan lien vai tinh trang tham nhung hien nay.
Thu ba, luan van da xay dung mo hinh SWOT ve thuc trang cong tac
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x

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r

quan ly dau tu XDCB bang von NSNN, tu do de xuat phuong hudng va giai
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r
>
>
phap chu yeu tang cudng quan ly Nha nudc doi vdi du an dau tu XDCB bang

r
von NSNN tren dia ban tinh Nghe An
Tren co so xu huong phat trien cua the gidi va trong nudc, du bao phat

trien KT- XH cua tinh Nghe An, luan van da phan tich phuong hudng tang
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x

x

x

r

cudng quan ly Nha nudc doi vdi dau tu XDCB bang von NSNN. Bao gom:
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r

Mot la: day nhanh viec xay dung hoan thien he thong van ban quy

pham phap luat, cac quy chuan, tieu chuan, dinh muc kinh te - ky thuat ve cac
linh vuc trong dau tu XDCB. To chuc trien khai quan triet Luat Xay dung va

cac Nghi dinh, Thong tu hudng dan den cac nganh, cac dia phuong va cac chu
the tham gia hoat dong dau tu xay dung. Cai each thu tuc hanh chinh trong
dau tu va xay dung.

Hai la: ra soat, bo sung quy hoach theo dung dinh hudng, phu hgp

vdi tinh hinh cua dia phuong. Chu dong trong trien khai thuc hien theo quy
hoach dugc duyet, nhat la xay dung ke hoach thuc hien cho tung giai doan: 5
nam, 10 nam, tarn nhin den nam 2030 va lau hon nua.
Ba la: nang cao nang luc bo may, doi ngu can bo quan ly nha nudc ve
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xay dung: doi mdi nhan thuc, noi dung, phuong phap lap quy hoach dau tu va

xay dung. Trien khai to chuc quan ly nganh xay dung tren nguyen tac: dung
chuc nang, du nhiem vu, tang quyen han, ro trach nhiem; dac biet quan tarn

den he thong to chuc va luc lugng quan ly xay dung cap quan, huyen va xa,


X

phuong; he thong quan ly chat luong cong trinh xay dung cua cac nganh, cac
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9

dia phuong va cac chu the tham gia hoat dong xay dung; he thong thanh tra
r

chuyen nganh xay dung tu bo den cac dia phuong. Coi trong cong tac quy
5

9

A

hoach, dao tao, boi dudng, su dung can bo, phat trien nguon nhan luc, cham
lo on dinh viec lam, tang thu nhap va tung budc nang cao doi song vat chat,
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van hoa tinh than cua doi ngu can bo quan ly ve xay dung. Hoan thien bo may
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tham muu, giup viec cho UBND cac cap ve quan ly dau tu XDCB bang von

NSNN theo huong tap trung, chuyen mon hoa, co nang luc chuyen mon cao,
A

A

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dap ung duoc yeu cau quan ly nha nudc ve dau tu XDCB trong tinh hinh moi.

Bon la: thuc hien nghiem tuc quy trinh quan ly dau tu XDCB bang vdn
NSNN, xay dung bieu do quy trinh quan ly dua tren muc tieu quan ly va he

thong van ban phap luat ve dau tu XDCB, giup cho viec quan ly du an dau tu
r

a

xay dung cua cac chu dau tu dupe thuan lpi; quan ly toan dien chat luong
cong trinh xay dung ke tu giai doan chuan bi du an, thuc hien du an den khi

nghiem thu ban giao dua cong trinh vao khai thac su dung bao dam chat

luong, hieu qua.
Nam la: Nang cao chat luong thanh tra, kiem tra, xu ly vi pham

Nang cao nang luc va chat luong can bo lam cong tac thanh tra, kiem tra,
•>

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phong ngira, phat hien va xu ly nghiem minh doi vdi tham nhung va cac bieu
hien tieu cue khac trong quan ly dau tu XDCB bang vdn NSNN. Dam bao dupe
A

tinh ran de cua phap luat trong viec dieu chinh cac hanh vi cua xa hoi.

