以交易成本视角解释PPP模式的合约特征

发布时间：2018-03-17 14:29

本文选题：PPP模式　切入点：公共品　出处：《西北大学》2017年硕士论文　论文类型：学位论文

【摘要】：随着我国城镇化建设的日益发展,国民经济总量和消费水平提高,政府和民众对于公共基础设施的需求也呈现出更高的要求。我国各级地方政府在官员考核竞标赛模式下对公共品的建设展开了激烈的竞争,这不仅急速加剧了政府的债务负担,也使得公共品供给的数量、种类出现了严重的结构性偏差。因此PPP模式对于缓解地方政府债务水平,增加公共品服务水平、改进政府职能甚至增加社会资本收益率方面都有很重要的作用。但是并不是所有的公共基础设施都适合采用PPP模式,如何有效的认知PPP模式的应用边界,并且区分和比较PPP模式与传统公共品供给模式将具有理论和现实双重意义。本文采用文献归纳的方法,主要从新制度经济学派合约与交易成本理论出发,结合公共品理论、政府失灵理论、不完全契约理论,试图从理论上识别和鉴定PPP模式的应用边界。基于合约理论中“合约的选择是降低在局限条件下交易成本”的观点,从张五常界定的广义交易成本概念出发分别考察了传统模式下和PPP模式下的交易成本种类,然后提出了交易成本上升改变PPP合约性质的三个命题,命题表明PPP项目交易成本上升将会导致项目合约向传统外包合约或BT项目合约方向上转变。为了显示论证的科学性,本文构建了考察PPP模式效率的数理模型,分析了交易成本为零状态下社会最优公共品供给效率,然后分析并比较了传统模式和PPP模式下公共品供给效率,提出了关于PPP模式效率边界的命题。命题表明,PPP项目的建设-运营阶段正外部性、项目的运营盈利性水平以及PPP合约交易成本大小将是影响PPP模式效率的重要因素。基于理论分析,本文选取了纯公共品、准公共品两个PPP实施案例进行分析,在分析过程中采用了假说验证法,首先基于理论命题提出了可以被验证的假说,然后从案例的边界条件、合约条款入手验证了这种假设。最后,在总结结论的基础上分析了我国PPP模式应用的制度缺陷并提出了政策建议和研究展望。
[Abstract]:With the increasing development of urbanization in China, the total amount of the national economy and the level of consumption have increased. The government and the public also have higher demands for public infrastructure. Local governments at all levels in our country have launched fierce competition for the construction of public goods under the competition model of official appraisal and competitive bidding, which not only increases the debt burden of the government rapidly, but also increases the government's debt burden. It also causes a serious structural bias in the quantity and type of public goods supply. Therefore, the PPP model can alleviate the debt level of local governments and increase the level of public goods services. Improving government functions and even increasing the rate of return on social capital play a very important role. However, not all public infrastructure is suitable for the use of PPP model, how to effectively understand the application of the PPP model, It will be of both theoretical and practical significance to distinguish and compare the PPP model and the traditional public goods supply mode. This paper uses the method of literature induction, mainly from the new institutional economics school contract and transaction cost theory, combined with the public goods theory. The theory of government failure and the theory of incomplete contract attempt to identify and identify the application boundary of PPP mode theoretically. Based on the view of contract theory, "the choice of contract is to reduce transaction cost under limited conditions". From the concept of generalized transaction cost defined by Zhang Wuchang, this paper investigates the types of transaction cost under traditional mode and PPP mode, and then puts forward three propositions that the rising transaction cost changes the nature of PPP contract. The proposition shows that the rising transaction cost of PPP project will lead to the transformation of project contract to traditional outsourcing contract or BT project contract. In order to demonstrate the scientific nature of the demonstration, this paper constructs a mathematical model to investigate the efficiency of PPP model. This paper analyzes the social optimal supply efficiency of public goods under zero transaction cost, and then analyzes and compares the efficiency of public goods supply in traditional mode and PPP mode. This paper puts forward a proposition about the efficiency boundary of PPP mode, which shows the positive externality of the construction and operation phase of the PPP project. The profitability level of the project and the transaction cost of the PPP contract will be the important factors affecting the efficiency of the PPP model. Based on the theoretical analysis, this paper selects two PPP implementation cases of pure public goods and quasi-public goods to analyze. In the process of analysis, the hypothesis verification method is adopted. Firstly, the hypothesis that can be verified is put forward based on the theoretical proposition, and then the hypothesis is verified from the boundary condition of the case and the contract clause. On the basis of summing up the conclusion, this paper analyzes the institutional defects of the application of PPP model in China, and puts forward some policy suggestions and research prospects.
【学位授予单位】：西北大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F283

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