【摘要】：近幾年中國(guó)政府對(duì)基礎(chǔ)設(shè)施建設(shè)的PPP模式高度重視,大力推廣。但在實(shí)際實(shí)施中還存在諸多問(wèn)題。其中一類(lèi)主要原因在于,中國(guó)政治經(jīng)濟(jì)體制中的政治錦標(biāo)賽制度和基礎(chǔ)設(shè)施項(xiàng)目中存在的政策性負(fù)擔(dān)導(dǎo)致了 PPP項(xiàng)目的預(yù)算軟約束問(wèn)題,阻礙了 PPP模式在中國(guó)的發(fā)展。因此,PPP項(xiàng)目軟預(yù)算約束問(wèn)題是當(dāng)前運(yùn)用PPP模式建設(shè)營(yíng)運(yùn)基礎(chǔ)設(shè)施所面臨的一個(gè)重大問(wèn)題。盡管?chē)?guó)內(nèi)外學(xué)者對(duì)PPP的概念、特征、風(fēng)險(xiǎn)、關(guān)鍵成功要素、控制權(quán)分配等方面進(jìn)行了大量研究,同時(shí)也有很多學(xué)者對(duì)軟預(yù)算約束問(wèn)題進(jìn)行了比較充分地研究,兩個(gè)領(lǐng)域都形成了豐富的、有價(jià)值的文獻(xiàn)和研究成果。但是對(duì)于PPP項(xiàng)目的軟預(yù)算約束問(wèn)題的研究目前幾乎還是空白。更不用說(shuō)將軟預(yù)算研究、治理研究、契約研究、重談研究等綜合在一起的PPP項(xiàng)目研究。本文將嘗試填補(bǔ)這一研究空白。本文研究軟預(yù)算約束下的PPP項(xiàng)目的治理問(wèn)題。首先對(duì)軟預(yù)算約束下的PPP項(xiàng)目進(jìn)行了研究。分析了中國(guó)情境下PPP項(xiàng)目軟預(yù)算發(fā)生的動(dòng)因以及對(duì)PPP項(xiàng)目產(chǎn)生的影響。其次對(duì)軟預(yù)算約束下的PPP項(xiàng)目的建、營(yíng)分立和建、營(yíng)合一的契約治理問(wèn)題展開(kāi)研究。其中包括一般治理理論、不完全契約以及軟預(yù)算約束下的PPP項(xiàng)目治理。接下來(lái),在借鑒國(guó)外PPP Unit運(yùn)作經(jīng)驗(yàn),并結(jié)合中國(guó)具體國(guó)情的基礎(chǔ)上,提出創(chuàng)建適合我國(guó)國(guó)情的PPP指導(dǎo)中心的新思路。闡述了 PPP指導(dǎo)中心的定義,探討了它在我國(guó)PPP項(xiàng)目整個(gè)運(yùn)作過(guò)程中所起的作用,并運(yùn)用PPP指導(dǎo)中心的功能對(duì)PPP項(xiàng)目合作伙伴的選擇進(jìn)行一次嘗試性地建模分析。最后,通過(guò)對(duì)北京地鐵四號(hào)線和“鳥(niǎo)巢”這兩個(gè)PPP項(xiàng)目進(jìn)行全面細(xì)致的案例分析,進(jìn)行反思與總結(jié),從中汲取經(jīng)驗(yàn)教訓(xùn),以期為今后制定規(guī)范的PPP項(xiàng)目操作文本、操作流程、形成一整套規(guī)范運(yùn)作體系提供有價(jià)值的意見(jiàn)和建議,為以后規(guī)范PPP項(xiàng)目公司的軟預(yù)算或者說(shuō)給軟預(yù)算劃界提供依據(jù)。
[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.
【學(xué)位授予單位】：中國(guó)科學(xué)技術(shù)大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2016
【分類(lèi)號(hào)】：F283;F812.3

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