公路收费权转让集成化风险管理研究

发布时间：2018-03-04 08:38

本文选题：公路收费权转让　切入点：转让风险　出处：《长安大学》2013年博士论文　论文类型：学位论文

【摘要】：现阶段公路收费权转让问题频出：地方政府越权审批转让收费权、收费权转让程序不合规、一些项目的招投标流于形式、不经评估或压低价格对外转让，导致收费权转让风险加大。而政府、经营企业等转让主体的风险管理水平已不能适应越来越复杂的政策环境、经济环境和社会环境，对转让风险管理方式的研究迫在眉睫。鉴于上述问题，本文在详细分析了收费权转让风险的基础上，依据集成管理理论提出收费权转让风险集成管理体系，以提高转让风险管理效率，实现转让的经济效益和社会效益。论文主要包括三部分：收费权转让过程中的价格、收费权转让风险、转让风险的集成管理。三部分内容层层递进，形成有机整体。第一部分是收费权转让过程中的价格分析，包括收费权转让价格和通行费价格。公路收费权转让的关键在于转让价格的确定，转让价格在转让中处于核心地位，论文针对当前收费权转让价格的形成机制和价格评估中的问题，提出完善和改进意见；通行费价格和转让价格同属于收费公路价值流的内容，论文分析了公路通行费价格形成机制和调整机制。收费权转让价格是风险传导的载体，收费权转让中的价格分析是转让风险分析的重要内容。第二部分是收费权转让风险分析，包含三章的内容：（1）阐述以转让价格为载体的收费权转让风险的风险传导和风险耦合，分析其风险特征，明确按时间阶段将收费权转让风险分为转让前风险、转让过程中风险和转让后风险；并分析第一阶段，即转让前阶段风险，主要表现为企业的决策风险和政府的逆向选择风险。（2）采用核查表法识别第二阶段即转让环节的风险，并研究其中的关键风险——价格风险和合同风险；分析价格风险的风险因素和风险的传导性，针对具体风险因素控制价格风险；依据不完全契约理论和剩余控制权，研究合同风险，提出重新分配剩余控制权，实现主体间收益共享、风险分担。（3）在识别第三阶段风险即转让后阶段风险的基础上，分析其中的关键风险——经营风险，提出对经营风险的有效控制需要建立新的风险管理机制。整个第二部分是对收费权转让风险的研究，这是风险集成管理的对象，也是实施转让风险集成管理的基础。第三部分建立收费权转让风险集成管理系统。首先，提出收费权转让风险集成管理系统的三维概念框架，指出实施风险集成管理的必要性和可行性；其次，构建收费权转让风险集成管理模式，，阐述了其中包含的目标体系、组织系统和信息系统；第三，提出收费权转让的价格机制和激励机制。论文研究最终为实践服务。希望通过本论文的研究为实施收费权转让风险管理提供新的思路，提高风险管理效率和效益，促进公路行业的健康发展。
[Abstract]:At the present stage of highway toll right transfer frequent: local government authority for approval to transfer the right to charge, charge transfer procedures for non-compliance, some project bidding form, without evaluation or lower the price of foreign transfer, led the charge transfer of the right to increase the risk. And the government, the risk management level of enterprises such as transfer subject has not been able to adapt more and the more complex the policy environment, economic environment and social environment, the research of transfer risk management is imminent. In view of the above problems, based on the detailed analysis of charging rights transfer risk, according to the theory of integrated management of charging rights transfer risk integrated management system, to improve the transfer efficiency of risk management, to achieve the transfer of economic benefits and social benefits.
The paper mainly consists of three parts: the price in the process of toll right transfer, the risk of toll right transfer and the integrated management of transfer risk. The three part of content is progressively evolving to form an organic whole.
The first part is the analysis of charging rights during the transfer price, including the charge transfer price and the tollprice. Key assignment of highway toll right is to determine the transfer price, the transfer price is the core of the transfer, according to the current charging right transfer price form mechanism and price evaluation of the problem, put forward to perfect and improvements; toll price and the transfer price belong to the toll road value flow, this paper analyzes the formation of highway tolls price mechanism and the adjustment mechanism. Right to charge transfer price is the carrier of risk conduction, price analysis of toll right transfer is an important part of the transfer of risk analysis.
The second part is the right to charge transfer risk analysis, including three chapters: (1) introduce the risk transfer and risk coupling with the transfer price as the carrier of the charge transfer risk, analyze the risk characteristics, clear stages at the time the right to charge transfer risk into risk transfer, risk transfer and risk transfer process the first stage is analyzed; and, before the transfer of risk, the risk of adverse selection for enterprise decision-making risk and the government's main performance. (2) the risk checklist method to identify the second stage is the key link in the transfer, price risk and contract risk and study the risk factors and risk analysis; price risk the conductivity, specific risk factors to control price risk; on the basis of the theory of incomplete contract and residual control rights, study of contract risk, the proposed re allocation of residual control rights, the main collection Benefit sharing, risk sharing. (3) based on third phase risk risk identification stage after the transfer, analysis of the key risk management risk, put forward the effective control of business risks need to establish a new risk management mechanism. The second part is to study the risk to let the right to charge, which is the object of risk integrated management, is the basis for the implementation of the transfer of risk management.
The third part is to set up the integrated management system of the transfer risk. Firstly, this paper puts forward a three-dimensional conceptual framework for the transfer of the right to charge integrated risk management system, points out the necessity and feasibility of the implementation of integrated risk management; secondly, the construction of toll right transfer risk integrated management mode, and expounds the included target system, organization system and information system; third the charge transfer of the right, the price mechanism and incentive mechanism.
Finally, this paper will provide new ideas for implementing the risk management of toll right transfer, improve the efficiency and effectiveness of risk management, and promote the healthy development of highway industry.

【学位授予单位】：长安大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：F512

【引证文献】