Tu cac phuong hudng tren, luan van dua ra he thong cac giai phap chu

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Ar

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yeu nham tang cudng vai tro QLNN doi vdi dau tu XDCB bang vdn NSNN
A

tren dia ban tinh Nghe An trong thdi gian toi. Bao gom:
A

A

Mot la: hoan thien cac van ban quy pham phap luat ve dau tu XDCB,
bo sung, thay the cac quyet dinh ve quan ly dau tu XDCB cho phu hop vdi

thuc te va cac quy dinh cua Trung uong moi ban hanh.

Hai la: ra soat, bo sung quy hoach, thuc hien dung theo quy hoach da


xi
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dirge phe duyet, nang cao chat lirgng quy hoach gan voi tang cuong hieu luc
quan ly Nha nuoc ve quy trinh, noi dung quy hoach, dong thdi voi cac giai
phap dong bo trong qua trinh trien khai thuc hien quy hoach, thong nhat voi
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quy hoach phat trien kinh te - xa hoi va dinh hudng cua Trung uong. Quan ly

tot cong tac quy hoach.
Ba la: nang cao nang luc bo may, doi ngu can bo lam cong tac quan ly
nha nudc ve xay dung, cai each hanh chinh trong giai quyet cac thu tuc dau tu

XDCB bang von NSNN mot each toan dien tren ca 4 noi dung: cai each the

che hanh chinh, cai each bo may hanh chinh, cai each tai chinh cong va xay

dung doi ngu can bo, cong chuc, cai each dong bo giua each nganh va cac
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F

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cap. Viec phan cap dau tu phai gan quyen lgi va trach nhiem cu the, de dam
y

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bao dau tu dung, khai thac, su dung cd hieu qua cao. Thudng xuyen kiem tra,
giam sat de phong ngua, phat hien va xu ly nhung sai lech, vi pham trong qua

trinh quan ly, thuc hien dau tu XDCB bang von NSNN.

Bon la: trong thuc hien quy trinh quan ly dau tu XDCB bang von
NSNN, cac chu dau tu, ban Quan ly dir an chuyen trach can can cu vao chuc

nang nhiem vu cua minh va cac van ban quy pham phap luat ve quan ly dau

tu XDCB de xay dung, hoan thien quy trinh quan ly dau tu XDCB bang von
NSNN, xay dung bieu do quy trinh quan ly, cu the den moi cong doan, moi

budc quan ly trong sudt qua trinh quan ly de de thuc hien va kiem tra; pho
bien, hudng dan thuc hien quy trinh cho cac chu dau tu cap dudi. Can cu vao

viec thuc hien quy trinh quan ly, danh gia muc do hoan thanh de cd hinh thuc

xu ly phu hop.
Nam la: day manh ung dung cong nghe thong tin trong quan ly hanh

chinh nha nudc va trong lanh dao, chi dao dieu hanh cua cac nganh, cac cap
ve quan ly xay dung. Hien dai hoa va nang cao nang luc thong tin truyen

thong, cong nghe thong tin. Ung dung cong nghe thong tin vao quan ly dau tu
XDCB bang von NSNN: cai tien hon nua cac noi dung ve quan ly nha nudc


xii

doi vdi dau tu XDCB tai cac cong thong tin dien tu cua cac co quan quan ly
f

5

nha nudc ve xay dung cap tinh. Dang tai nhung thong tin quan trong; nhung
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don vi, ca nhan co thanh tich cung nhu co han che, yeu kem trong thuc hien
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dau tu, qua do phat huy nhung nhan to tich cue, han che yeu kem trong thuc

hien dau tu va quan ly dau tu XDCB.
r

Sau la: nang cao chat lugng thanh tra, kiem tra, xu ly vi pham, dam bao
A

dugc tinh ran de cua Phap luat trong viec dieu chinh cac hanh vi cua xa hoi.
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A

Thanh tra toan dien, xuyen suot ca qua trinh dau tu tu khau chuan bi dau tu,
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a

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thuc hien dau tu va ket thuc dau tu; thanh tra theo dien rong doi vdi tat ca cac
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a

cong trinh, du an do chu dau tu thuc hien trong khoang nien do nhat dinh.

