软预算约束下的PPP项目治理研究

发布时间：2018-12-12 13:07

【摘要】：近几年中国政府对基础设施建设的PPP模式高度重视,大力推广。但在实际实施中还存在诸多问题。其中一类主要原因在于,中国政治经济体制中的政治锦标赛制度和基础设施项目中存在的政策性负担导致了 PPP项目的预算软约束问题,阻碍了 PPP模式在中国的发展。因此,PPP项目软预算约束问题是当前运用PPP模式建设营运基础设施所面临的一个重大问题。尽管国内外学者对PPP的概念、特征、风险、关键成功要素、控制权分配等方面进行了大量研究,同时也有很多学者对软预算约束问题进行了比较充分地研究,两个领域都形成了丰富的、有价值的文献和研究成果。但是对于PPP项目的软预算约束问题的研究目前几乎还是空白。更不用说将软预算研究、治理研究、契约研究、重谈研究等综合在一起的PPP项目研究。本文将尝试填补这一研究空白。本文研究软预算约束下的PPP项目的治理问题。首先对软预算约束下的PPP项目进行了研究。分析了中国情境下PPP项目软预算发生的动因以及对PPP项目产生的影响。其次对软预算约束下的PPP项目的建、营分立和建、营合一的契约治理问题展开研究。其中包括一般治理理论、不完全契约以及软预算约束下的PPP项目治理。接下来,在借鉴国外PPP Unit运作经验,并结合中国具体国情的基础上,提出创建适合我国国情的PPP指导中心的新思路。阐述了 PPP指导中心的定义,探讨了它在我国PPP项目整个运作过程中所起的作用,并运用PPP指导中心的功能对PPP项目合作伙伴的选择进行一次尝试性地建模分析。最后,通过对北京地铁四号线和“鸟巢”这两个PPP项目进行全面细致的案例分析,进行反思与总结,从中汲取经验教训,以期为今后制定规范的PPP项目操作文本、操作流程、形成一整套规范运作体系提供有价值的意见和建议,为以后规范PPP项目公司的软预算或者说给软预算划界提供依据。
[Abstract]:In recent years, the Chinese government attaches great importance to the PPP model of infrastructure construction and vigorously promotes it. However, there are still many problems in practice. One of the main reasons is that the policy burden in the political championship system and infrastructure projects in China's political and economic system leads to the soft budget constraints of the PPP project and hinders the development of the PPP model in China. Therefore, the soft budget constraint problem of PPP project is an important problem in the construction of operating infrastructure using PPP mode. Although scholars at home and abroad have done a great deal of research on the concept, characteristics, risks, key success factors, distribution of control rights and so on of PPP, many scholars have also done more thorough research on soft budget constraints. Both fields have formed rich and valuable literature and research results. However, the research on soft budget constraint of PPP project is almost blank. Not to mention a combination of soft budget research, governance research, contract research, re-talk research and so on. This paper will try to fill in this research gap. This paper studies the governance of PPP projects under soft budget constraints. Firstly, the PPP project under soft budget constraint is studied. This paper analyzes the causes of soft budget of PPP projects in China and its impact on PPP projects. Secondly, this paper studies the contract governance of PPP project under soft budget constraint, which includes construction, separation and construction of camp and integration of camp. It includes general governance theory, incomplete contract and PPP project governance under soft budget constraints. Then, based on the experience of foreign PPP Unit operation and the specific conditions of China, a new idea of establishing a PPP guidance center suitable for China's national conditions is put forward. This paper expounds the definition of PPP guidance center, probes into its role in the whole operation of PPP project in our country, and uses the function of PPP guidance center to model and analyze the selection of partner of PPP project. Finally, through the comprehensive and meticulous case analysis of the Beijing Metro Line 4 and the "Bird's Nest" PPP project, the paper rethinks and summarizes the experiences and lessons from them, with a view to drawing up the standard PPP project operation text and operation flow in the future. To form a set of standard operating system to provide valuable opinions and suggestions for the future regulation of the soft budget of PPP project company or to provide the basis for the demarcation of soft budget.
【学位授予单位】：中国科学技术大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：F283;F812.3

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