PPP项目风险分担：发达国家与发展中国家的比较分析

发布时间：2018-07-15 19:28

【摘要】：近年来，PPP模式在全球范围内得到广泛应用，不仅因其能够有效解决政府资金不足的问题，更取决于它的核心理念之一——风险分担。合理的风险分担对PPP项目的成功起着重要作用，国内外学者对此展开了一系列相关研究，，但是学者们所建议的不同国家的最优风险分担方案具有一定的差异性，而这种差异性对私人投资者的投标决策有重大影响。因此，本文以发达国家与发展中国家的PPP项目风险分担情况为研究对象，着重研究两者之间的异同点，从而帮助私人投资者客观评估在不同国家投资PPP项目时所需承担的风险，提升其投标决策的科学性和有效性，并为发展中国家优化本国的制度环境提供指导。首先，通过文献调研，对PPP模式定义进行界定，并从风险分担的角度介绍了PPP项目的各个利益相关者。然后，对工程项目风险、PPP项目风险的定义进行界定，明确各自的特征。在此基础上，介绍了PPP项目风险管理的全过程，为下一步的研究提供了依据。其次，采用两阶段文献检索法确定目标文献。然后采用文献频数分析法识别出45个风险因素，并将其分为主体风险、客体风险和环境风险三大类。在此基础上，重点探讨不同类型的风险在发达国家和发展中国家的分担差异性。得出结论：主体风险和客体风险的分担差异较小，环境风险的分担差异较大；政府部门倾向于将较多的主体风险转移给私营部门，而客体风险和环境风险的转移程度较低。再次，识别出分担差异较小的风险因素，挖掘它们的共同特征，即风险的起源和责任主体明确，风险的产生与一个国家的制度环境无关等。然后着重研究分担差异较大的风险因素，探究差异产生的原因。在此基础上，剖析国家制度环境对风险分担的影响，确定了12个影响因素，并探究其对政府向私营部门转移风险比例的影响，结果表明：制度环境越好，政府转移给私营部门风险的比例越高。最后，对发展中国家的政府部门给出了相关建议，包括加强PPP法制建设、打造诚信政府形象、加强监管、注重人才培养等，从而帮助发展中国家不断提高政府能力，优化本国的制度环境。
[Abstract]:In recent years, PPP model has been widely used in the world, not only because it can effectively solve the problem of insufficient government funds, but also depends on one of its core concepts-risk sharing. Reasonable risk sharing plays an important role in the success of PPP projects. Scholars at home and abroad have carried out a series of related studies, but the optimal risk-sharing schemes proposed by scholars in different countries have some differences. This difference has a significant impact on the bidding decision of private investors. Therefore, this paper takes the risk sharing of PPP projects in developed and developing countries as the research object, focusing on the similarities and differences between the two, so as to help private investors objectively assess the risks to be taken when investing in PPP projects in different countries. To improve the scientific and effective bidding decision, and to provide guidance for developing countries to optimize their institutional environment. Firstly, the definition of PPP model is defined through literature research, and the stakeholders of PPP project are introduced from the perspective of risk sharing. Then, the definition of project risk and PPP project risk are defined and their characteristics are clarified. On this basis, the whole process of PPP project risk management is introduced, which provides the basis for the next research. Secondly, two-stage literature retrieval method is used to determine the target document. Then, 45 risk factors were identified by the method of literature frequency analysis and divided into three categories: subject risk, object risk and environmental risk. On this basis, the differences of different types of risk sharing between developed and developing countries are discussed. The conclusion is that the difference between subjective risk and object risk is small, and that of environmental risk is greater; the government tends to transfer more subject risk to private sector, while the degree of transfer of object risk and environmental risk is lower. Thirdly, we identify the risk factors with small differences, and excavate their common characteristics, that is, the origin of risk and the subject of responsibility is clear, the emergence of risk has nothing to do with the institutional environment of a country, and so on. Then focus on sharing the greater differences of risk factors, explore the causes of differences. On this basis, this paper analyzes the influence of national institutional environment on risk sharing, determines 12 influencing factors, and probes into its influence on the proportion of risks transferred by the government to the private sector. The results show that the better the institutional environment is, The higher the proportion of government risk transferred to the private sector. Finally, some suggestions are given to the government departments in developing countries, including strengthening the legal construction of PPP, building the image of honest government, strengthening supervision, paying attention to the cultivation of talents, and so on, so as to help developing countries improve their government capacity. Optimize the institutional environment of our country.
【学位授予单位】：天津大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F283

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