基于决策视角的PPP项目控制权配置研究

发布时间：2018-04-30 19:50

  本文选题：公私合作(PPP) + 控制权　； 参考：《清华大学》2015年博士论文

【摘要】：PPP(Public-Private Partnerships,公私合作)项目效率对市场化的需求与产品服务属性对政府控制权的约束构成了PPP项目控制权在政府与企业间配置的矛盾,控制权的合理配置是PPP项目成功的必要条件,而决策是行使控制权的资源载体。论文首先结合WBS(Work Breakdown Structure,工作分解结构)工具与扎根理论提出一套识别方法,通过梳理相关理论总结决策的六个组成要素,借助NVivo软件从六个PPP相关合同范本中识别了PPP项目的28项主要决策。然后采用FMEA(Failure Mode and Effects Analysis,失效模式与影响分析)方法、因子分析等工具进行指标设计,通过专家调研收集PPP项目各主要决策的评估数据,包括各项决策的重要性评估、决策各阶段参与主体的分配等。其次,论文解读了多部相关法规对PPP项目控制权的配置,提出“参考度”的概念,从不同法规、不同决策过程、不同配置主体等多个视角对法规解读的统计结果进行分析,并通过与专家调研数据的相关性分析探索法规的控制权配置原则,研究发现存在法规针对性不强、监督权配置不明确、企业激励不足等问题,然后提出了PPP法律体系的系统建立、加强并细化PPP项目监管、政府重视与企业的合作关系等三方面针对性建议。第三,论文应用因子分析与OLS(Ordinary Least Square,普通最小二乘法)回归分析,建立了PPP项目控制权度量模型,并通过两个PPP案例的应用进行了验证。该度量模型提供了一种在既定权利分配方案下度量PPP项目中政府所占控制权份额的方法,论文在模型建立过程中还发现PPP项目决策各阶段过程参与主体分配的相关性、政府合理的控制权份额区间等结论。最后,论文从重要性程度的三个维度即失效后果的严重程度、失效发生的概率大小和失效的检测难度进行因子分析建立了包含15个PPP项目控制权配置影响因素的因素库,通过OLS和Logistic两种回归分析方法识别并验证了显著影响PPP项目决策提议权和审批权的12个影响因素,包括产品服务的公共化程度、政企双方利益的一致性程度等。根据各项影响因素对PPP项目控制权配置的影响方式与特点总结了PPP项目控制权配置的四项原则,即应充分发挥企业优势、政府应充分放权、应保证企业“有利可图”、应注重合作等。然后从控制权配置的视角对1043个PPP示范性项目进行案例分析,对本文结论进行了补充和验证。
[Abstract]:The demand for marketization of PPP(Public-Private partnerships and the restriction of product and service attributes on government control constitute the contradiction between the allocation of control rights of PPP projects between government and enterprises, and the reasonable allocation of control rights is the necessary condition for the success of PPP projects. Decision-making is the carrier of resources to exercise control. First of all, combining the WBS(Work Breakdown structure tool with the root theory, the paper proposes a set of identification methods, and summarizes the six components of the decision by combing the relevant theories. With the help of NVivo software, 28 major decisions of PPP project are identified from six PPP related contract models. Then we use the FMEA(Failure Mode and Effects Analysis, failure mode and impact analysis method, factor analysis and other tools to design indicators, through expert research to collect the evaluation data of the main decisions of the PPP project, including the importance of each decision evaluation. The allocation of participants in each stage of decision making. Secondly, the paper interprets the allocation of the control rights of PPP projects by several relevant laws and regulations, and puts forward the concept of "reference degree", and analyzes the statistical results of the interpretation of the regulations from different laws and regulations, different decision-making processes, different collocation subjects, and so on. And through the correlation analysis with expert survey data to explore the principle of the allocation of control rights, the study found that there are some problems, such as weak pertinence of regulations, unclear allocation of supervision power, insufficient incentive of enterprises and so on. Then it puts forward three specific suggestions: the systematic establishment of PPP legal system, the strengthening and refinement of PPP project supervision, and the government attaching importance to the cooperative relationship with enterprises. Thirdly, by using factor analysis and OLS(Ordinary Least Square-Common least Squares regression analysis, a measure model of PPP project control is established, which is verified by the application of two PPP cases. This measurement model provides a method to measure the share of government control rights in PPP projects under a given rights allocation scheme. In the process of establishing the model, we also find the correlation of the allocation of participants in various stages of PPP project decision-making. The government reasonable control share interval and so on conclusion. Finally, from three dimensions of importance, namely, the severity of failure consequences, the probability of failure occurrence and the difficulty of failure detection, the factors database including 15 factors influencing the allocation of control rights of PPP projects is established. By means of OLS and Logistic regression analysis, 12 factors that influence the power of decision proposal and approval of PPP project are identified and verified, including the degree of publicity of product and service, the degree of consistency of interests between government and enterprise, and so on. According to the influence of various factors on the allocation of control rights of PPP projects, this paper summarizes the four principles of the allocation of control rights of PPP projects, that is, the advantages of enterprises should be brought into full play, the government should give full play to the power, and the enterprises should be guaranteed to be "profitable". We should pay attention to cooperation and so on. Then, 1043 PPP model projects are analyzed from the view of control allocation, and the conclusion of this paper is supplemented and verified.
【学位授予单位】：清华大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：F283
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本文编号：1825950