Bam sat cac quy dinh cua Trung uong va dia phuong doi vdi moi cong doan
de danh gia viec lam dugc, chua dugc, nhung vi pham ve quy dinh, che do

trong dau tu XDCB bang von NSNN mot each toan dien de tu do cd cac kien
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r

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nghi chan chinh, khac phuc kip thdi. UBND tinh va cac co quan chuc nang
phai cd bien phap chi dao cac don vi cd sai pham dugc phat hien thuc hien

nghiem tuc cac kien nghi xu ly sau thanh tra, kiem tra, kiem toan.

Thuc hien kiem tra, giam sat ngay tu luc chuan bi dau tu, dam bao tuan
thu dung quy hoach dugc duyet va nguon von thuc hien, su phu hgp cua du

an doi vdi nhu cau phat trien kinh te - xa hoi tren dia ban. Xay dung chuong

trinh, ke hoach giam sat cong dong. To chuc tot viec trien khai thuc hien Luat
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r

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phong, chong tham nhung, Luat Thuc hanh tiet kiem, chong lang phi. Xu ly
nghiem khac nhung hanh vi lgi dung chuc quyen de tham nhung, lam that

thoat va gay lang phi trong dau tu XDCB gop phan tang cudng hieu luc, hieu
A

A

Ar

qua quan ly nha nudc ve dau tu XDCB bang von NSNN.


KET LUAN

Vdi muc dfch gop phan tang cudng quan ly Nha nude doi vdi dau tu

XDCB bang vdn NSNN tren dia ban tinh Nghe An, luan van da khai quat cac
van de ly luan va thuc tien ve quan ly dau tu XDCB bang vdn NSNN, tren co

sd do danh gia nhung mat dat duoc va chua duoc doi vdi cong tac quan ly
Nha nudc, de xuat nhung phuong hudng, giai phap va mot sd kien nghi nham
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y

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tang cudng quan ly Nha nudc doi vdi dau tu XDCB bang vdn NSNN tren dia

ban tinh Nghe An.


—...

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I

TRUONG DAI

KINH TE QUOC DAN
■ HOC
■
------ -----------------------

NGUYEN TRUNG HIEU

TANG CUONG QUAN LY NHA NlflJC DOI VOI DAU TIT

XAY DUNG CO BAN BANG VON NGAN SACH NHA NUOC
TREN DIA BAN TINH NGHE AN
Chuyen nganh: Kinh te chinh tri

LUAN VAN THAC SI KINH TE
•

•

Nguoi hudng dan khoa hoc:

PGS.TS.TRAN VIET TlEN

K

____ A.

HA NOI, 2013

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MO DAU

1. Tinh cc^jp thiet cua de1 tai.
Hoat dong dau tu XDCB la mot hoat dong dau tu thiet yeu vi no tao ra
/

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tu lieu san xuat co ban cho nen kinh te xa hoi, dong vai trd lam nen tang cho
moi hoat dong doi song va san xuat kinh doanh. Hoat dong dau tu XDCB doi

hoi thoi gian dai, von lon, de xay ra tinh trang quan ly yeu kem hoac buong

long quan ly, hien tuong tham o, tham nhung, that thoat trong dau tu XDCB

la rat lon.
Theo bao cao tong ket 5 nam thuc hien Luat Phong, chong tham nhung
cua Thanh tra Chinh Phu, tu nam 2007 - 2011 cong tac thanh tra da phat hien

vi pham, kien nghi xu ly thu hoi nop vao Ngan sach nha nuoc tren 20.700 ty
dong. Rieng nganh thanh tra tinh Nghe An trong 5 nam tu 2008 - 2012 da

phat hien sai pham ve kinh te va kien nghi thu hoi ve ngan sach nha nuoc so
tien hon 173 ty dong, trong do chu yeu la sai pham phat hien qua thanh tra

cong tac quan ly dau tu XDCB bang von NSNN. Cong tac quan ly nha nuoc
a

r

a

a

y

r

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ve dau tu XDCB cua cac chu dau tu con rat nhieu han che, yeu kem, dac biet
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la cac chu dau tu cap xa, phuong, thi tran.

Cac nguyen nhan chu yeu lam cong tac quan ly dau tu XDCB bang von
A

A

NSNN con kem hieu qua la do dau tu phan tan, dan trai, dau tu khong phu
hop voi quy hoach tong the da duoc duyet; bo may quan ly kem hieu qua,
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nang luc chua cao, chua thuc su nam bat duoc quy trinh, phuong phap quan

ly. Them vao do, do dac thu cua cong tac dau tu XDCB thuong la rat lon, thoi
gian dau tu dai nen de xay ra tinh trang lang phi, that thoat von dau tu XDCB
cua Nha nuoc, lam cho von dau tu su dung dat hieu qua thap, no dong xay

dung dien ra khap noi trong ca nuoc, trong do co tinh Nghe An. Thuc te do
cho thay vai tro quan trong cua QLNN doi voi dau tu XDCB bang von
NSNN.

Nghe An la tinh co dien tich lon nhat nuoc, dan so dung thu 4 ca nuoc


2

nhung con ngheo, nen kinh te con d giai doan dau cua sir phat trien. Vi vay
nhu cau dau tu XDCB la rat cao, nhung cong tac quan ly Nha nudc chua dat
dugc muc do co the quan ly tot hoat dong dau tu nay, tu con ngudi cho den

cong tac lap quy hoach, ke hoach, thuc hien dau tu cung nhu viec phat huy
hieu qua dau tu. Do la xuat phat cua nhieu ton tai trong quan ly dau tu XDCB
cua Nghe An hien nay.

Xuat phat tu tarn quan trong cua cong tac quan ly Nha nunc doi vdi
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hoat dong dau tu xay dung co ban bang von ngan sach nha nudc, nham ngan
chan hien tugng tham nhung, lang phi, that thoat, gop phan on dinh phat trien
kinh te tren dia ban. Chinh vi vay nen toi da chon de tai: ’’Tang circrng quan

ly Nha nuoc doi vdi dau tu xay dung co* ban bang von ngan sach nha

nude tren dia ban tinh Nghe An” lam luan van tot nghiep cao hoc nganh
Kinh te chinh tri - Truong Dai hoc Kinh te quoc dan Ha Noi.
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2. Tong quan cac cong trinh nghien ciru lien quan den de tai
Da cd nhieu de tai nghien curu lien quan den tang cudng cong tac quan

ly nha nudc doi vdi dau tu XDCB bang von NSNN nhu:
- De tai: “Doi mdi quan ly Nha nudc doi vdi dau tu xay dung cong

trinh tu ngan sach cua thanh pho Ha Noi ” (2007), luan van thac si kinh te
chinh tri cua Nguyen Thi Binh.

De tai da de cap den nhung van de ly luan lien quan den quan ly Nha
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nudc doi vdi dau tu xay dung cong trinh tir ngan sach nha nudc: phan tich,

danh gia thuc trang quan ly Nha nudc doi vdi dau tu xay dung cong trinh tir

dung quan ly Nha nudc doi vdi cac du an dau tu XDCB thong qua viec doi
f

9

mdi co che chinh sach, quy hoach, to chuc bo may, con ngudi thuc hien va
kiem tra, giam sat viec thuc hien dau tu xay dung cong trinh.